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The beagle is a breed of small scent hound, similar in appearance to the much larger foxhound. The beagle was developed primarily for hunting hare, known as beagling. Possessing a great sense of smell and superior tracking instincts, the beagle is the primary breed used as a detection dog for prohibited agricultural imports and foodstuffs in quarantine around the world. The beagle is a popular pet due to its size, good temper, and a lack of inherited health problems.
The modern breed was developed in Great Britain around the 1830s from several breeds, including the Talbot Hound, the North Country Beagle, the Southern Hound, and possibly the Harrier.
Beagles have been depicted in popular culture since Elizabethan times in literature and paintings and more recently in film, television, and comic books.
History
The origin of the beagle is not known. In the 11th century, William the Conqueror brought the St. Hubert Hound and the Talbot hound to Britain. In Britain, both of these strains were then crossed with Greyhounds to give them speed and stamina for deer hunting. Beagles are similar to the Harrier and the extinct Southern Hound, though they are smaller and slower.
From medieval times, beagle was used as a generic description for the smaller hounds, though these dogs differed considerably from the modern breed. Miniature breeds of beagle-type dogs were known from the times of Edward II and Henry VII, who both had packs of Glove Beagles, so named since they were small enough to fit on a glove, and Queen Elizabeth I kept a breed known as a Pocket Beagle, which stood at the shoulder. Small enough to fit in a "pocket" or saddlebag, they rode along on the hunt. The larger hounds would run the prey to ground, then the hunters would release the small dogs to continue the chase through underbrush. Elizabeth I referred to the dogs as her singing beagles and often entertained guests at her royal table by letting her Pocket Beagles cavort amid their plates and cups. 19th-century sources refer to these breeds interchangeably and it is possible that the two names refer to the same small variety. In George Jesse's Researches into the History of the British Dog from 1866, the early 17th-century poet and writer Gervase Markham is quoted referring to the beagle as small enough to sit on a man's hand and to the:
By the 18th century, two breeds had been developed for hunting hare and rabbit: the Southern Hound and the North Country Beagle (or Northern Hound). The Southern Hound, a tall, heavy dog with a square head, and long, soft ears, was common from south of the River Trent and probably closely related to the Talbot Hound. Though slow, it had stamina and an excellent scenting ability. The North Country Beagle, possibly a cross between an offshoot of the Talbot stock and a Greyhound, was bred chiefly in Yorkshire and was common in the northern counties. It was smaller than the Southern Hound, less heavy-set, and with a more pointed muzzle. It was faster than its southern counterpart but its scenting abilities were less well-developed.
Standards for the Pocket Beagle were drawn up as late as 1901; these genetic lines are now extinct, although modern breeders have attempted to recreate the variety.
Development of the modern breed
Reverend Phillip Honeywood established a beagle pack in Essex in the 1830s and it is believed that this pack formed the basis for the modern breed. Although details of the pack's lineage are not recorded, it is thought that North Country Beagles and Southern Hounds were strongly represented; William Youatt suspected that Harriers formed a good majority of the beagle's bloodline, but the origin of the Harrier is itself obscure. Honeywood's Beagles were small, standing at about at the shoulder, and pure white according to John Mills (writing in The Sportsman's Library in 1845). Prince Albert and Lord Winterton also had Beagle packs around this time, and royal favor no doubt led to some revival of interest in the breed, but Honeywood's pack was regarded as the finest of the three.
Although credited with the development of the modern breed, Honeywood concentrated on producing dogs for hunting and it was left to Thomas Johnson to refine the breeding to produce dogs that were both attractive and capable hunters. Two strains were developed: the rough-coated and smooth-coated varieties. The rough-coated beagle survived until the beginning of the 20th century, and there were even records of one making an appearance at a dog show as late as 1969, but this variety is now extinct, having probably been absorbed into the standard beagle bloodline.
In the 1840s, a standard beagle type was beginning to develop; the distinction between the North Country Beagle and Southern Hound had been lost, but there was still a large variation in size, character, and reliability among the emerging packs. In 1856, "Stonehenge" (the pseudonym of John Henry Walsh), writing in the Manual of British Rural Sports, was still dividing beagles into four varieties: the medium beagle; the dwarf or lapdog beagle; the fox beagle (a smaller, slower version of the Foxhound); and the rough-coated or terrier beagle, which he classified as a cross between any of the other varieties and one of the Scottish terrier breeds. Stonehenge also gives the start of a standard description:
By 1887 the threat of extinction was on the wane: there were 18 beagle packs in England. The Beagle Club was formed in 1890 and the first standard drawn up at the same time. The following year the Association of Masters of Harriers and Beagles was formed. Both organisations aimed to further the best interests of the breed, and both were keen to produce a standard type of beagle. By 1902, the number of packs had risen to 44.
Export
Beagles were in the United States by the 1840s at the latest, but the first dogs were imported strictly for hunting and were of variable quality. Since Honeywood had only started breeding in the 1830s, it is unlikely these dogs were representative of the modern breed, and the description of them as looking like straight-legged Dachshunds with weak heads has little resemblance to the standard. Serious attempts at establishing a quality bloodline began in the early 1870s when General Richard Rowett from Illinois imported some dogs from England and began breeding. Rowett's Beagles are believed to have formed the models for the first American standard, drawn up by Rowett, L. H. Twadell, and Norman Ellmore in 1887. The beagle was accepted as a breed by the American Kennel Club (AKC) in 1885. In the 20th century the breed has spread worldwide.
Popularity
On its formation, the Association of Masters of Harriers and Beagles took over the running of a regular show at Peterborough that had started in 1889, and the Beagle Club in the UK held its first show in 1896. The regular showing of the breed led to the development of a uniform type, and the beagle continued to prove a success up until the outbreak of World War I when all shows were suspended. After the war, the breed was again struggling for survival in the UK: the last of the Pocket Beagles was probably lost during this time, and registrations fell to an all-time low. A few breeders (notably Reynalton Kennels) managed to revive interest in the dog and by World War II, the breed was once again doing well. Registrations dropped again after the end of the war but almost immediately recovered.
As purebred dogs, beagles have always been more popular in the United States and Canada than in their native country England. The National Beagle Club of America was formed in 1888 and by 1901 a beagle had won a Best in Show title. As in the UK, activity during World War I was minimal, but the breed showed a much stronger revival in the U.S. when hostilities ceased. In 1928 it won a number of prizes at the Westminster Kennel Club's show and by 1939 a beagle – Champion Meadowlark Draughtsman – had captured the title of top-winning American-bred dog for the year. On 12 February 2008, a beagle, K-Run's Park Me In First (Uno), won the Best In Show category at the Westminster Kennel Club show for the first time in the competition's history. In North America they have been consistently in the top-ten most-popular breeds for over 30 years. From 1953 to 1959 the beagle was ranked No. 1 on the list of the American Kennel Club's registered breeds; in 2005 and 2006 it ranked 5th out of the 155 breeds registered. In the UK they are not quite so popular, placing 28th and 30th in the rankings of registrations with the Kennel Club in 2005 and 2006 respectively. In the United States the beagle ranked 4th most popular breed in 2012 and 2013, behind the Labrador Retriever (#1), German Shepherd (#2), and Golden Retriever (#3) breeds.
Name
According to the Oxford English Dictionary, the first mention of the beagle by name in English literature dates from c. 1475 in The Squire of Low Degree. The origin of the word "beagle" is uncertain, although it has been suggested that the word derives from the French begueule which means "gate throat".
It is not known why the black and tan Kerry Beagle, present in Ireland since Celtic times, has the beagle description, since at it is significantly taller than the modern day beagle, and in earlier times was even larger. Some writers suggest that the beagle's scenting ability may have come from cross-breeding earlier strains with the Kerry Beagle. Originally used for hunting stags, it is today used for hare and drag hunting.
Appearance
The general appearance of the beagle resembles a miniature Foxhound, but the head is broader and the muzzle shorter, the expression completely different and the legs shorter in proportion to the body. They are generally between high at the withers and weigh between , with females being slightly smaller than males on average.
They have a smooth, somewhat domed skull with a medium-length, square-cut muzzle, and a black (or occasionally liver) gumdrop nose. The jaw is strong, and the teeth scissor together with the upper teeth fitting perfectly over the lower teeth. Both sets align square to the jaw. The eyes are large, hazel or brown, with a mild, hound-like pleading look. The large ears are long, soft, and low-set, turning towards the cheeks slightly and rounded at the tips. Beagles have a strong, medium-length neck (which is long enough for them to easily bend to the ground to pick up a scent), with little folding in the skin but some evidence of a dewlap; a broad chest narrowing to a tapered abdomen and waist and a long, slightly curved tail (known as the "stern") tipped with white. The white tip, known as the flag, was bred for selectively, as the tail remains easily seen when the dog's head is down following a scent. The tail does not curl over the back, but is held upright when the dog is active. The beagle has a muscular body and a medium-length, smooth, hard coat. The front legs are straight and carried under the body while the rear legs are muscular and well bent at the stifles.
The tricolored beaglewhite with large black areas and light brown shadingis the most common. Tricolored beagles occur in a number of shades, from the "Classic Tri" with a jet black saddle (also known as "Blackback"), to the "Dark Tri" (where faint brown markings are intermingled with more prominent black markings), to the "Faded Tri" (where faint black markings are intermingled with more prominent brown markings). Some tricolored dogs have a broken pattern, sometimes referred to as pied. These dogs have mostly white coats with patches of black and brown hair. Tricolor beagles are almost always born black and white. The white areas are typically set by eight weeks, but the black areas may fade to brown as the puppy matures. (The brown may take between one and two years to fully develop.) Some beagles gradually change colour during their lives, and may lose their black markings entirely.
Two-colour varieties always have a white base colour with areas of the second colour. Tan and white is the most common two-colour variety, but there is a wide range of other colours including lemon, a very light tan; red, a reddish, almost orange, brown; and liver, a darker brown, and black. Liver is not common and is not permitted in some standards; it tends to occur with yellow eyes. Ticked or mottled varieties may be either white or black with different coloured flecks (ticking), such as the blue-mottled or bluetick beagle, which has spots that appear to be a midnight-blue colour, similar to the colouring of the Bluetick Coonhound. Some tricolour beagles also have ticking of various colours in their white areas.
Saddle-patterned Beagles that express ancient domino (eA) are called hare-pied. Domino restricts eumelanin production leading to a smaller and faded saddle. Dark hairs in the area of the saddle have a light-colored hair base. The nose pigment may be lightened down the middle.
Sense of smell
Alongside the Bloodhound and Basset Hound, the beagle has one of the best developed senses of smell of any dog. In the 1950s, John Paul Scott and John Fuller began a 13-year study of canine behavior. As part of this research, they tested the scenting abilities of various breeds by putting a mouse in a one-acre field and timing how long it took the dogs to find it. The beagles found it in less than a minute while Fox Terriers took 15 minutes and Scottish Terriers failed to find it at all. The long ears and large lips of the beagle probably assist in trapping the scents close to the nose.
Variations
Breed varieties
The American Kennel Club recognises two separate varieties of beagle: the 13-inch for hounds less than , and the 15-inch for those between . The Canadian Kennel Club recognises a single type, with a height not exceeding . The Kennel Club (UK) and FCI affiliated clubs recognise a single type, with a height of between .
English and American varieties are sometimes mentioned. However, there is no official recognition from any Kennel Club for this distinction. Beagles fitting the American Kennel Club standard – which disallows animals over – are smaller on average than those fitting the Kennel Club standard which allows heights up to .
Pocket Beagles are sometimes advertised for sale but while the UK Kennel Club originally specified a standard for the Pocket Beagle in 1901, the variety is now not recognised by any Kennel Club.
A strain known as Patch Hounds was developed by Willet Randall and his family from 1896 specifically for their rabbit hunting ability. They trace their bloodline back to Field Champion Patch, but do not necessarily have a patchwork marking.
Crossbreeds
In the 1850s, John Henry Walsh (Stonehenge) recommended a cross between a Beagle and a Scottish Terrier as a retriever. He found the crossbreed to be a good worker, silent and obedient, but it had the drawback that it was small and could barely carry a hare. More recently, the trend has been for "designer dogs" and one of the most popular has been the Beagle/Pug cross known as a Puggle. Some puppies of this cross are less excitable than a Beagle and with a lower exercise requirement, similar to the Pug parent; but many are highly excitable and require vigorous exercise.
Temperament
The beagle has an even temper and gentle disposition. Described in several breed standards as "merry", they are amiable and typically neither aggressive nor timid, although this depends on the individual. They enjoy company, and although they may initially be standoffish with strangers, they are easily won over. They make poor guard dogs for this reason, although their tendency to bark or howl when confronted with the unfamiliar makes them good watch dogs. In a 1985 study conducted by Ben and Lynette Hart, the beagle was given the highest excitability rating, along with the Yorkshire Terrier, Cairn Terrier, Miniature Schnauzer, West Highland White Terrier, and Fox Terrier.
They are ranked 72nd in Stanley Coren's The Intelligence of Dogs, as Coren places them among the group with the lowest degree of working/obedience intelligence. Coren's scale, however, does not assess understanding, independence, or creativity.
Beagles are excellent with children and this is one of the reasons they have become popular family pets. Beagles are pack animals; they are prone to separation anxiety, a condition which causes them to destroy things when left unattended. Not all beagles will howl, but most will bark when confronted with strange situations, and some will bay (also referred to as "speaking", "giving tongue", or "opening") when they catch the scent of potential quarry. They also generally get along well with cats and other dogs. They are not too demanding with regard to exercise; their inbred stamina means they do not easily tire when exercised, but they also do not need to be worked to exhaustion before they will rest. Regular exercise helps ward off the weight gain to which the breed is prone.
Health
The typical longevity of beagles is 12–15 years, which is a common lifespan for dogs of their size.
Beagles may be prone to epilepsy, but this can often be controlled with medication. Hypothyroidism and a number of types of dwarfism occur in beagles. Two conditions in particular are unique to the breed: "Funny Puppy", in which the puppy is slow to develop and eventually develops weak legs, a crooked back and although normally healthy, is prone to a range of illnesses; and Musladin-Lueke syndrome (MLS) in which the eyes are slanted and the outer toes are underdeveloped but otherwise development is as normal. Hip dysplasia, common in Harriers and in some larger breeds, is rarely considered a problem in beagles. Beagles are considered a chondrodystrophic breed, meaning that they are prone to types of disk diseases.
In rare cases, beagles may develop immune mediated polygenic arthritis (where the immune system attacks the joints) even at a young age. The symptoms can sometimes be relieved by steroid treatments. Another rare disease in the breed is neonatal cerebellar cortical degeneration. Affected puppies are slow, have lower co-ordination, fall more often, and do not have a normal gait. It has an estimated carrier rate of 5% and affected rate of 0.1%. A genetic test is available.
Their long floppy ears can mean that the inner ear does not receive a substantial air flow or that moist air becomes trapped, and this can lead to ear infections. Beagles may also be affected by a range of eye problems; two common ophthalmic conditions in beagles are glaucoma and corneal dystrophy. "Cherry eye", a prolapse of the gland of the third eyelid, and distichiasis, a condition in which eyelashes grow into the eye causing irritation, sometimes exist; both these conditions can be corrected with surgery. They can suffer from several types of retinal atrophy. Failure of the nasolacrimal drainage system can cause dry eye or leakage of tears onto the face.
As field dogs they are prone to minor injuries such as cuts and sprains, and, if inactive, obesity is a common problem as they will eat whenever food is available and rely on their owners to regulate their weight. When working or running free they are also likely to pick up parasites such as fleas, ticks, harvest mites, and tapeworms, and irritants such as grass seeds can become trapped in their eyes, soft ears, or paws.
Beagles may exhibit a behavior known as reverse sneezing, in which they sound as if they are choking or gasping for breath, but are actually drawing air in through the mouth and nose. The exact cause of this behavior is not known, but it can be a common occurrence and is not harmful to the dog.
Reproduction
The average size of a beagle litter is six puppies. When mother beagles give birth to litters of puppies, the little pups weigh just a few ounces each.
Hunting
Beagles were developed primarily for hunting hare, an activity known as beagling. They were seen as ideal hunting companions for the elderly who could follow on horseback without exerting themselves, for young hunters who could keep up with them on ponies, and for the poorer hunters who could not afford to maintain a stable of good hunting horses. Before the advent of the fashion for foxhunting in the 19th century, hunting was an all day event where the enjoyment was derived from the chase rather than the kill. In this setting the tiny beagle was well matched to the hare, as unlike Harriers they would not quickly finish the hunt, but because of their excellent scent-tracking skills and stamina they were almost guaranteed to eventually catch the hare. The beagle packs would run closely together ("so close that they might be covered with a sheet") which was useful in a long hunt, as it prevented stray dogs from obscuring the trail. In thick undergrowth they were also preferred to spaniels when hunting pheasant.
With the fashion for faster hunts, the beagle fell out of favor for chasing hare, but was still employed for rabbit hunting. In Anecdotes of Dogs (1846), Edward Jesse says:
In the United States they appear to have been employed chiefly for hunting rabbits from the earliest imports.
Hunting hare with beagles became popular again in Britain in the mid-19th century and continued until it was made illegal in Scotland by the Protection of Wild Mammals (Scotland) Act 2002 and in England and Wales by the Hunting Act 2004. Under this legislation beagles may still pursue rabbits with the landowner's permission. Drag hunting is popular where hunting is no longer permitted or for those owners who do not wish to participate in hunting a live animal, but still wish to exercise their dog's innate skills.
The traditional foot pack consists of up to 40 beagles, marshaled by a Huntsman who directs the pack and who is assisted by a variable number of whippers-in whose job is to return straying hounds to the pack. The Master of the Hunt is in overall day-to-day charge of the pack, and may or may not take on the role of Huntsman on the day of the hunt.
As hunting with beagles was seen as ideal for young people, many of the British public schools traditionally maintained beagle packs. Protests were lodged against Eton's use of beagles for hunting as early as 1902 but the pack is still in existence today. In 2001, the Wye College beagle pack was taken by the Animal Liberation Front. School and university packs are still maintained by Eton, Marlborough, Radley, the Royal Agricultural University, and Christ Church, Oxford.
In addition to organised beagling, beagles have been used for hunting or flushing to guns (often in pairs) a wide range of game including snowshoe hare, cottontail rabbits, game birds, roe deer, red deer, bobcat, coyote, wild boar, and foxes, and have even been recorded as being used to hunt stoat. In most of these cases, the beagle is employed as a gun dog, flushing game for hunter's guns.
Detection
Beagles are used as detection dogs in the Beagle Brigade of the United States Department of Agriculture. These dogs are used to detect food items in luggage being taken into the United States. After trialling several breeds, beagles were chosen because they are relatively small and unintimidating for people who are uncomfortable around dogs, easy to care for, intelligent and work well for rewards. They are also used for this purpose in a number of other countries including by the Ministry of Agriculture and Forestry in New Zealand, the Australian Quarantine and Inspection Service, and in Canada, Japan, and the People's Republic of China. Larger breeds are generally used for detection of explosives as this often involves climbing over luggage and on large conveyor belts, work for which the smaller Beagle is not suited.
Testing
Beagles are the dog breed most often used in animal testing, due to their size and passive nature. In the United States, as many as 65,000 beagles are used every year for medical, cosmetic, beauty, and other chemical tests. They are purpose bred and live their lives in cages undergoing experiments. The Rescue + Freedom Project (formerly Beagle Freedom Project) has successfully advocated for beagles to be released from labs. This organisation has freed hundreds of animals.
Beagles are used in a range of research procedures: fundamental biological research, applied human medicine, applied veterinary medicine, and protection of man, animals, or the environment. Of the 8,018 dogs used in testing in the UK in 2004, 7,799 were beagles (97.3%). In the UK, the Animals (Scientific Procedures) Act 1986 gave special status to primates, equids, cats and dogs and in 2005 the Animal Procedures Committee (set up by the act) ruled that testing on mice was preferable, even though a greater number of individual animals were involved. In 2005 beagles were involved in less than 0.3% of the total experiments on animals in the UK, but of the 7670 experiments performed on dogs 7406 involved beagles (96.6%). Most dogs are bred specifically for this purpose, by companies such as Harlan. In the UK companies breeding animals for research must be licensed under the Animals (Scientific Procedures) Act.
Bans and activism against beagle testing
Testing of cosmetic products on animals is banned in the member states of the European Community, although France protested the ban and has made efforts to have it lifted. It is permitted in the United States but is not mandatory if safety can be ascertained by other methods, and the test species is not specified by the Food and Drug Administration (FDA). When testing toxicity of food additives, food contaminants, and some drugs and chemicals the FDA uses beagles and miniature pigs as surrogates for direct human testing. Minnesota was the first state to enact a Beagle Freedom adoption law in 2014, mandating that dogs and cats are allowed to be adopted once they have completed research testing.
Anti-vivisection groups have reported on abuse of animals inside testing facilities. In 1997 footage secretly filmed by a freelance journalist inside Huntingdon Life Sciences in the UK showed staff punching and screaming at beagles. Consort Kennels, a UK-based breeder of beagles for testing, closed down in 1997 after pressure from animal rights groups.
There are various examples of activists utilizing Freedom of Information Act (FOIA) requests to obtain information about taxpayer funding of animal testing. For example, the White Coat Waste Project, a group of activists that hold that taxpayers should not have to pay $20 billion every year for experiments on animals, highlighted that the National Institute of Allergy and Infectious Diseases provided $400,000 in taxpayer money to fund experiments in which 28 beagles were infected by disease-causing parasites. The White Coat Project found reports that said dogs taking part in the experiments were "vocalizing in pain" after being injected with foreign substances. Following public outcry, People for the Ethical Treatment of Animals (PETA) made a call to action that all members of the National Institute of Health resign effective immediately and that there is a "need to find a new NIH director to replace the outgoing Francis Collins who will shut down research that violates the dignity of nonhuman animals."
Other roles
Although bred for hunting, Beagles are versatile and are nowadays employed for various other roles in detection, therapy, and as family pets.
Beagles are used as sniffer dogs for termite detection in Australia, and have been mentioned as possible candidates for drug and explosive detection. Because of their gentle nature and unimposing build, they are also frequently used in pet therapy, visiting the sick and elderly in hospital. In June 2006, a trained Beagle assistance dog was credited with saving the life of its owner after using her owner's mobile phone to dial an emergency number. In the aftermath of the 2010 Haiti earthquake, a Beagle search and rescue dog with a Colombian rescue squad was credited with locating the owner of the Hôtel Montana, who was subsequently rescued after spending 100 hours buried in the rubble. Beagles were hired by New York City to help with bedbug detection, although some have expressed doubts about the role of such dogs in this type of detection.
In popular culture
Anthropomorphic Beagles appeared in comic strips and animated cartoons since the 1950s with the Peanuts character Snoopy, who was billed as "the world's most famous Beagle". The animated series Courage the Cowardly Dog also features an anthropomorphic beagle as its title character.
Porthos is a beagle that belongs to Jonathan Archer, the captain on the television series Star Trek: Enterprise.
Former US President Lyndon Baines Johnson had several beagles, and caused an outcry when he picked up one of them by its ears during an official greeting on the White House lawn.
The ship on which Charles Darwin made the voyage which provided much of the inspiration for On the Origin of Species was named HMS Beagle after the breed, and, in turn, lent its name to the ill-fated British Martian lander Beagle 2.
An American bred 15 inch male Beagle with the registered name of Ch K-Run's Park Me In First and the pet name of "Uno" won the 2008 Westminster Kennel Club Dog Show.
A Canadian bred 15 inch female Beagle with the registered name of Gr Ch Tashtins Lookin For Trouble and the pet name of "Miss P" won the 2015 Westminster Kennel Club Dog Show.
Notable Beagles
Frodo, awarded the PDSA Gold Medal for animal bravery
Uno, who in 2008 became the first Beagle to win the Westminster Kennel Club Dog Show
Miss P, winner of the 2015 Westminster Kennel Club Dog Show
References
Informational notes
a. In this article "Beagle" (with a capital B) is used to distinguish the modern breed from other beagle-type dogs.
c. The Harts posed the following question to a panel of 96 experts, half of which were veterinary surgeons and the other half dog obedience trial judges:
d. The specific references in each of the author's works are as follows:
Shakespeare: "Sir Toby Belch: She's a beagle, true-bred, and one that adores me: what o' that?" Twelfth Night (c. 1600) Act II Scene III
Webster: "Mistress Tenterhook: You are a sweet beagle" Westward Ho (1607) Act III Scene IV:2
Dryden: "The rest in shape a beagle's whelp throughout, With broader forehead and a sharper snout" The Cock and the Fox, and again: "About her feet were little beagles seen" in Palamon and Arcite both from Fables, Ancient and Modern (1700)
Tickell: "Here let me trace beneath the purpled morn, The deep-mouth'd beagle, and the sprightly horn" To a Lady before Marriage (published posthumously in 1749)
Fielding: "'What the devil would you have me do?' cries the Squire, turning to Blifil, 'I can no more turn her, than a beagle can turn an old hare.'" The History of Tom Jones, a Foundling (1749) Chapter 7.
Cowper: "For persevering chase and headlong leaps, True beagle as the staunchest hound he keeps" The Progress of Error (1782)
Pope: "Thus on a roe the well-breath'd beagle flies, And rends his hide fresh-bleeding with the dart" The Iliad of Homer (1715–20) Book XV:697–8CitationsBibliography'
External links
FCI breeds
Companion dogs
Scent hounds
Dog breeds originating in England
Hunting with hounds | 6 |
In programming and information security, a buffer overflow or buffer overrun is an anomaly whereby a program writes data to a buffer beyond the buffer's allocated memory, overwriting adjacent memory locations.
Buffers are areas of memory set aside to hold data, often while moving it from one section of a program to another, or between programs. Buffer overflows can often be triggered by malformed inputs; if one assumes all inputs will be smaller than a certain size and the buffer is created to be that size, then an anomalous transaction that produces more data could cause it to write past the end of the buffer. If this overwrites adjacent data or executable code, this may result in erratic program behavior, including memory access errors, incorrect results, and crashes.
Exploiting the behavior of a buffer overflow is a well-known security exploit. On many systems, the memory layout of a program, or the system as a whole, is well defined. By sending in data designed to cause a buffer overflow, it is possible to write into areas known to hold executable code and replace it with malicious code, or to selectively overwrite data pertaining to the program's state, therefore causing behavior that was not intended by the original programmer. Buffers are widespread in operating system (OS) code, so it is possible to make attacks that perform privilege escalation and gain unlimited access to the computer's resources. The famed Morris worm in 1988 used this as one of its attack techniques.
Programming languages commonly associated with buffer overflows include C and C++, which provide no built-in protection against accessing or overwriting data in any part of memory and do not automatically check that data written to an array (the built-in buffer type) is within the boundaries of that array. Bounds checking can prevent buffer overflows, but requires additional code and processing time. Modern operating systems use a variety of techniques to combat malicious buffer overflows, notably by randomizing the layout of memory, or deliberately leaving space between buffers and looking for actions that write into those areas ("canaries").
Technical description
A buffer overflow occurs when data written to a buffer also corrupts data values in memory addresses adjacent to the destination buffer due to insufficient bounds checking. This can occur when copying data from one buffer to another without first checking that the data fits within the destination buffer.
Example
In the following example expressed in C, a program has two variables which are adjacent in memory: an 8-byte-long string buffer, A, and a two-byte big-endian integer, B.
char A[8] = "";
unsigned short B = 1979;
Initially, A contains nothing but zero bytes, and B contains the number 1979.
Now, the program attempts to store the null-terminated string with ASCII encoding in the A buffer.
strcpy(A, "excessive");
is 9 characters long and encodes to 10 bytes including the null terminator, but A can take only 8 bytes. By failing to check the length of the string, it also overwrites the value of B:
B's value has now been inadvertently replaced by a number formed from part of the character string. In this example "e" followed by a zero byte would become 25856.
Writing data past the end of allocated memory can sometimes be detected by the operating system to generate a segmentation fault error that terminates the process.
To prevent the buffer overflow from happening in this example, the call to strcpy could be replaced with strlcpy, which takes the maximum capacity of A (including a null-termination character) as an additional parameter and ensures that no more than this amount of data is written to A:
strlcpy(A, "excessive", sizeof(A));
When available, the strlcpy library function is preferred over strncpy which does not null-terminate the destination buffer if the source string's length is greater than or equal to the size of the buffer (the third argument passed to the function). Therefore A may not be null-terminated and cannot be treated as a valid C-style string.
Exploitation
The techniques to exploit a buffer overflow vulnerability vary by architecture, operating system, and memory region. For example, exploitation on the heap (used for dynamically allocated memory), differs markedly from exploitation on the call stack. In general, heap exploitation depends on the heap manager used on the target system, while stack exploitation depends on the calling convention used by the architecture and compiler.
Stack-based exploitation
There are several ways in which one can manipulate a program by exploiting stack-based buffer overflows:
Changing program behavior by overwriting a local variable located near the vulnerable buffer on the stack;
By overwriting the return address in a stack frame to point to code selected by the attacker, usually called the shellcode. Once the function returns, execution will resume at the attacker's shellcode;
By overwriting a function pointer or exception handler to point to the shellcode, which is subsequently executed;
By overwriting a local variable (or pointer) of a different stack frame, which will later be used by the function that owns that frame.
The attacker designs data to cause one of these exploits, then places this data in a buffer supplied to users by the vulnerable code. If the address of the user-supplied data used to affect the stack buffer overflow is unpredictable, exploiting a stack buffer overflow to cause remote code execution becomes much more difficult. One technique that can be used to exploit such a buffer overflow is called "trampolining". Here, an attacker will find a pointer to the vulnerable stack buffer and compute the location of their shellcode relative to that pointer. The attacker will then use the overwrite to jump to an instruction already in memory which will make a second jump, this time relative to the pointer. That second jump will branch execution into the shellcode. Suitable instructions are often present in large code. The Metasploit Project, for example, maintains a database of suitable opcodes, though it lists only those found in the Windows operating system.
Heap-based exploitation
A buffer overflow occurring in the heap data area is referred to as a heap overflow and is exploitable in a manner different from that of stack-based overflows. Memory on the heap is dynamically allocated by the application at run-time and typically contains program data. Exploitation is performed by corrupting this data in specific ways to cause the application to overwrite internal structures such as linked list pointers. The canonical heap overflow technique overwrites dynamic memory allocation linkage (such as malloc meta data) and uses the resulting pointer exchange to overwrite a program function pointer.
Microsoft's GDI+ vulnerability in handling JPEGs is an example of the danger a heap overflow can present.
Barriers to exploitation
Manipulation of the buffer, which occurs before it is read or executed, may lead to the failure of an exploitation attempt. These manipulations can mitigate the threat of exploitation, but may not make it impossible. Manipulations could include conversion to upper or lower case, removal of metacharacters and filtering out of non-alphanumeric strings. However, techniques exist to bypass these filters and manipulations, such as alphanumeric shellcode, polymorphic code, self-modifying code, and return-to-libc attacks. The same methods can be used to avoid detection by intrusion detection systems. In some cases, including where code is converted into Unicode, the threat of the vulnerability has been misrepresented by the disclosers as only Denial of Service when in fact the remote execution of arbitrary code is possible.
Practicalities of exploitation
In real-world exploits there are a variety of challenges which need to be overcome for exploits to operate reliably. These factors include null bytes in addresses, variability in the location of shellcode, differences between environments, and various counter-measures in operation.
NOP sled technique
A NOP-sled is the oldest and most widely known technique for exploiting stack buffer overflows. It solves the problem of finding the exact address of the buffer by effectively increasing the size of the target area. To do this, much larger sections of the stack are corrupted with the no-op machine instruction. At the end of the attacker-supplied data, after the no-op instructions, the attacker places an instruction to perform a relative jump to the top of the buffer where the shellcode is located. This collection of no-ops is referred to as the "NOP-sled" because if the return address is overwritten with any address within the no-op region of the buffer, the execution will "slide" down the no-ops until it is redirected to the actual malicious code by the jump at the end. This technique requires the attacker to guess where on the stack the NOP-sled is instead of the comparatively small shellcode.
Because of the popularity of this technique, many vendors of intrusion prevention systems will search for this pattern of no-op machine instructions in an attempt to detect shellcode in use. It is important to note that a NOP-sled does not necessarily contain only traditional no-op machine instructions. Any instruction that does not corrupt the machine state to a point where the shellcode will not run can be used in place of the hardware assisted no-op. As a result, it has become common practice for exploit writers to compose the no-op sled with randomly chosen instructions which will have no real effect on the shellcode execution.
While this method greatly improves the chances that an attack will be successful, it is not without problems. Exploits using this technique still must rely on some amount of luck that they will guess offsets on the stack that are within the NOP-sled region. An incorrect guess will usually result in the target program crashing and could alert the system administrator to the attacker's activities. Another problem is that the NOP-sled requires a much larger amount of memory in which to hold a NOP-sled large enough to be of any use. This can be a problem when the allocated size of the affected buffer is too small and the current depth of the stack is shallow (i.e., there is not much space from the end of the current stack frame to the start of the stack). Despite its problems, the NOP-sled is often the only method that will work for a given platform, environment, or situation, and as such it is still an important technique.
The jump to address stored in a register technique
The "jump to register" technique allows for reliable exploitation of stack buffer overflows without the need for extra room for a NOP-sled and without having to guess stack offsets. The strategy is to overwrite the return pointer with something that will cause the program to jump to a known pointer stored within a register which points to the controlled buffer and thus the shellcode. For example, if register A contains a pointer to the start of a buffer then any jump or call taking that register as an operand can be used to gain control of the flow of execution.
In practice a program may not intentionally contain instructions to jump to a particular register. The traditional solution is to find an unintentional instance of a suitable opcode at a fixed location somewhere within the program memory. Figure E on the left contains an example of such an unintentional instance of the i386 jmp esp instruction. The opcode for this instruction is FF E4. This two-byte sequence can be found at a one-byte offset from the start of the instruction call DbgPrint at address 0x7C941EED. If an attacker overwrites the program return address with this address the program will first jump to 0x7C941EED, interpret the opcode FF E4 as the jmp esp instruction, and will then jump to the top of the stack and execute the attacker's code.
When this technique is possible the severity of the vulnerability increases considerably. This is because exploitation will work reliably enough to automate an attack with a virtual guarantee of success when it is run. For this reason, this is the technique most commonly used in Internet worms that exploit stack buffer overflow vulnerabilities.
This method also allows shellcode to be placed after the overwritten return address on the Windows platform. Since executables are mostly based at address 0x00400000 and x86 is a Little Endian architecture, the last byte of the return address must be a null, which terminates the buffer copy and nothing is written beyond that. This limits the size of the shellcode to the size of the buffer, which may be overly restrictive. DLLs are located in high memory (above 0x01000000) and so have addresses containing no null bytes, so this method can remove null bytes (or other disallowed characters) from the overwritten return address. Used in this way, the method is often referred to as "DLL trampolining".
Protective countermeasures
Various techniques have been used to detect or prevent buffer overflows, with various tradeoffs. The following sections describe the choices and implementations available.
Choice of programming language
Assembly, C, and C++ are popular programming languages that are vulnerable to buffer overflow in part because they allow direct access to memory and are not strongly typed. C provides no built-in protection against accessing or overwriting data in any part of memory. More specifically, it does not check that data written to a buffer is within the boundaries of that buffer. The standard C++ libraries provide many ways of safely buffering data, and C++'s Standard Template Library (STL) provides containers that can optionally perform bounds checking if the programmer explicitly calls for checks while accessing data. For example, a vector's member function at() performs a bounds check and throws an out_of_range exception if the bounds check fails. However, C++ behaves just like C if the bounds check is not explicitly called. Techniques to avoid buffer overflows also exist for C.
Languages that are strongly typed and do not allow direct memory access, such as COBOL, Java, Python, and others, prevent buffer overflow in most cases. Many programming languages other than C or C++ provide runtime checking and in some cases even compile-time checking which might send a warning or raise an exception, while C or C++ would overwrite data and continue to execute instructions until erroneous results are obtained, potentially causing the program to crash. Examples of such languages include Ada, Eiffel, Lisp, Modula-2, Smalltalk, OCaml and such C-derivatives as Cyclone, Rust and D. The Java and .NET Framework bytecode environments also require bounds checking on all arrays. Nearly every interpreted language will protect against buffer overflow, signaling a well-defined error condition. Languages that provide enough type information to do bounds checking often provide an option to enable or disable it. Static code analysis can remove many dynamic bound and type checks, but poor implementations and awkward cases can significantly decrease performance. Software engineers should carefully consider the tradeoffs of safety versus performance costs when deciding which language and compiler setting to use.
Use of safe libraries
The problem of buffer overflows is common in the C and C++ languages because they expose low level representational details of buffers as containers for data types. Buffer overflows can be avoided by maintaining a high degree of correctness in code that performs buffer management. It has also long been recommended to avoid standard library functions that are not bounds checked, such as gets, scanf and strcpy. The Morris worm exploited a gets call in fingerd.
Well-written and tested abstract data type libraries that centralize and automatically perform buffer management, including bounds checking, can reduce the occurrence and impact of buffer overflows. The primary data types in languages in which buffer overflows are common are strings and arrays. Thus, libraries preventing buffer overflows in these data types can provide the vast majority of the necessary coverage. However, failure to use these safe libraries correctly can result in buffer overflows and other vulnerabilities, and naturally any bug in the library is also a potential vulnerability. "Safe" library implementations include "The Better String Library", Vstr and Erwin. The OpenBSD operating system's C library provides the strlcpy and strlcat functions, but these are more limited than full safe library implementations.
In September 2007, Technical Report 24731, prepared by the C standards committee, was published. It specifies a set of functions that are based on the standard C library's string and IO functions, with additional buffer-size parameters. However, the efficacy of these functions for reducing buffer overflows is disputable. They require programmer intervention on a per function call basis that is equivalent to intervention that could make the analogous older standard library functions buffer overflow safe.
Buffer overflow protection
Buffer overflow protection is used to detect the most common buffer overflows by checking that the stack has not been altered when a function returns. If it has been altered, the program exits with a segmentation fault. Three such systems are Libsafe, and the StackGuard and ProPolice gcc patches.
Microsoft's implementation of Data Execution Prevention (DEP) mode explicitly protects the pointer to the Structured Exception Handler (SEH) from being overwritten.
Stronger stack protection is possible by splitting the stack in two: one for data and one for function returns. This split is present in the Forth language, though it was not a security-based design decision. Regardless, this is not a complete solution to buffer overflows, as sensitive data other than the return address may still be overwritten.
Pointer protection
Buffer overflows work by manipulating pointers, including stored addresses. PointGuard was proposed as a compiler-extension to prevent attackers from reliably manipulating pointers and addresses. The approach works by having the compiler add code to automatically XOR-encode pointers before and after they are used. Theoretically, because the attacker does not know what value will be used to encode and decode the pointer, one cannot predict what the pointer will point to if it is overwritten with a new value. PointGuard was never released, but Microsoft implemented a similar approach beginning in Windows XP SP2 and Windows Server 2003 SP1. Rather than implement pointer protection as an automatic feature, Microsoft added an API routine that can be called. This allows for better performance (because it is not used all of the time), but places the burden on the programmer to know when its use is necessary.
Because XOR is linear, an attacker may be able to manipulate an encoded pointer by overwriting only the lower bytes of an address. This can allow an attack to succeed if the attacker can attempt the exploit multiple times or complete an attack by causing a pointer to point to one of several locations (such as any location within a NOP sled). Microsoft added a random rotation to their encoding scheme to address this weakness to partial overwrites.
Executable space protection
Executable space protection is an approach to buffer overflow protection that prevents execution of code on the stack or the heap. An attacker may use buffer overflows to insert arbitrary code into the memory of a program, but with executable space protection, any attempt to execute that code will cause an exception.
Some CPUs support a feature called NX ("No eXecute") or XD ("eXecute Disabled") bit, which in conjunction with software, can be used to mark pages of data (such as those containing the stack and the heap) as readable and writable but not executable.
Some Unix operating systems (e.g. OpenBSD, macOS) ship with executable space protection (e.g. W^X). Some optional packages include:
PaX
Exec Shield
Openwall
Newer variants of Microsoft Windows also support executable space protection, called Data Execution Prevention. Proprietary add-ons include:
BufferShield
StackDefender
Executable space protection does not generally protect against return-to-libc attacks, or any other attack that does not rely on the execution of the attackers code. However, on 64-bit systems using ASLR, as described below, executable space protection makes it far more difficult to execute such attacks.
Address space layout randomization
Address space layout randomization (ASLR) is a computer security feature that involves arranging the positions of key data areas, usually including the base of the executable and position of libraries, heap, and stack, randomly in a process' address space.
Randomization of the virtual memory addresses at which functions and variables can be found can make exploitation of a buffer overflow more difficult, but not impossible. It also forces the attacker to tailor the exploitation attempt to the individual system, which foils the attempts of internet worms. A similar but less effective method is to rebase processes and libraries in the virtual address space.
Deep packet inspection
The use of deep packet inspection (DPI) can detect, at the network perimeter, very basic remote attempts to exploit buffer overflows by use of attack signatures and heuristics. This technique can block packets that have the signature of a known attack. It was formerly used in situations in which a long series of No-Operation instructions (known as a NOP-sled) was detected and the location of the exploit's payload was slightly variable.
Packet scanning is not an effective method since it can only prevent known attacks and there are many ways that a NOP-sled can be encoded. Shellcode used by attackers can be made alphanumeric, metamorphic, or self-modifying to evade detection by heuristic packet scanners and intrusion detection systems.
Testing
Checking for buffer overflows and patching the bugs that cause them helps prevent buffer overflows. One common automated technique for discovering them is fuzzing. Edge case testing can also uncover buffer overflows, as can static analysis. Once a potential buffer overflow is detected it should be patched. This makes the testing approach useful for software that is in development, but less useful for legacy software that is no longer maintained or supported.
History
Buffer overflows were understood and partially publicly documented as early as 1972, when the Computer Security Technology Planning Study laid out the technique: "The code performing this function does not check the source and destination addresses properly, permitting portions of the monitor to be overlaid by the user. This can be used to inject code into the monitor that will permit the user to seize control of the machine." Today, the monitor would be referred to as the kernel.
The earliest documented hostile exploitation of a buffer overflow was in 1988. It was one of several exploits used by the Morris worm to propagate itself over the Internet. The program exploited was a service on Unix called finger. Later, in 1995, Thomas Lopatic independently rediscovered the buffer overflow and published his findings on the Bugtraq security mailing list. A year later, in 1996, Elias Levy (also known as Aleph One) published in Phrack magazine the paper "Smashing the Stack for Fun and Profit", a step-by-step introduction to exploiting stack-based buffer overflow vulnerabilities.
Since then, at least two major internet worms have exploited buffer overflows to compromise a large number of systems. In 2001, the Code Red worm exploited a buffer overflow in Microsoft's Internet Information Services (IIS) 5.0 and in 2003 the SQL Slammer worm compromised machines running Microsoft SQL Server 2000.
In 2003, buffer overflows present in licensed Xbox games have been exploited to allow unlicensed software, including homebrew games, to run on the console without the need for hardware modifications, known as modchips. The PS2 Independence Exploit also used a buffer overflow to achieve the same for the PlayStation 2. The Twilight hack accomplished the same with the Wii, using a buffer overflow in The Legend of Zelda: Twilight Princess.
See also
Billion laughs
Buffer over-read
Coding conventions
Computer security
End-of-file
Heap overflow
Ping of death
Port scanner
Return-to-libc attack
Safety-critical system
Security-focused operating system
Self-modifying code
Software quality
Shellcode
Stack buffer overflow
Uncontrolled format string
References
External links
"Discovering and exploiting a remote buffer overflow vulnerability in an FTP server" by Raykoid666
"Smashing the Stack for Fun and Profit" by Aleph One
CERT Secure Coding Standards
CERT Secure Coding Initiative
Secure Coding in C and C++
SANS: inside the buffer overflow attack
"Advances in adjacent memory overflows" by Nomenumbra
A Comparison of Buffer Overflow Prevention Implementations and Weaknesses
More Security Whitepapers about Buffer Overflows
Chapter 12: Writing Exploits III from Sockets, Shellcode, Porting & Coding: Reverse Engineering Exploits and Tool Coding for Security Professionals by James C. Foster (). Detailed explanation of how to use Metasploit to develop a buffer overflow exploit from scratch.
Computer Security Technology Planning Study, James P. Anderson, ESD-TR-73-51, ESD/AFSC, Hanscom AFB, Bedford, MA 01731 (October 1972) [NTIS AD-758 206]
"Buffer Overflows: Anatomy of an Exploit" by Nevermore
Secure Programming with GCC and GLibc (2008), by Marcel Holtmann
"Criação de Exploits com Buffer Overflor – Parte 0 – Um pouco de teoria " (2018), by Helvio Junior (M4v3r1ck)
Software bugs
Computer memory
Computer security exploits
Articles with example C code | 19 |
Bug or BUG may refer to:
Common uses
A terrestrial arthropod animal (with at least six legs)
Insect, a six-legged arthropod
Hemiptera, the true bugs
Covert listening device, used in surveillance and espionage
Bug (engineering), a defect in an engineered system
Software bug
Hardware bug
BUG (tag), a computer programming comment tag
Pathogen, colloquially
Arts, entertainment and media
Fictional entities
Bug (comics), a superhero in Marvel comics
Bug (Starship Troopers), an alien race from the novel and film
Bug, Michael Lee's younger brother in The Wire
Bug, in the TV series WordWorld
Bobby "Bug" Guthrie, in the TV series Life Unexpected
Film and television
Bug (1975 film), an American horror film
Bug (2002 film), an American comedy film
Bug (2006 film), a psychological horror film adaptation of the Tracy Letts play
Bug, a 2017 film starring Gene Jones
"Bug" (Breaking Bad), a 2011 TV episode
Gaming
Bug (poker), a limited form of wild card
Bug, a Pokémon type
Bug!, a 1995 video game
Bughouse chess, or bug, a chess variant played on two boards
Music
Albums
Bug (Dave Davies album), 2002
Bug (Dinosaur Jr. album), 1988
Bug (soundtrack), of the 2006 film
Songs
"Bug", a song by Feeder from the 2001 album Echo Park
"Bug", a song by Lower Than Atlantis from the 2011 album World Record
"Bug", a song by Phish from the 2000 album Farmhouse
"The Bug", a 1992 song by Dire Straits
Other uses in arts, entertainment and media
BUG (magazine), a Croatian magazine
Bug (play), by Tracy Letts, 1993
Businesses and organizations
Bicycle User Group, a group set up to promote cycling issues
People
Bug Hall (born 1985), an American actor
Bug Holliday (1867–1910), an American baseball player
Bug Howard (born 1994), an American football player
Amy Bug, American physicist
Enric Bug (born 1957), pseudonym Bug Rogers, a Spanish comic book artist and industrial designer
The Bug (musician), a recording alias for British musician Kevin Martin
Places
Bug (river) or Western Bug, a river in Poland, Ukraine and Belarus
Southern Bug, Southern Buh or Boh, a river in Ukraine
Bug (Rügen), a spit and former village on the island of Rügen in Mecklenburg-Western Pomerania, Germany
Bug, Kentucky, a settlement in Clinton County, Kentucky, in the United States
Bag, Qasr-e Qand, also called Būg, a village in Sistan and Baluchestan Province, Iran
Science and technology
Slipper lobster (Scyllaridae), a number of species of which are called "bug"
Bug, a digital on-screen graphic of a broadcaster's logo
Bug, a Morse key design by Vibroplex
Web beacon or web bug, a tracking object embedded in a web page or e-mail
Transportation
Bond Bug, a British three-wheeled car
Dudly Bug, an early gas-powered cyclecar
Sandlin Bug, an American ultralight glider design
Volkswagen Beetle, an automobile nicknamed "Bug"
Bug railway station, in Pakistan
Bagaha railway station, Bihar, a railway station in India, station code BUG
Burgess Hill railway station, a railway station in Sussex, England
Other uses
Buginese language, ISO 639 language code bug
The Bug (horse) (1943–1963), an Irish-bred Thoroughbred racehorse
See also
Bugg (disambiguation)
Bugged (disambiguation)
Bugs (disambiguation)
Annoyance, an unpleasant mental state
Pathogen, an organism that causes disease
Dudley Bug, an extinct trilobite
Debugging, in computer programming and software development
Union label or union bug, a label marking a product made by union workers | 5 |
Barry Lamar Bonds (born July 24, 1964) is an American former professional baseball left fielder who played 22 seasons in Major League Baseball (MLB). Bonds was a member of the Pittsburgh Pirates from 1986 to 1992 and the San Francisco Giants from 1993 to 2007. He is considered to be one of the greatest baseball players of all time.
Recognized as an all-around player, Bonds received a record seven National League (NL) Most Valuable Player Awards and 12 Silver Slugger Awards, along with 14 All-Star selections. He holds many MLB hitting records, including most career home runs (762), most home runs in a single season (73, set in 2001), and most career walks. Bonds led MLB in on-base plus slugging six times and placed within the top five hitters in 12 of his 17 qualifying seasons. For his defensive play in the outfield, he won eight Gold Glove Awards. He also had 514 stolen bases, becoming the first and only MLB player to date with at least 500 home runs and 500 stolen bases. Bonds is ranked first in career Wins Above Replacement among all major league position players by Baseball-Reference.com and second by FanGraphs, behind only Babe Ruth.
Despite his accolades, Bonds led a controversial career, notably as a central figure in baseball's steroids scandal. He was indicted in 2007 on charges of perjury and obstruction of justice for allegedly lying to a grand jury during the federal government's investigation of BALCO, a manufacturer of an undetectable steroid. After the perjury charges were dropped, Bonds was convicted of obstruction of justice in 2011, but the conviction was overturned in 2015. During his 10 years of eligibility, he did not receive the 75% of the vote needed to be elected to the National Baseball Hall of Fame. Some voters of the Baseball Writers' Association of America (BBWAA) stated they did not vote for Bonds because he used performance-enhancing drugs.
Early life
Bonds was born in Riverside, California, to Patricia (née Howard) and former major leaguer Bobby Bonds, and grew up in San Carlos and attended Junípero Serra High School in San Mateo, where he excelled in baseball, basketball, and football. He played on the junior varsity team during his freshman year and on the varsity team for the remainder of his high school career. He garnered a .467 batting average his senior year, and was named prep All-American. The Giants drafted Bonds in the second round of the 1982 MLB draft as a high school senior but the Giants and Bonds were unable to agree on contract terms when Tom Haller's maximum offer was $70,000 ($ today) and Bonds's minimum to go pro was $75,000, so Bonds instead decided to attend college.
College career
Bonds attended Arizona State University, hitting .347 with 45 home runs and 175 runs batted in (RBI). In 1984 he batted .360 and had 30 stolen bases. In 1985, he hit 23 home runs with 66 RBIs and a .368 batting average. He was a Sporting News All-American selection that year. He tied the NCAA record with seven consecutive hits in the College World Series as a sophomore and was named to All-Time College World Series Team in 1996.
Bonds was not well-liked by his Sun Devil teammates, in part because in the words of longtime coach Jim Brock, he was "rude, inconsiderate and self-centered." When he was suspended for breaking curfew, the other players initially voted against his return even though he was easily the best player on the team.
He graduated from Arizona State in 1986 with a degree in criminology. He was named ASU On Deck Circle Most Valuable Player; other winners include Dustin Pedroia, Willie Bloomquist, Paul Lo Duca, and Ike Davis. During college, he played part of one summer in the amateur Alaska Baseball League with the Alaska Goldpanners.
Professional career
Draft and minor leagues
The Pittsburgh Pirates drafted Bonds as the sixth overall pick of the 1985 Major League Baseball draft. He joined the Prince William Pirates of the Carolina League and was named July 1985 Player of the Month for the league. In 1986, he hit .311 in 44 games for the Hawaii Islanders of the Pacific Coast League.
Pittsburgh Pirates (1986–1992)
Before Bonds made it to the major leagues in Pittsburgh, Pirate fan attendance was low, with 1984 and 1985 attendance below 10,000 per game for the 81-game home schedule, with attendance woes being a combination of the economic problems of Western Pennsylvania in the early 1980s as well as the Pittsburgh drug trials that directly affected the Pirates going from World Series champions to nearly relocating to Denver in only six years. Bonds made his major league debut on May 30, 1986. In 1986, Bonds led National League (NL) rookies with 16 home runs, 48 RBI, 36 stolen bases, and 65 walks, but he finished 6th in Rookie of the Year voting. He played center field in 1986 but switched to left field with the arrival of centerfielder Andy Van Slyke in 1987.
In his early years, Bonds batted as the leadoff hitter. With Van Slyke also in the outfield, the Pirates had a venerable defensive tandem that worked together to cover a lot of ground on the field although they were not close off the field. The Pirates experienced a surge in fan enthusiasm with Bonds on the team and set the club attendance record of 52,119 in the 1987 home opener. That year, he hit 25 home runs in his second season, along with 32 stolen bases and 59 RBIs.
Bonds improved in 1988, hitting .283 with 24 home runs. The Pirates broke the record set the previous year with 54,089 attending the home opener. Bonds now fit into a highly respected lineup featuring Bobby Bonilla, Van Slyke, and Jay Bell. He finished with 19 homers, 58 RBIs, and 14 outfield assists in 1989, which was second in the NL. Following the season, rumors that he would be traded to the Los Angeles Dodgers for Jeff Hamilton and John Wetteland, but the team denied the rumors and no such trade occurred.
Bonds won his first MVP Award in 1990, hitting .301 with 33 home runs and 114 RBIs. He also stole 52 bases, which was third in the league, to become a first-time member of the 30–30 club. He won his first Gold Glove Award and Silver Slugger Award. That year, the Pirates won the National League East title for their first postseason berth since winning the 1979 World Series. However, the Cincinnati Reds, whose last post-season berth had also been in 1979 when they lost to the Pirates in that year's NLCS, defeated the Pirates in the NLCS en route to winning the 1990 World Series.
In 1991, Bonds also put up great numbers, hitting 25 homers and driving in 116 runs, and obtained another Gold Glove and Silver Slugger. He finished second to the Atlanta Braves' Terry Pendleton (the NL batting champion) in the MVP voting.
In March 1992, Pirates general manager Ted Simmons agreed to a deal with Atlanta Braves counterpart John Schuerholz to trade Bonds, in exchange for Alejandro Peña, Keith Mitchell, and a player to be named later. Pirates manager Jim Leyland opposed the trade vehemently, and the proposal was rescinded. Bonds stayed with Pittsburgh and won his second MVP award that season. While hitting .311 with 34 homers and 103 RBIs, he propelled the Pirates to their third straight National League East division title. However, Pittsburgh was defeated by the Braves in a seven-game National League Championship Series. Bonds participated in the final play of Game 7 of the NLCS, whereby he fielded a base hit by Francisco Cabrera and attempted to throw out Sid Bream at home plate. But the throw to Pirates catcher Mike LaValliere was late and Bream scored the winning run. For the third consecutive season, the NL East Champion Pirates were denied a trip to the World Series. Following the loss, Bonds and star teammate Doug Drabek were expected to command salaries too high for Pittsburgh to again sign them.
Bonds was never well-liked by reporters or fans while in Pittsburgh, despite winning two MVP awards. One paper even gave him an "award" as the "MDP" (Most Despised Pirate).
San Francisco Giants (1993–2007)
1993 season
In 1993, Bonds left the Pirates to sign a lucrative free agent contract worth a then-record $43.75 million (equivalent to $ million in ) over six years with the Giants, with whom his father had spent the first seven years of his career, and with whom his godfather Willie Mays played 22 of his 24 Major League seasons. The deal was at that time the largest in baseball history, in terms of both total value and average annual salary.
Once he signed with the Giants, Bonds had intended to wear the number 24, his number during most of his stay with the Pirates and, after receiving Mays's blessing, the Giants were willing to unretire it until the public commotion from fans and media became too much. To honor his father, Bonds switched his jersey number to 25, as it had been Bobby's number in San Francisco.
In an emotional press conference announcing the signing, Bonds described joining the Giants as going "home" and following in the footsteps of his father and godfather as "unbelievable" and "a boyhood dream come true."
Bonds hit .336 in 1993, leading the league with 46 home runs and 123 RBI en route to his second consecutive MVP award, and third overall. As good as the Giants were (winning 103 games), the Atlanta Braves won 104 in what some call the last great pennant race (because the wild card was instituted the year after).
1994 season
In the strike-shortened season of 1994, Bonds hit .312 with 37 home runs and a league-leading 74 walks, and he finished 4th in MVP voting.
1995 season
In 1995, Bonds hit 33 homers and drove in 104 runs, hitting .294 but finished only 12th in MVP voting. In 1994, he appeared in a small role as himself in the television film Jane's House, starring James Woods and Anne Archer.
1996 season
In 1996, Bonds became the first National League player and second major league player (of the current list of four) to hit 40 home runs and steal 40 bases in the same season. The other members of the 40–40 club are José Canseco (1988), Alex Rodriguez (1998), and Alfonso Soriano (2006). His father Bobby Bonds was one home run short in 1973 when he hit 39 home runs and stole 43 bases.
Bonds hit his 300th and 301st home runs off the Florida Marlins' John Burkett on April 27. He became the fourth player in history to join the 300–300 club with 300 stolen bases and 300 home runs for a career, joining Willie Mays, Andre Dawson, and his father. Bonds's totals for the season included 129 runs driven in, a .308 average and a then-National League record 151 walks. He finished fifth in the MVP balloting.
1997 season
In 1997, Bonds hit .291, his lowest average since 1989. He hit 40 home runs for the second straight year and drove in 101 runs, leading the league in walks again with 145. He also stole 37 bases, tying his father for having the most 30–30 seasons (5), and he again placed fifth in the MVP balloting.
1998 season
With two outs in the 9th inning of a game against the Arizona Diamondbacks on May 28, 1998, Bonds became only the fifth player in baseball history to be given an intentional walk with the bases loaded. Nap Lajoie (1901), Del Bissonette (1928) and Bill Nicholson (1944) were three others in the 20th century who received that rare honor. The first to receive one was Abner Dalrymple in 1881.
On August 23, Bonds hit his 400th career home run. By doing so, he became the first player ever to enter the 400–400 club by having career totals of 400 home runs and 400 stolen bases; he is still the only player to have achieved this feat. The milestone home run came off Kirt Ojala, who, like Burkett, was pitching for the Marlins. For the season, he hit .303 with 37 home runs and drove in 122 runs, winning his eighth Gold Glove, He finished 8th in the MVP voting.
1999 season
1999 marked a career-low, up to that point, for Bonds in terms of playing time. Bonds started off the 1999 season hitting well by batting .366 in the month of April with 4 home runs and 12 RBIs in the Giants' first 12 games of the season. But on April 18 he was placed on the 15-day disabled list for only the 2nd time in his career up to that point. Bonds had suffered a torn tendon in his biceps as well as bone spurs in his elbow, both of which required surgery and cost him the rest of April and all of May.
Upon returning to action on June 9, Bonds struggled somewhat at the plate for the remainder of the 1999 season. A series of nagging injuries including elbow pain, knee inflammation and groin issues hampered his play. Only hitting .248 after his return from the disabled list, he still managed to slug 34 home runs, drive in 83 runs as well as hit for a .617 slugging percentage, despite missing nearly two full months with injuries and only playing in 102 games.
Bill James ranked Bonds as the best player of the 1990s. He added that the decade's second-best player, Craig Biggio, had been closer in production to the decade's 10th-best player than to Bonds. In 1999, with statistics through 1997 being considered, Bonds ranked Number 34 on The Sporting News' list of the 100 Greatest Baseball Players, making him the highest-ranking active player.
When the Sporting News list was redone in 2005, Bonds was ranked 6th behind Babe Ruth, Willie Mays, Ty Cobb, Walter Johnson, and Hank Aaron. Bonds was omitted from 1999's Major League Baseball All-Century Team, to which Ken Griffey Jr. was elected. James wrote of Bonds, "Certainly the most unappreciated superstar of my lifetime. ... Griffey has always been more popular, but Bonds has been a far, far greater player." In 1999, he rated Bonds as the 16th-best player of all time. "When people begin to take in all of his accomplishments", he predicted, "Bonds may well be rated among the five greatest players in the history of the game."
2000 season
In 2000, the following year, Bonds hit .306 with career bests through that time in both slugging percentage (.688) and home runs (49) in just 143 games. He also drew a league-leading 117 walks.
2001 season
The next year, Bonds's offensive production reached even higher levels, breaking not only his own personal records but several major league records. In the Giants' first 50 games in 2001, he hit 28 home runs, including 17 in May—a career high. This early stretch included his 500th home run hit on April 17 against Terry Adams of the Los Angeles Dodgers. He also hit 39 home runs by the All-star break (a major league record), drew a major league record 177 walks, and had a .515 on-base average, a feat not seen since Mickey Mantle and Ted Williams over forty years earlier. Bonds' slugging percentage was a major league record .863 (411 total bases in 476 at-bats), and he ended the season with a major league record 73 home runs.
On October 4, by homering off Wilfredo Rodríguez in the 159th game of the season, Bonds tied the previous record of 70 set by Mark McGwire—which McGwire set in the 162nd game in 1998. He then hit numbers 71 and 72 the following night off Chan Ho Park. Bonds added his 73rd off Dennis Springer on October 7. The ball was later sold to toy manufacturer Todd McFarlane for $450,000. He previously bought Mark McGwire's 70th home run ball from 1998. Bonds received the Babe Ruth Home Run Award for leading MLB in home runs that season.
2002 season
Bonds re-signed with the Giants for a five-year, $90 million contract in January 2002. He hit five home runs in the Giants' first four games of the season, tying Lou Brock's 35-year record for most home runs after four games. He won the NL batting title with a career-high .370 average and struck out only 47 times. He hit 46 home runs in 403 at-bats.
Despite playing in nine fewer games than the previous season, he drew 198 walks, a major-league record; 68 of them were intentional walks, surpassing Willie McCovey's 45 in 1969 for another Major League record. He slugged .799, then the fourth-highest total all time. Bonds broke Ted Williams' major league record for on-base average with .582. Bonds also hit his 600th home run, less than a year and a half after hitting his 500th. The home run came on August 9 at home against Kip Wells of the Pirates.
2002 postseason
Bonds batted .322 with eight home runs, 16 RBI, and 27 walks in the postseason en route to the 2002 World Series, which the Giants lost 4–3 to the Anaheim Angels.
2003 season
In 2003, Bonds played in just 130 games. He hit 45 home runs in just 390 at-bats, along with a .341 batting average. He slugged .749, walked 148 times, and had an on-base average well over .500 (.529) for the third straight year. He also became the only member of the career 500 home run/500 stolen base club by stealing second base on June 23 off of pitcher Éric Gagné in the 11th inning of a tied ball game against the Los Angeles Dodgers (against whom Bonds had tallied his 500th home run). Bonds scored the game-winning run later that inning.
2004 season
In 2004, Bonds had perhaps his best season. He hit .362 en route to his second National League batting title, and broke his own record by walking 232 times (including a MLB record 120 intentional walks). He slugged .812, which was fourth-highest of all time, and broke his on-base percentage record with a .609 average. Bonds passed Mays on the career home run list by hitting his 661st off of Ben Ford on April 13. He then hit his 700th off of Jake Peavy on September 17. Bonds hit 45 home runs in 373 at-bats, and struck out just 41 times, putting himself in elite company, as few major leaguers have ever had more home runs than strikeouts in a season. Bonds would win his fourth consecutive MVP award and his seventh overall. His seven MVP awards are four more than any other player in history. In addition, no other player from either league has been awarded the MVP four times in a row. (The MVP award was first given in 1931). The 40-year-old Bonds also broke Willie Stargell's 25-year record as the oldest player to win a Most Valuable Player Award (Stargell, at 39 years, 8 months, was National League co-MVP with Keith Hernandez in 1979). On July 4, he tied and passed Rickey Henderson's career bases on balls record with his 2190th and 2191st career walks.
As Bonds neared Aaron's record, Aaron was called on for his opinion of Bonds. He clarified that he was a fan and admirer of Bonds and avoided the controversy regarding whether the record should be denoted with an asterisk for Bonds's alleged steroid usage. He felt recognition and respect for the award was something to be determined by the fans. As the steroid controversy received greater media attention during the offseason before the 2005 season, Aaron expressed some reservations about the statements Bonds made on the issue. Aaron expressed that he felt drug and steroid use to boost athletic performance was inappropriate. Aaron was frustrated that the media could not focus on events that occurred in the field of play and wished drugs or gambling allegations such as those associated with Pete Rose could be emphasized less. In 2007, Aaron felt the whole steroid use issue was very controversial and decided that he would not attend any possible record-breaking games. Aaron congratulated Bonds through the media including a video played on the scoreboard when Bonds eventually broke Aaron's record in August 2007.
2005 season
Bonds's salary for the 2005 season was $22 million, the second-highest salary in Major League Baseball (the Yankees' Alex Rodriguez earned the highest, $25.2 million).
Bonds endured a knee injury, multiple surgeries, and rehabilitation. He was activated on September 12 and started in left field. In his return against the San Diego Padres, he nearly hit a home run in his first at-bat. Bonds finished the night 1-for-4. Upon his return, Bonds resumed his high-caliber performance at the plate, hitting home runs in four consecutive games from September 18 to 21 and finishing with five homers in only 14 games.
2006 season
In 2006, Bonds earned $20 million (not including bonuses), the fourth-highest salary in baseball. Through the 2006 season he had earned approximately $172 million during his then 21-year career, making him baseball's all-time highest-paid player. Bonds hit under .200 for his first 10 games of the season and did not hit a home run until April 22. This 10-game stretch was his longest home run slump since the 1998 season. On May 7, Bonds drew within one home run of tying Babe Ruth for second place on the all-time list, hitting his 713th career home run into the second level of Citizens Bank Park in Philadelphia, off pitcher Jon Lieber in a game in which the Giants lost to the Philadelphia Phillies. The towering home run—one of the longest in Citizens Bank Park's two-season history, traveling an estimated 450 feet (140 m)—hit off the facade of the third deck in right field.
On May 20, Bonds hit his 714th career home run to deep right field to lead off the top of the 2nd inning, tying Ruth for second all-time. The home run came off left-handed pitcher Brad Halsey of the Oakland A's, in an interleague game played in Oakland, California. Since this was an interleague game at an American League stadium, Bonds was batting as the designated hitter in the lineup for the Giants. Bonds was quoted after the game as being "glad it's over with" and stated that more attention could be focused on Albert Pujols, who was on a very rapid home run pace in early 2006.
On May 28, Bonds passed Ruth, hitting his 715th career home run to center field off Colorado Rockies pitcher Byung-hyun Kim. The ball was hit an estimated 445 feet (140 m) into center field where it went through the hands of several fans but then fell onto an elevated platform in center field. Then it rolled off the platform where Andrew Morbitzer, a 38-year-old San Francisco resident, caught the ball while he was in line at a concession stand. Mysteriously, radio broadcaster Dave Flemming's radio play-by-play of the home run went silent just as the ball was hit, apparently from a microphone failure. But the televised version, called by Giants broadcaster Duane Kuiper, was not affected.
On September 22, Bonds tied Henry Aaron's National League career home run record of 733. The home run came in the top of the 6th inning of a high-scoring game against the Milwaukee Brewers, at Miller Park in Milwaukee, Wisconsin. The achievement was notable for its occurrence in the very city where Aaron began (with the Milwaukee Braves) and concluded (with the Brewers, then in the American League) his career. With the Giants trailing 10–8, Bonds hit a blast to deep center field on a 2–0 pitch off the Brewers' Chris Spurling with runners on first and second and one out. Though the Giants were at the time clinging to only a slim chance of making the playoffs, Bonds's home run provided the additional drama of giving the Giants an 11–10 lead late in a critical game in the final days of a pennant race. The Brewers eventually won the game, 13–12, though Bonds went 3-for-5, with two doubles, the record-tying home run, and six runs batted in.
On September 23, Bonds surpassed Aaron for the NL career home run record. Hit in Milwaukee like the previous one, this was a solo home run off Chris Capuano of the Brewers. This was the last home run Bonds hit in 2006. In 2006, Bonds recorded his lowest slugging percentage (a statistic that he had historically ranked among league leaders season after season) since 1991 with the Pittsburgh Pirates.
In January 2007, the New York Daily News reported that Bonds had tested positive for amphetamines. Under baseball's amphetamine policy, which had been in effect for one season, players testing positive were to submit to six additional tests and undergo treatment and counseling. The policy also stated that players were not to be identified for a first positive test, but the New York Daily News leaked the test's results. When the Players Association informed Bonds of the test results, he initially attributed it to a substance he had taken from the locker of Giants teammate Mark Sweeney, but would later retract this claim and publicly apologize to Sweeney.
2007 season
On January 29, 2007, the Giants finalized a contract with Bonds for the 2007 season. After the commissioner's office rejected Bonds's one-year, $15.8 million deal because it contained a personal-appearance provision, the team sent revised documents to his agent, Jeff Borris, who stated that "At this time, Barry is not signing the new documents." Bonds signed a revised one-year, $15.8 million contract on February 15 and reported to the Giants' Spring training camp on time.
Bonds resumed his march to the all-time record early in the 2007 season. In the season opener on April 3, all he had was a first-inning single past third base with the infield shifted right, immediately followed by a stolen base and then thrown out at home on a baserunning mistake, followed by a deep fly-out to left field, late in the game. Bonds regrouped the next day with his first at-bat in the second game of the season at the Giants' AT&T Park. Bonds hit a pitch from Chris Young of the San Diego Padres just over the wall to the left of straight-away center field for career home run 735. This home run put Bonds past the midway point between Ruth and Aaron.
Bonds did not homer again until April 13, when he hit two (736 and 737) in a 3 -or-3 night that included 4 RBI against the Pittsburgh Pirates. Bonds splashed a pitch by St. Louis Cardinals pitcher Ryan Franklin into McCovey Cove on April 18 for home run 738. Home runs number 739 and 740 came in back to back games on April 21 and 22 against the Arizona Diamondbacks.
The hype surrounding Bonds's pursuit of the home run record escalated on May 14. On this day, Sports Auction for Heritage (a Dallas-based auction house) offered US$1 million to the fan who would catch Bonds's record-breaking 756th-career home run. The million-dollar offer was rescinded on June 11 out of concern of fan safety. Home run 748 came on Father's Day, June 17, in the final game of a three-game road series against the Boston Red Sox at Fenway Park, where Bonds had never previously played. With this homer, Fenway Park became the 36th major league ballpark in which Bonds had hit a home run. He hit a Tim Wakefield knuckleball just over the low fence into the Giant's bullpen in right field. It was his first home run off his former Pittsburgh Pirate teammate, who became the 441st different pitcher to surrender a four-bagger to Bonds. The 750th career home run, hit on June 29, also came off a former teammate: Liván Hernández. The blast came in the 8th inning and at that point tied the game at 3–3.
On July 19, after a 21 at-bat hitless streak, Bonds hit two home runs, numbers 752 and 753, against the Chicago Cubs. He went 3-for-3 with two home runs, six RBIs, and a walk on that day. The struggling last-place Giants still lost the game, 9–8. On July 27, Bonds hit home run 754 against Florida Marlins pitcher Rick VandenHurk. Bonds was then walked his next four at-bats in the game, but a two-run shot helped the Giants win the game 12–10. It marked the first time since he had hit #747 that Bonds had homered in a game the Giants won. On August 4, Bonds hit a 382 foot (116 m) home run against Clay Hensley of the San Diego Padres for home run number 755, tying Hank Aaron's all-time record. Bonds greeted his son, Nikolai, with an extended bear hug after crossing home plate. Bonds greeted his teammates and then his wife, Liz Watson, and daughter Aisha Lynn behind the backstop. Hensley was the 445th different pitcher to give up a home run to Bonds. Ironically, given the cloud of suspicion that surrounded Bonds, the tying home run was hit off a pitcher who had been suspended by baseball in 2005 for steroid use. He was walked in his next at-bat and eventually scored on a fielder's choice.
On August 7 at 8:51 PM PDT, at Oracle Park (then known as AT&T Park) in San Francisco, Bonds hit a 435 foot (133 m) home run, his 756th, off a pitch from Mike Bacsik of the Washington Nationals, breaking the all-time career home run record, formerly held by Hank Aaron. Coincidentally, Bacsik's father had faced Aaron (as a pitcher for the Texas Rangers) after Aaron had hit his 755th home run. On August 23, 1976, Michael J. Bacsik held Aaron to a single and a fly out to right field. The younger Bacsik commented later, "If my dad had been gracious enough to let Hank Aaron hit a home run, we both would have given up 756." After hitting the home run, Bonds gave Bacsik an autographed bat.
The pitch, the seventh of the at-bat, was a 3–2 pitch which Bonds hit into the right-center field bleachers. The fan who ended up with the ball, 22-year-old Matt Murphy from Queens, New York City, (and a Mets fan), was promptly protected and escorted away from the mayhem by a group of San Francisco police officers. After Bonds finished his home run trot, a 10-minute delay followed, including a brief video by Aaron congratulating Bonds on breaking the record Aaron had held for 33 years, and expressing the hope that "the achievement of this record will inspire others to chase their own dreams". Bonds made an impromptu emotional statement on the field, with Willie Mays, his godfather, at his side and thanked his teammates, family and his late father. Bonds sat out the rest of the game.
The commissioner, Bud Selig, was not in attendance in this game but was represented by the Executive Vice President of Baseball Operations, Jimmie Lee Solomon. Selig called Bonds later that night to congratulate him on breaking the record. President George W. Bush also called Bonds the next day to congratulate him. On August 24, San Francisco honored and celebrated Bonds' career accomplishments and breaking the home run record with a large rally in Justin Herman Plaza. The rally included video messages from Lou Brock, Ernie Banks, Ozzie Smith, Joe Montana, Wayne Gretzky and Michael Jordan. Speeches were made by Willie Mays, Giants teammates Omar Vizquel and Rich Aurilia, and Giants owner Peter Magowan. Mayor Gavin Newsom presented Bonds the key to the City and County of San Francisco and Giants vice president Larry Baer gave Bonds the home plate he touched after hitting his 756th career home run.
The record-setting ball was consigned to an auction house on August 21. Bidding began on August 28 and closed with a winning bid of US$752,467 on September 15 after a three-phase online auction. The high bidder, fashion designer Marc Ecko, created a website to let fans decide its fate. Subsequently, Ben Padnos, who submitted the $186,750 winning bid on Bonds' record-tying 755th home run ball also set up a website to let fans decide its fate. Ten million voters helped Ecko decide to brand the ball with an asterisk and send it to the National Baseball Hall of Fame and Museum. Of Ecko's plans, Bonds said "He spent $750,000 on the ball and that's what he's doing with it? What he's doing is stupid." Padnos, on the other hand, sold five-year ads on a website, www.endthedebate.com, where people voted by a two-to-one margin to smash the ball.
Bonds concluded the 2007 season with a .276 batting average, 28 home runs, and 66 RBIs in 126 games and 340 at-bats. At the age of 43, he led both leagues in walks with 132.
Post-playing career
On September 21, 2007, the San Francisco Giants confirmed that they would not re-sign Bonds for the 2008 season. The story was first announced on Bonds' own website earlier that day. Bonds officially filed for free agency on October 29, 2007. His agent Jeff Borris said: "I'm anticipating widespread interest from every Major League team."
There was much speculation before the 2008 season about where Bonds might play. However, no one signed him during the 2008 or 2009 seasons. If he had returned to Major League Baseball, Bonds would have been within close range of several significant hitting milestones, needing just 65 hits to reach 3,000, four runs batted in to reach 2,000, and 38 home runs to reach 800. He would have needed 69 more runs scored to move past Rickey Henderson as the all-time runs champion, and 37 extra base hits to move past Hank Aaron as the all-time extra base hits champion.
As of November 13, 2009, Borris maintained that Bonds was still not retired. On December 9, however, Borris told the San Francisco Chronicle that Bonds had played his last major league game. Bonds announced on April 11, 2010, that he was proud of McGwire for admitting his use of steroids. Bonds said that it was not the time to retire, but he noted that he was not in shape to play immediately if an interested club called him. In May 2015, Bonds filed a grievance against Major League Baseball through the players' union arguing that the league colluded in not signing him after the 2007 season. In August 2015, an arbitrator ruled in favor of MLB and against Bonds in his collusion case.
On December 15, 2011, Bonds was sentenced to 30 days of house arrest, two years of probation and 250 hours of community service, for an obstruction of justice conviction stemming from a grand jury appearance in 2003. However, U.S. District Judge Susan Illston then delayed the sentence pending an appeal. In 2013 his conviction was upheld on appeal by a three judge panel of the United States Court of Appeals for the Ninth Circuit. However, the full court later granted Bonds an en banc rehearing, and on April 22, 2015, an 11-judge panel of the Ninth Circuit voted 10–1 to overturn his conviction.
On March 10, 2014, Bonds began a seven-day stint as a roving spring training instructor for the Giants. On December 4, 2015, he was announced as the new hitting coach for the Miami Marlins, but was relieved of his duties on October 3, 2016, after just one season. He followed up with a public thank-you letter, acknowledging owner Jeffrey Loria, and the opportunity as "one of the most rewarding experiences of my baseball career." In 2017, Bonds officially re-joined the Giants organization as a special advisor to the CEO. On July 8, 2017, Bonds was added to the Giants Wall of Fame.
On February 6, 2018, the San Francisco Giants announced their intentions to retire his number 25 jersey, which happened on August 11, 2018. His number 24 with the Pirates remains in circulation, most prominently worn by Brian Giles from 1999 to 2003 and by Pedro Alvarez from 2011 to 2015.
National Baseball Hall of Fame consideration
In his ten years of eligibility for the National Baseball Hall of Fame, Bonds fell short of the 75% of the votes from the Baseball Writers' Association of America (BBWAA) needed for induction. His vote percentages from 2013 through 2022 were: 36.2%, 34.7%, 36.8%, 44.3%, 53.8%, 56.4%, 59.1%, 60.7%, 61.8% and 66%. He appeared on 260 of 394 ballots in his last year.
Despite falling off the ballot, Bonds remained eligible through the Hall of Fame's Today's Game Committee, a committee " 16 members of the National Baseball Hall of Fame, executives, and veteran media members" (hence the nickname of "veterans' committee") who consider retired players who lost ballot eligibility while still having made notable contributions to baseball from 1986 to 2016. The vote was held in December 2022; twelve of the sixteen votes were required for induction, but Bonds received fewer than four.
Public persona
During his playing career, Bonds was frequently described as a difficult person, surly, standoffish and ungrateful. In a 2016 interview with Terence Moore, he said he regretted the persona he had created. He attributed it to a response to the pressure he felt to perform as a young player with the Pirates. Remarked Bonds,
Bonds reports that for a short time during his playing days with the Giants he changed his demeanor at the behest of a group of teammates, smiling much more frequently and engaging more with others with a pleasant attitude. Shortly thereafter, Bonds says, in the midst of a slump, the same group of teammates pleaded that he revert, having seemingly lost his competitive edge, and causing the team to lose more. In spite of his protest that they would not appreciate the results, his teammates insisted. Bonds says he complied, maintaining that familiar standoffish edge the rest of his playing career.
On May 9, 1996, Bonds shoved USA Today journalist Rod Beaton in the team's clubhouse. As Beaton was waiting to interview Robby Thompson one hour before a game against the St. Louis Cardinals, Bonds told Beaton to leave. The reporter replied that Major League Baseball rules allowed him 15 minutes more to talk with players. Bonds waved a finger in Beaton's face and shoved him in the chest, after which members of the team's coaching staff and front office interceded. Bonds and Beaton spoke again after the game. Beaton later said, "He accused me of having an attitude" and "I told him he went over the line by shoving me, but there was no apology". Bonds felt that the incident was overblown and said that, "We don't have a problem. We like each other. It was a big joke. He just got whacked out." Beaton filed no formal complaint about the incident, but USA Today filed a grievance with the team.
Controversies
BALCO scandal
Since 2003, Bonds has been a key figure in the Bay Area Laboratory Co-operative (BALCO) scandal. BALCO marketed tetrahydrogestrinone ("the Clear"), a performance-enhancing anabolic steroid that was undetectable by doping tests. He was under investigation by a federal grand jury regarding his testimony in the BALCO case, and was indicted on perjury and obstruction of justice charges on November 15, 2007. The indictment alleges that Bonds lied while under oath about his alleged use of steroids.
In 2003, BALCO's Greg Anderson, Bonds's trainer since 2000, was indicted by a federal grand jury in the United States District Court for the Northern District of California and charged with supplying anabolic steroids to athletes, including a number of baseball players. This led to speculation that Bonds had used performance-enhancing drugs during a time when there was no mandatory testing in Major League Baseball. Bonds declared his innocence, attributing his changed physique and increased power to a strict regimen of bodybuilding, diet, and legitimate supplements.
During grand jury testimony on December 4, 2003, Bonds said that he used a clear substance and a cream that he received from his personal strength trainer, Greg Anderson, who told him they were the nutritional supplement flaxseed oil and a rubbing balm for arthritis. Later reports on Bonds's leaked grand-jury testimony contend that he admitted to unknowingly using "the cream" and "the clear".
In July 2005, all four defendants in the BALCO steroid scandal trial, including Anderson, struck deals with federal prosecutors that did not require them to reveal names of athletes who might have used banned drugs.
Perjury case
On November 15, 2007, a federal grand jury indicted Bonds on four counts of perjury and one count of obstruction of justice as it relates to the government investigation of BALCO. He was tried in the U.S. District Court for the Northern District of California. On February 14, 2008, a typo in court papers filed by Federal prosecutors erroneously alleged that Bonds tested positive for steroids in November 2001, a month after hitting his record 73rd home run. The reference was meant instead to refer to a November 2000 test that had already been disclosed and previously reported. The typo sparked a brief media frenzy. His trial for obstruction of justice was to have begun on March 2, 2009, but jury selection was postponed by emergency appeals by the prosecution. The trial commenced on March 21, 2011, with Judge Susan Illston presiding. He was convicted on April 13, 2011, on the obstruction of justice charge, for giving an evasive answer to a question under oath. On December 15, 2011, Bonds was found guilty for an obstruction of justice conviction stemming from a grand jury appearance in 2003. However, U.S. District Judge Susan Illston then delayed the sentence pending his appeal. He was sentenced to 30 days of house arrest. He also received two years of probation and was ordered to perform 250 hours of community service.
Bonds appealed his conviction to the U.S. Court of Appeals for the Ninth Circuit. In 2013, a three-judge panel of the Ninth Circuit affirmed his conviction, but in 2015 his appeal was reheard by the full court en banc, which voted 10–1 to overturn his conviction.
Player's union licensing withdrawal
In 2003, Bonds withdrew from the MLB Players Association (MLBPA) licensing agreement because he felt independent marketing deals would be more lucrative for him. Bonds is the first player in the 30-year history of the licensing program not to sign. Because of this withdrawal, his name and likeness are not usable in any merchandise licensed by the MLBPA. In order to use his name or likeness, a company must deal directly with Bonds. For this reason, he does not appear in some baseball video games, forcing game-makers to create generic athletes as replacements. These generic video games replacements tended to be white and sometimes had different handedness which was done likely to avoid potential player likeness lawsuits from Bonds.
Game of Shadows
In March 2006 the book Game of Shadows, written by Lance Williams and Mark Fainaru-Wada, was released amid a storm of media publicity including the cover of Sports Illustrated. Initially small excerpts of the book were released by the authors in the issue of Sports Illustrated. The book alleges Bonds used stanozolol and a host of other steroids, and is perhaps most responsible for the change in public opinion regarding Bonds's steroid use.
The book contained excerpts of grand jury testimony that is supposed to be sealed and confidential by law. The authors have been steadfast in their refusal to divulge their sources and at one point faced jail time. On February 14, 2007, Troy Ellerman, one of Victor Conte's lawyers, pleaded guilty to leaking grand jury testimony. Through the plea agreement, he will spend two and a half years in jail.
Love Me, Hate Me
In May 2006, former Sports Illustrated writer Jeff Pearlman released a revealing biography of Bonds entitled Love Me, Hate Me: Barry Bonds and the Making of an Anti-Hero. The book also contained many allegations against Bonds. The book, which describes Bonds as a polarizing insufferable braggart with a legendary ego and staggering ability, relied on over five hundred interviews, none with Bonds himself.
Bonds on Bonds
In April 2006 and May 2006, ESPN aired a few episodes of a 10-part reality TV (unscripted, documentary-style) series starring Bonds. The show, titled Bonds on Bonds, focused on Bonds's chase of Babe Ruth's and Hank Aaron's home run records. Some felt the show should be put on hiatus until baseball investigated Bonds's steroid use allegations. The series was canceled in June 2006, ESPN and producer Tollin/Robbins Productions citing "creative control" issues with Bonds and his representatives.
Personal life
Bonds met Susann ("Sun") Margreth Branco, the mother of his first two children (Nikolai and Shikari), in Montreal, Quebec, in August 1987. They eloped to Las Vegas February 5, 1988. The couple separated in June 1994, divorced in December 1994, and had their marriage annulled in 1997 by the Catholic Church. The divorce was a media affair because Bonds had his Swedish spouse sign a prenuptial agreement in which she "waived her right to a share of his present and future earnings" and which was upheld. Bonds had been providing his wife $20,000/month in child support and $10,000 in spousal support at the time of the ruling. During the hearings to set permanent support levels, allegations of abuse came from both parties. The trial dragged on for months, but Bonds was awarded both houses and reduced support. On August 21, 2000, the Supreme Court of California, in an opinion signed by Chief Justice Ronald M. George, unanimously held that "substantial evidence supports the determination of the trial court that the [prenuptial] agreement in the present case was entered into voluntarily." In reaction to the decision, significant changes in California law relating to the validity and enforceability of premarital agreements soon followed.
In 2010, Bonds's son Nikolai, who served as a Giants batboy during his father's years playing in San Francisco and always sat next to his dad in the dugout during games, was charged with five misdemeanors resulting from a confrontation with his mother, Sun Bonds, who was granted a restraining order against Nikolai.
In 1994, Bonds and Kimberly Bell, a graphic designer, started a relationship that lasted from 1994 through May 2003. Bonds purchased a home in Scottsdale, Arizona, for Kimberly.
On January 10, 1998, Bonds married his second wife, Liz Watson, at the San Francisco Ritz-Carlton Hotel in front of 240 guests. The couple lived in Los Altos Hills, California, with their daughter Aisha during their ten-and-a-half years of marriage before Watson filed for legal separation on June 9, 2009, citing irreconcilable differences. On July 21, 2009, just six weeks later, Watson announced that she was withdrawing her Legal Separation action. The couple were reconciled for seven months before Watson formally filed for divorce in Los Angeles on February 26, 2010. On June 6, 2011, Bonds and Watson filed a legal agreement not to take the divorce to trial and instead settle it in an "uncontested manner", agreeing to end the marriage privately at an unspecified later date without further court involvement.
Several of Bonds's family and extended family members have been involved in athletics as either a career or a notable pastime. Bonds has a younger brother, Bobby Jr., who was also a professional baseball player. His paternal aunt, Rosie Bonds, is a former American record holder in the 80 meter hurdles, and competed in the 1964 Olympics. In addition, he is a distant cousin of Hall of Famer Reggie Jackson.
Among Bonds's many real estate properties is a home he owns in the exclusive gated community of Beverly Park in Beverly Hills, California.
An avid cyclist, Bonds chose the activity to be a primary means of keeping in shape and great passion since his playing career. Because knee surgeries, back surgeries, and hip surgeries made it much more difficult to run, cycling has allowed him to engage in sufficient cardiovascular activity to help keep in shape. As a result of the cycling, he has lost 25 pounds from his final playing weight of 240 pounds.
Bonds is an active practitioner of Brazilian jiu-jitsu and was promoted to blue belt in the martial art in 2023.
Legacy
During late 2007, Chicago rapper Kanye West recorded a song titled "Barry Bonds" named after the slugger for his album Graduation.
Career distinctions
Besides holding Major League career records in home runs (762), walks (2,558), and intentional walks (688), at the time of his retirement, Bonds also led all active players in RBI (1,996), on-base percentage (.444), runs (2,227), games (2,986), extra-base hits (1,440), at-bats per home run (12.92), and total bases (5,976). He is 2nd in doubles (601), slugging percentage (.607), stolen bases (514), at-bats (9,847), and hits (2,935), 6th in triples (77), 8th in sacrifice flies (91), and 9th in strikeouts (1,539), through September 26, 2007.
Bonds is the lone member of the 500–500 club, which means he has hit at least 500 home runs (762) and stolen at least 500 bases (514); no other player has even 400 of both. He is also one of only five baseball players all-time to be in the 40–40 club (1996), which means he hit 40 home runs (42) and stole 40 bases (40) in the same season; the other members are José Canseco, Alex Rodriguez, Alfonso Soriano, and Ronald Acuña Jr.
Records held
Home runs in a single season (73), 2001
Home runs in a career (762)
Home runs since turning 40 years old (74)
Home runs in the year he turned 43 years old (28)
Consecutive seasons with 30 or more home runs (13), 1992–2004
Slugging percentage in a single season (.863), 2001
Slugging percentage in a World Series (1.294), 2002
Consecutive seasons with .600 slugging percentage or higher (8), 1998–2005
On-base percentage in a single season (.609), 2004
Walks in a single season (232), 2004
Intentional walks in a single season (120), 2004
Consecutive games with a walk (18)
Consecutive games with an intentional walk (6)
MVP awards (7—closest competitors trail with 3), 1990, 1992–93, 2001–2004
Consecutive MVP awards (4), 2001–2004
National League Player of the Month selections (13) (2nd place, either league, Frank Thomas, 8; 2nd place, N.L., George Foster, Pete Rose, and Dale Murphy, 6)
Oldest player (age 38) to win the National League batting title (.370) for the first time, 2002
Putouts as a left fielder (5,226)
Career games with at least one home run and one stolen base (102)
Records shared
Consecutive plate appearances with a walk (7)
Consecutive plate appearances reaching base (15)
Tied with his father, Bobby, for most seasons with 30 home runs and 30 stolen bases (5); they are the only father-son members of the 30–30 club
Home runs in a single postseason (8), 2002
Other accomplishments
Awards and distinctions
Five-time SF Giants Player of the Year (1998, 2001–2004)
Three-time NL Hank Aaron Award winner (2001–02, 2004)
Listed at #6 on The Sporting News list of the 100 Greatest Baseball Players, the highest-ranked active player, in 2005.
Named a finalist to the Major League Baseball All-Century Team in 1999, but not elected to the team in the fan balloting.
Rating of 340 on Baseball-Reference.com's Hall of Fame monitor (100 is a good HOF candidate); 10th among all hitters, highest among eligible hitters not in HOF yet.
Only the second player to twice have a single-season slugging percentage over .800, with his record .863 in 2001 and .812 in 2004. Babe Ruth was the other, with .847 in 1920 and .846 in 1921.
Became the first player in history with more times on base (376) than official at-bats (373) in 2004. This was due to the record number of walks, which count as a time on base and as a plate appearance, but not an at-bat. He had 135 hits, 232 walks, and 9 hit-by-pitches for the 376 number.
Tenth all-time in plate appearances with 12,606. He is the only player in the top ten of this category to not obtain 3,000 hits and just one of two players with as many as 12,000 plate appearances to not do so (the other being Omar Vizquel).
With his father Bobby (332, 461), leads all father-son combinations in combined home runs (1,094) and stolen bases (975), respectively through September 26, 2007.
Played minor league baseball in both Alaska and Hawaii. In 1983, he played for the Alaska Goldpanners of Fairbanks in the Alaska Baseball League, and in 1986, he played for the Hawaii Islanders in the Pacific Coast League.
Featured on the cover of Sports Illustrated. He has appeared as the main subject on the cover eight times in total; seven with the Giants and once with the Pirates. He has also appeared in an inset on the cover twice. He was the most recent Pirate player to appear on the cover, until Jason Grilli was featured in SIs edition of July 22, 2013.
See also
List of Major League Baseball career at bat leaders
List of Major League Baseball career bases on balls leaders
List of Major League Baseball career doubles leaders
List of Major League Baseball career extra base hits leaders
List of Major League Baseball career games played leaders
List of Major League Baseball career hits leaders
List of Major League Baseball career hit by pitch leaders
List of Major League Baseball career on-base percentage leaders
List of Major League Baseball career OPS leaders
List of Major League Baseball career plate appearance leaders
List of Major League Baseball career records
List of Major League Baseball career runs batted in leaders
List of Major League Baseball career runs scored leaders
List of Major League Baseball career slugging percentage leaders
List of Major League Baseball career stolen bases leaders
List of Major League Baseball career strikeouts by batters leaders
List of Major League Baseball career total bases leaders
List of Major League Baseball doubles records
List of Major League Baseball home run records
List of Major League Baseball individual streaks
List of Major League Baseball progressive career home runs leaders
List of Major League Baseball progressive single-season home run leaders
List of Major League Baseball record breakers by season
List of Major League Baseball runs batted in records
List of Major League Baseball runs records
List of Major League Baseball single-season records
List of milestone home runs by Barry Bonds
List of second-generation Major League Baseball players
List of Major League Baseball players named in the Mitchell Report
Major League Baseball titles leaders
References
External links
Barry Bonds at Baseball Almanac
Barry Bonds at Pura Pelota (Venezuelan Professional Baseball League)
Barry Bonds
Bonds archive at Los Angeles Times
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1964 births
Living people
African-American baseball coaches
African-American baseball players
American sportspeople in doping cases
Arizona State Sun Devils baseball players
Baseball coaches from California
Baseball players from Riverside, California
Doping cases in baseball
Gold Glove Award winners
Hawaii Islanders players
Major League Baseball hitting coaches
Major League Baseball left fielders
Major League Baseball players with retired numbers
Miami Marlins coaches
National League Most Valuable Player Award winners
National League All-Stars
National League batting champions
National League home run champions
National League RBI champions
Navegantes del Magallanes players
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People from San Carlos, California
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People from Los Altos Hills, California
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Alaska Goldpanners of Fairbanks players | 7 |
The Book of Samuel (, Sefer Shmuel) is a book in the Hebrew Bible, found as two books (1–2 Samuel) in the Old Testament. The book is part of the Deuteronomistic history, a series of books (Joshua, Judges, Samuel, and Kings) that constitute a theological history of the Israelites and that aim to explain God's law for Israel under the guidance of the prophets.
According to Jewish tradition, the book was written by Samuel, with additions by the prophets Gad and Nathan, who together are three prophets who had appeared within 1 Chronicles during the account of David's reign. Modern scholarly thinking posits that the entire Deuteronomistic history was composed circa 630–540 BCE by combining a number of independent texts of various ages.
The book begins with Samuel's birth and Yahweh's call to him as a boy. The story of the Ark of the Covenant follows. It tells of Israel's oppression by the Philistines, which brought about Samuel's anointing of Saul as Israel's first king. But Saul proved unworthy, and God's choice turned to David, who defeated Israel's enemies, purchased the threshing floor where his son Solomon would build the First Temple, and brought the Ark of the Covenant to Jerusalem. Yahweh then promised David and his successors an everlasting dynasty.
In the Septuagint, a basis of the Christian biblical canons, the text is divided into two books, now called the First and Second Book of Samuel.
Biblical narrative
The Jerusalem Bible divides the two Books of Samuel into five sections; further subheadings are also based on subdivisions in that version:
1 Samuel 1:1-7:17. Samuel
1 Samuel 8:1-15:35. Samuel and Saul
1 Samuel 16:1-2 Samuel 1:27. Saul and David
2 Samuel 2:1-20:26. David
2 Samuel 21:1-24:25. Supplementary Information
1 Samuel
Samuel (1:1-7:17)
The Childhood of Samuel (1:1-4:1a)
A man named Elkanah, an Ephraimite from the city of Ramathaim-Zophim, has two wives, Peninnah and Hannah, the latter of whom is his favourite wife, and a rivalry between the two develops based on the fact that Peninnah has children and Hannah does not. The childless Hannah vows to Yahweh lord of hosts that, if she has a son, he will be dedicated to God. Eli, the priest of Shiloh, where the Ark of the Covenant is located, thinks she is drunk, but when he realises she is praying, he blesses her. A child named Samuel is born, and Samuel is dedicated to the Lord as a Nazirite—the only one besides Samson to be identified in the Bible. Hannah sings a song of praise upon the fulfilment of her vow.
Eli's sons, Hophni and Phinehas, sin against God's laws and the people, specifically by demanding raw rather than boiled meat for sacrifice and having sex with the tabernacle's serving women. But the child Samuel grows up "in the presence of the Lord": his family visits him each year, bringing a new coat for him, and Hannah has five more children. Eli tries to persuade his sons to stop their wickedness, but fails. As punishment for this, a holy man arrives, prophesying that Eli's family will be cut off and none of his descendants will see old age.
One night, God calls Samuel and, thinking Eli is calling him three times, he rushes to Eli. Eli informs him that God wishes to speak to him, and God informs Samuel that the earlier prophecy about Eli's family is correct. He is at first afraid to inform Eli of this, but Eli tells him not to be, and that God will do what is good in His sight. Over time, Samuel grows up and is recognised as a prophet.
The Ark in Philistine hands (4:1b-7:17)
The Philistines, despite their initial worries when hearing the Israelite ritual of the entrance of the Ark of the Covenant, defeat the Israelites at the Battle of Aphek, capturing the Ark and killing Hophni and Phinehas, thus fulfilling the earlier prophecy. When Eli hears of these two events, particularly the capture of the Ark, he falls off his chair and dies. His daughter-in-law, in turn, goes into labour at this, and names her son Ichabod ('without glory') in commemoration of the capture of the Ark.
Meanwhile, the Philistines take the Ark to the temple of their god Dagon, who recognizes the supremacy of Yahweh. The Philistines are afflicted with plagues, are unable to take the Ark into any city on account of the fear of the populations of those cities, and return the ark to the Israelites, but to the territory of the tribe of Benjamin, to the city of Beth Shemesh, rather than to Shiloh, from where it is passed to the city of Kiriath Jearim, where a new priest, Eleazar, son of Abinadab, is appointed to guard the ark for the twenty years it is there. The Philistines attack the Israelites gathered at Mizpah in Benjamin. Samuel appeals to God, the Philistines are decisively beaten, and the Israelites reclaim their lost territory. Samuel sets up the Eben-Ezer (the stone of help) in remembrance of the battle, and takes his place as judge of Israel.
Samuel and Saul (8:1-15:35)
The institution of the monarchy (8:1-12:25)
In Samuel's old age, he appoints his sons Joel and Abijah as judges but, because of their corruption, the people ask for a king to rule over them. God directs Samuel to grant the people their wish despite his concerns: God gives them Saul from the tribe of Benjamin, whom Samuel anoints during an attempt by Saul to locate his father's lost donkeys. He then invites Saul to a feast, where he gives him the best piece of meat, and they talk through the night on the roof of Samuel's house. Samuel tells Saul to return home, telling him the donkeys have been found and his father is now worrying about him, as well as describing a series of signs Saul will see on the way home. Saul begins to prophesy when he meets some prophets, confusing his neighbours. Eventually, Samuel publicly announces Saul as king, although not without controversy.
Shortly thereafter, Nahash of Ammon lays siege to Jabesh Gilead and demands that everyone in the city have their right eye gouged out as part of the peace treaty. The Jabeshites send out messengers, looking for a saviour. When Saul hears of the situation, he gathers a 330,000-strong army and launches a surprise attack at night, leading Israel to victory and saving Jabesh, thus proving those who doubted him wrong. Saul's kingship is renewed.
Samuel is aware he is the final judge and that the age of kings is about to begin, and speaks to the Israelites, demonstrating his innocence and recapping the history of Israel. He calls on the Lord to send thunder and rain, and rebukes the people for their desire for a king. Nonetheless, he tells them that as long as they refrain from idol worship, they will not perish - but if they do, calamity will befall the kingdom.
The beginning of Saul's reign (13:1-15:35)
Despite his numerous military victories, Saul disobeys Yahweh's instructions. First of all, after a battle against the Philistines, he does not wait for Samuel to arrive before he offers sacrifices. Meanwhile, it turns out that the Philistines have been killing and capturing blacksmiths in order to ensure the Israelites do not have weapons, and so the Israelites go to war essentially with sharpened farm instruments. Saul's son Jonathan launches a secret attack by climbing a pass into the Philistine camp and kills twenty people in the process. The panic this creates leads to a victory for the Israelites. Jonathan finds some honey and eats it, despite a royal decree not to eat until evening. Jonathan begins to doubt his father, reasoning an even greater victory could have been achieved if the men had eaten. The royal decree has other unintended knock-on effects, namely that the men start killing and eating animals without draining the blood. To counteract this, Saul sets up an altar so the proper laws can be observed. When a priest suggests asking God before launching another attack, God is silent, leading Saul to set up a pseudo-legal procedure to ascertain whose fault it is that God has abandoned them. The lot falls on Jonathan, but the men refuse to let him be executed since he is the reason for their victory.
Over time, Saul fights the Moabites, the Ammonites, the Edomites, the Zobahites, the Philistines and the Amalekites, winning victory over them all; his kingdom is in a constant state of war, and he constantly recruits new heroes to his army. However, he disobeys God's instruction to destroy Amalek: Saul spares Agag, the Amalekite ruler, and the best portion of the Amalekite flocks to present them as sacrifices. Samuel rebukes Saul and tells him that God has now chosen another man to be king of Israel. Samuel then kills Agag himself.
Saul and David (16:1-31:13)
David at court (16:1-19:7)
Samuel travels to Bethlehem to visit a man named Jesse, with God promising Samuel can anoint one of his sons as king. However, while inspecting Jesse's sons, God tells Samuel that none of them are to be king. God tells Samuel to anoint David, the youngest brother, as king. Saul becomes ill and David comes to play the harp to him. Saul takes a liking to David and David enters Saul's court as his armor-bearer and harpist.
A new war against the Philistines begins, and a Philistine champion named Goliath emerges, challenging any Israelite to one-on-one combat, with the loser's people becoming subject to the winner. David goes to take food to his brothers in the Israelite camp, learns of the situation and the reward Saul is willing to give to the person who kills him (great wealth, his daughter's hand in marriage and exemption from taxes for the killer's family) and tells Saul he will kill Goliath. Saul wants him to wear his armour, but David finds he cannot because he is not used to it. Seeing David's youth, Goliath begins to curse him. David slings a stone into Goliath's forehead, and Goliath dies. David cuts off Goliath's head with Goliath's sword.
Jonathan befriends David. Saul begins to send David on military missions and quickly promotes him given his successes, but begins to become jealous of David after the Israelites make up a song about how much more successful David is than Saul. One day, Saul decides to kill David with a spear, but David avoids him. Saul realises that God is now with David and no longer with him, making him scared of David. He therefore seeks other ways to pacify David. First, he sends him on military campaigns, but this only makes him more successful. Next, he tries to marry him off to his daughter Merab, but David refuses, and so Merab is married off to the nobleman Adriel. However, David is in love with Michal, another of Saul's daughters. Although David is still unsure about becoming son-in-law to the king, Saul requires only 100 Philistine foreskins as dowry. Although this is a plan to have David captured by the Philistines, David kills 200 Philistines and brings their foreskins back to Saul.
Saul then plots David's death, but Jonathan talks him out of it.
The flight of David (19:8-21:16)
Once again Saul tries to kill David with his spear, and so David decides to escape, lowered out of a window by Michal, who then takes an idol, covers it in clothes and places goat's hair on its head to cover David's escape. David visits Samuel. When Saul finds this out, he sends men to capture David, but when they see Samuel they begin prophesying, as does Saul when he tries to capture David himself.
David then visits Jonathan, and they argue about whether Saul actually wants to kill David. David proposes a test: he is to dine with the king the following day for the New Moon festival. However, he will hide in a field and Jonathan will tell Saul that David has returned to Bethlehem for a sacrifice. If the king accepts this, he is not trying to kill him, but if he becomes angry, he is. Jonathan devises a code to relay this information to David: he will come to the stone Ezel, shoot three arrows at it and tell a page to find them. If he tells the page the arrows are on his side of the stone, David can come to him, but if he tells them they are beyond the stone, he must run away. When Jonathan puts the plan into action, Saul attempts to kill him with his spear. Jonathan relays this to David using his code and the two weep as they are separated.
David arrives at Nob, where he meets Ahimelech the priest, a great-grandson of Eli. Pretending he is on a mission from the king and is going to meet his men, he asks for supplies. He is given the showbread and Goliath's sword. He then flees to Gath and seeks refuge at the court of King Achish, but feigns insanity since he is afraid of what the Philistines might do to him.
David the Outlaw (22:1-26:25)
David travels to the cave of Adullam near his home, where his family visit him, until he finds refuge for them at the court of the king of Moab in Mizpah.
However, one of Saul's servants, Doeg the Edomite, saw David at Nob, and informs Saul that he was there. Saul arrives at the town, concludes that the priests are supporting David and has Doeg kill them all. One priest gets away: Abiathar, son of Ahimelech, who goes to join David. David accepts him, since he feels somewhat responsible for the massacre. David liberates the village of Keilah from the Philistines with the help of God and Abiathar. However, when God tells him that Saul is coming and the citizens of Keilah will hand him over to Saul, David and his men escape to the desert of Ziph, where Jonathan comes and recognises him as the next king. However, some Ziphites inform Saul that David is in the desert, but Saul's search is broken off by another Philistine invasion.
After the invasion, Saul learns David is now living in the desert of En Gedi and resumes his search for him. At one point, he enters a cave to relieve himself. David and his men are further back in the cave. They discuss the possibility of killing Saul, but David opts to merely cut a corner off his robe and use this as proof that he does not in fact wish to kill Saul. Saul repents of how he has treated David, recognises him as the next king and makes him promise not to kill off his descendants.
Samuel dies, and, after mourning him, David moves on to the Desert of Paran. Here he meets the shepherds of a Calebite named Nabal, and his men help protect them. At sheep-shearing time, he sends some of his men to ask for food. However, Nabal refuses, preferring to keep his food for his household. However, when his wife, Abigail, hears of this, she takes a large amount of supplies to David herself. This turns out to be at exactly the right moment, since David had just threatened to kill everyone in Nabal's home. Abigail begs for mercy, and David agrees, praising her wisdom. That night Nabal has a feast, so Abigail waits until morning to tell him what she has done. He has a heart attack and dies ten days later. David marries Abigail and a woman from Jezreel named Ahinoam, but in the meantime Saul has married David's first wife, Michal, off to a nobleman named Palti, son of Laish.
Saul decides to return to pursuing David, and the Ziphites alert him as to David's whereabouts. Saul returns to the desert of Ziph and sets up camp. One night, David and two companions, Achimelech the Hittite and Abishai son of Zeruiah (his nephew), go to Saul's camp and find him asleep on the ground. Abishai advocates killing him, but David once again resists, content with taking a spear and water jug lying by Saul's head. The next morning, David advises Abner, Saul's captain, to put the soldiers to death for not protecting Saul, citing the absence of the spear and water jug as evidence. Saul interrupts, and once again repents of his hunt. He blesses David, David returns his spear and Saul returns home.
David among the Philistines (27:1-31:13)
David joins the Philistines out of fear of Saul, taking his wives with him and brutally destroying his enemies, largely the Geshurites, the Girzites and the Amalekites, but makes the Philistines believe he is attacking the Israelites, the Jerahmeelites and the Kenites instead. King Achish is pleased with him, and supposes he will continue to serve him. Eventually, the Philistines go to war with the Israelites, and David goes with them.
Meanwhile, Saul is growing increasingly anxious about the upcoming battle, but cannot get advice from God. He decides to attempt to contact Samuel from beyond the grave. While he has expelled all the witches and spiritists, he learns that one remains at Endor. After Saul assures her she will not be punished, she agrees to summon Samuel. Samuel is not happy to be disturbed, and reveals that the Philistines will win the battle, with Saul and his sons dying in the process. Saul is shocked and, although at first reluctant, eats some food and leaves.
Back in the Philistine camp, several of the rulers are not happy with the idea of fighting alongside David, suspecting he may defect during the battle. Achish therefore reluctantly sends David back instead of bringing him to Jezreel with the Philistine army. When David and his men arrive in Ziklag, they find it sacked by the Amalekites, and David's wives taken captive. After seeking God's advice, David decides to pursue the raiding Amalekites, finding the Egyptian slave of one, abandoned when he became ill, who can show them the band. When they are located and found to be feasting, David fights all day, with only 400 escaping on camels. David recovers everything and returns to the Besor Valley, where 200 men who were too exhausted to come with him have been guarding supplies. David announces all are to share in the treasure, and even sends some to the elders of Judah when he returns to Ziklag.
Meanwhile, the Battle of Mount Gilboa is raging on and, as Samuel said, the Philistines are winning. Saul's three sons have been killed, and he himself has been wounded by arrows. Saul asks his armor-bearer to run his sword through him rather than let him be captured by the Philistines, but does it himself when the armor-bearer refuses. When they see the battle going badly, the Israelites flee their towns, allowing the Philistines to occupy them. The next day, the Philistines find Saul, behead him, and take his armour to the temple of Astarte and his body to Beth Shan. When they hear what has happened, the citizens of Jabesh Gilead take his body and perform funerary rites in their city.
2 Samuel
Saul and David (continued) (1:1-1:27)
David among the Philistines (continued) (1:1-1:27)
Back in Ziklag, three days after Saul's death, David receives news that Saul and his sons are dead. It transpires that the messenger is an Amalekite who, at Saul's insistence, had killed Saul to speed his death along, and brought his crown to David. David orders his death for having killed God's anointed. At this point, David offers a majestic eulogy, where he praises the bravery and magnificence of both his friend Jonathan and King Saul.
David (2:1-20:26)
David King of Judah (2:1-4:12)
David returns to Hebron at God's instruction. The elders of Judah anoint David as king, and as his first act he offers a reward to the people of Jabesh Gilead for performing Saul's funerary rites. Meanwhile, in the north, Saul's son Ish-bosheth, supported by Abner, has taken control of the northern tribes. David and Ish-bosheth's armies meet at the Pool of Gibeon, and Abner and Joab, another son of Zeruiah and David's general, agree to have soldiers fight in one-on-one combat. All this achieves is twelve men on each side killing each other, but a battle follows and David wins. During the Benjaminites' retreat, Joab's brother Asahel chases Abner and Abner kills him, shocking everyone. Joab and Abishai continue Asahel's pursuit. A truce is declared when they reach a hill to avoid further bloodshed, and Abner and his men are able to cross the Jordan.
The war continues as David builds a family. Meanwhile, the House of Saul is getting weaker. When Ish-bosheth accuses Abner of sleeping with Saul's concubine Rizpah, Abner offers to join David, which David accepts as long as he brings Michal with him. At the same time, David sends a petition to Ish-bosheth for the return of Michal, which Ish-bosheth agrees to. Patiel follows her crying until he is told to return home. Following the return of Michal, Abner agrees to get the elders of Israel to agree to make David king. However, Joab believes Abner was lying in his purpose of coming to David and, after recalling him to Hebron, kills him in revenge for Asahel. David curses Joab's family to always contain a leper, someone disabled or someone hungry. He then holds a funeral for Abner.
By this point, the only other surviving member of Ish-bosheth's family is Mephibosheth, Jonathan's disabled son, who was dropped by his nurse as she attempted to escape the palace after the deaths of Saul and Jonathan. Ish-bosheth is murdered by Rechab and Baanah, two of his captains who hope for a reward from David, who stab him and cut off his head. They bring his head to David, but David has them killed for killing an innocent man. They are hanged by the pool of Hebron and Ish-bosheth's head is buried in Abner's tomb.
David King of Judah and of Israel (5:1-8:18)
David is anointed king of all Israel.
Against all odds, David captures Jerusalem from the Jebusites. He takes over the fortress of Zion and builds up the area around it. Hiram I, king of Tyre sends craftsmen to build David a palace. Meanwhile, David's family continues to grow. The Philistines decide to attack Israel now that David is king, but God allows David to defeat them in two battles, first in Baal Perizim and next in the Valley of Rephaim.
The Ark is currently still in Baalah (another name for Kiriath Jearim), but David wants to bring it to Jerusalem. He puts it on a cart and employs the priests Uzzah and Ahio, both sons of Abinadab and brothers of Eleazar, to accompany it. A grand procession with musical instruments is organised, but comes to a sudden halt when the oxen stumble, causing Uzzah to touch the Ark and die. David is afraid to take it any further and stores it in the house of a man named Obed-Edom. When, after three months, Obed-Edom and his family have received nothing but blessings, David takes the Ark to Jerusalem. As part of the ceremony bringing the Ark into the city, David dances in front of it wearing nothing but an ephod. Michal sees this and is annoyed, but David says it was for the Lord, and thus it was not undignified. Michal never has any children.
David wishes to build a temple, arguing that he should not be living in a palace while God lives in a tent. Nathan, a prophet, agrees. However, that night Nathan has a dream in which God informs him that David should not build him a temple for three reasons. Firstly, God has not commanded it, and has never complained about living in a tent before. Secondly, God is still working to build David and his house up and establish the Israelites in the Promised Land. Thirdly, God will establish one of David's sons as king; he will build the temple, and his house will never be out of power. When Nathan reports this to David, David prays to God, thanking him for these revelations. David defeats the enemies of Israel, slaughtering Philistines, Moabites, Edomites, Syrians, and Arameans. He then appoints a cabinet.
David's family and the intrigues for the succession (9:1-20:26)
Mephibosheth (9:1-9:13)
David asks if anyone from the House of Saul is still alive so that he can show kindness to them in memory of Jonathan. Ziba, one of Saul's servants, tells him about Mephibosheth. David informs Mephibosheth that he will live in his household and eat at his table, and Mephibosheth moves to Jerusalem.
The Ammonite War and birth of Solomon (10:1-12:31)
Nahash, king of Ammon dies and his son Hanun succeeds him. David sends condolences, but the Ammonites suspect his ambassadors are spies and humiliate them before sending them back to David. When they realise their mistake, they fear retaliation from David and amass an army from the surrounding tribes. When he hears that they are doing this, he sends Joab to lead his own army to their city gates, where the Ammonites are in battle formation. Joab decides to split the army in two: he will lead an elite force to attack the Aramean faction, while the rest of the army, led by Abisai, will focus on the Ammonites. If either enemy force turns out to be too strong, the other Israelite force will come to help their comrades. As it turns out, the Arameans flee from Joab, causing the Ammonites to also flee from Abishai. The Israelite army returns to Jerusalem. The Arameans regroup and cross the Euphrates, and this time David himself wins a decisive victory at Helam. The Arameans realise they cannot win, make peace with Israel and refuse to help the Ammonites again. The following spring, Joab destroys the Ammonites.
However, while Joab is off at war, David remains in Jerusalem. One morning, he is standing on the roof of his palace when he sees a naked woman performing ablutions after her period. David learns her name is Bathsheba, and they have sex. She becomes pregnant. Seeking to hide his sin, David recalls her husband, Uriah the Hittite, from battle, David encourages him to go home and see his wife, but Uriah declines in case David might need him, and sleeps in the doorway to the palace that night. David, in spite of inviting Uriah to feasts, continues to be unable to persuade him to go home. David then deliberately sends Uriah on a suicide mission. David loses some of his best warriors in this mission, so Joab tells the messenger reporting back to tell David that Uriah is dead. David instructs Joab to continue the attack of the city. After Bathsheba has finished mourning Uriah, David marries her and she gives birth.
Nathan comes to David and tells him a parable. In a town, there are a rich man and a poor man. The rich man has much livestock, but the poor man has only one lamb whom he loves like a child. One day, the rich man has a guest for dinner, and instead of slaughtering one of his own livestock, took the poor man's lamb and cooked it. David angrily insists the rich man be put to death, but Nathan tells him he is the man, saying he has committed a sin to get something he already had plenty of (wives), and prophesies that his family will be gripped by violence, and someone will have affairs with his wives publicly. David repents, and Nathan tells him that while he is forgiven and will not die, his son with Bathsheba will. The child becomes ill, and David spends his time fasting and praying, but to no avail, because the child dies. David's attendants are scared to tell him the news, worried about what he may do. However, he surprises everyone by ending his fasting, saying that he was fasting and praying was an attempt to persuade God to save his child, whereas fasting now isn't going to bring the child back. After they have mourned, David and Bathsheba have another child, who they name Solomon (also called Jedediah).
Back on the front line, in the city of Rabbah, Joab has gained control of the water supply. Joab invites David to finish capturing the city so that it may be named after himself. David gathers an army and travels up himself. He wins a victory, crowns himself king of the Ammonites, takes a large amount of plunder and puts the Ammonites into forced labour before returning to Jerusalem.
Absalom (13:1-20:26)
A complicated controversy begins to develop within the palace. Amnon, David's son by Ahinoam, becomes lovesick for Tamar, David's daughter by Maacah, daughter of Talmai, king of Geshur. Amnon's advisor and cousin Jonadab suggests he pretend to be ill and ask Tamar to come and prepare bread for him so he can eat out of her hand. When she comes to his house, Amnon tells her to come to his bedroom. Here, after she refuses to have sex with him, Amnon rapes her. He then forces her to leave the house. She rips the gown which symbolises she is a virgin, puts ashes on her hand and walks around wailing. Tamar's brother, Absalom, and David learn about this and become angry.
Two years later, Absalom is shearing sheep at Baal Hazor and invites David and all his sons to come. David refuses, but blesses him and sends Amnon and the rest of his sons to him. Absalom holds a feast and gets Amnon drunk. He then instructs his servants to kill Amnon in revenge for his rape of Tamar. David's other sons are disgusted and return to Jerusalem. David hears a rumour that Absalom has killed all of David's sons, but Jonadab assures him that only Amnon is dead. Meanwhile, Absalom goes to live with his grandfather in Geshur for three years. After David has finished mourning Amnon, he considers visiting Absalom.
Joab wants to help David, so he tells a wise woman from Tekoa to travel to Jerusalem pretending to be in mourning and speak to the king. The woman tells a story about her two sons, one of whom killed the other and whose death is now being called for. After some cajoling, David agrees to issue a decree ensuring that her son is not killed. The woman turns this back on David, and asks, then, why he has not forgiven his own son. After the woman admits that Joab put her up to this, David agrees to allow Absalom back to Jerusalem, but insists he does not come to the palace. Absalom becomes popular in Jerusalem due to his good looks. His family also grows during this time. Two years pass without Absalom being recalled to court. When Joab refuses to help him, Absalom sets his field on fire. This gets Joab's attention, and finally Absalom manages to convince him to persuade David to allow him back to court.
Absalom purchases a magnificent chariot, and begins campaigning to become a judge, principally by waiting outside the city gate, listening to the concerns of people coming to the king and pretending there is no-one to hear them, as well as embracing anyone who bows to him. Four years pass, and Absalom travels to Hebron, claiming to be fulfilling a vow, but in fact he hatches a plan to get the tribes of Israel to proclaim him king. The 200 guests who follow him do not know of his plan, and while he is at Hebron Absalom summons Ahitophel, David's counselor.
David is told of the increasing support for Absalom and decides to flee Jerusalem. He takes with him his wives and concubines (with the exception of ten), and a number of Cerethites, Pelethites and Gittites, led by a general named Ittai, who comes with David only after insisting on it. Abiathar and another priest named Zadok, together with a number of Levites who are guarding the Ark, also come, but go back when David tells them to return the Ark to Jerusalem. The procession climbs the Mount of Olives, where he meets his confidant Hushai the Arkite, who he sends back to Jerusalem to act as a spy, seeking to disrupt Ahitophel's plans.
On the other side of the mountain, David meets Ziba, who brings donkeys and fruit as supplies. He claims that Mephibosheth is hoping to be restored to the throne of Saul in the chaos, and David grants Ziba Mephibosheth's estates. As the party approaches Bahurim, a Benjaminite named Shimei begins cursing and stoning David for the bloodshed he caused in the House of Saul. Abishai suggests executing him, but David considers that God has told Shibei to curse him and lets him carry on.
Back in Jerusalem, Ahitophel and Hushai arrive at Absalom's court. Absalom is at first suspicious of Hushai's presence, but ultimately accepts him. Ahitophel suggests Absalom sleeps with David's concubines who he left to take care of the palace in order to entrench the division between David and Absalom, so Absalom pitches a tent on the palace roof and does this in the view of all the Israelites. Ahitophel then suggests launching a sneak attack on David with 12,000 men. However, Hushai points out that David and his men are fighters, and that they could defeat the men, reducing morale. He suggests Absalom form a much larger army and lead it into battle himself. God has decided to frustrate Ahitophel's advice so that Absalom can be defeated, so Absalom follows Hushai's advice. Hushai then goes to Zadok and Abiathar and tells them to get word to David to cross the fords. Their sons, Ahimaaz and Jonathan, respectively, are staying at En Rogel, where they receive the message. Unfortunately, one of Absalom's spies sees them so they have to hide in a well in Bahurim. The well's owner's wife hides them and lies to Absalom's men that they have crossed the brook. After Absalom's men are gone, the pair make it to King David and he manages to cross the Jordan in time.
David and Absalom meet at Mahanaim, and David's allies bring his army food, given his army is tired and exhausted after its time in the wilderness. David divides his army into thirds: one led by Joab, one led by Abishai and one led by Ittai. David intends to come out with his men, but his generals veto it. He decides to stay at the city, and instructs his generals to be gentle with Absalom. The battle is fought in the Wood of Ephraim. This proves to be a victory for David, in part because of the treacherous terrain. As Absalom meets David's men, he passes under a tree; his long hair gets caught in the tree and he is hanged. Joab gets word of this, finds him and plunges three javelins into his heart, killing him. Joab declares the battle over and buries Absalom. Absalom's monument is the pillar he built during his lifetime.
Ahimaaz and a Cushite run to tell David the news of his victory and his son's death. Ahimaaz declares the victory, but is not sure yet what the situation with Absalom is. The Cushite bears the same news, but also tells David that Absalom is dead. David begins to mourn, wishing he had died instead of Absalom. This prompts his men to start mourning as well, causing Joab to enter his tent in an attempt to talk sense into him. Joab points out that the battle has saved not only David's life, but the lives of his wives and concubines, and thus it is humiliating for the men to have to mourn for the enemy. David agrees to come out and encourage the men.
Given the sudden change in situation, the elders of Israel begin to argue about what to do next. David convinces the elders of Judah to escort him back to Jerusalem. They are joined by Shimei, who apologises to David. Abishai once again calls for the death penalty, but once again David grants clemency. Mephibosheth also comes to David, and explains the earlier situation: he had wanted to come with David and had told Ziba to saddle his donkeys, but Ziba had betrayed and slandered him. David offers to allow him and Ziba to split the land, but Mephibosheth allows Ziba to take the lot in celebration of David's triumph. David invites his host in Mahanaim, Barzillai, to return to Jerusalem with him, but Barzillai protests on the basis that he is now eighty years old and thus will gain no enjoyment from coming. However, he gives David his servant Kimham in his place, and David promises to look after him. A scuffle breaks out between the Judahites and the other Israelites about why they specifically got to escort the king home. Attempting to resolve the issue, a Benjaminite named Sheba son of Bichri launches a rebellion against David, which all the tribes except Judah back.
Back in Jerusalem, David begins to sort out the issues that were caused by his absence. First, he puts the ten concubines who were left behind into a guarded house and gives them pensions but does not sleep with them, allowing them to live the rest of their lives as widows. He then begins to sort out a defence against Sheba. He tells Amasa, the general whom he wishes to replace Joab, to summon the Judahite troops and have them in Jerusalem within three days, something he fails at. David therefore tells Abishai to start pursuing Sheba to effectively put down his rebellion before it has begun. Amasa meets Abishai and Joab at Gibeon. Amasa goes to meet Joab, but Joab's dagger falls out of his tunic, stabbing Amasa in the stomach, killing him. He is covered with a cloth and placed in a field, and the army continues pursuing Sheba. They meet him at Abel Beth Maakah, a stronghold of Sheba's rebellion, and begin to lay siege to it. A wise woman asks them why they want to destroy the city, and Joab responds they don't want to destroy it, but merely end Sheba's rebellion. The wise woman cuts off Sheba's head and throws it to Joab from the city walls, thus ending the siege.
Supplementary information (21:1-24:25)
2 Samuel concludes with four chapters (chapters 21 to 24) that lie outside the chronological succession narrative of Saul and David, a narrative that will continue in The Book of Kings. Chapter 21 tells the story of a three-year long famine which takes place at the start of David's reign. God explains this is a punishment for Saul's genocide of the Gibeonites, a people group who are the remnants of the Amorites, whom Israel had promised to spare but Saul has massacred. David calls the Gibeonites and asks what he can do to make amends, hoping this will end the famine. The Gibeonites ask for seven of Saul's descendants to kill, and David agrees. He spares Mephibosheth, but hands over Rizpah's sons Armoni and Mephibosheth and the five sons of Merab and Adriel. They are killed by the Gibeonites and their bodies are exposed at the start of the barley harvest. Rizpah, however, protects the bodies, and David agrees to take the bones of Saul, Jonathan and those killed by the Gibeonites and bury them in the tomb of Kish in Zelah. This pleases God and the famine ends. Another war then occurs with the Philistines. In the first battle, Abishai kills Ishbi-benob, a Philistine who had sworn to kill David, which leads to David's army refusing to let him fight alongside them again for his own protection. The second battle takes place at Gob, and this time Sibbekai the Hushathite kills a Philistine named Saph. A third battle also takes place in Gob, where Elhanan, son of Jair kills Goliath's brother. In the fourth battle, at Gath, Jonathan, son of Shimeah, kills a huge man with six fingers on each hand and six toes on each foot.
Chapter 22 is similar to Psalm 18, and is a song David sang when he was delivered from Saul.
Chapter 23 begins with David's last words, a subdued speech in which David expresses gladness at the goodness of his house. It then tells stories of a group of men identified as 'David's Mighty Warriors'. Josheb-Basshebeth, Eleazar, son of Dodai and Shammah, son of Agee the Hararite all single-handedly win battles against the Philistines. One day, while David and his men are hiding in the cave of Adullam, David becomes homesick and, hearing the Philistines have taken over Bethlehem, cries out desiring water from Bethlehem's well. These three men risk their lives to work their way through Philistine lines and bring water from the well back to David. David refuses to drink it and offers it to God because his warriors risked their lives for it. Abishai, we learn, achieved his high position by single-handedly killing three hundred men. Another warrior, Benaniah, son of Jehoiada, kills Moab's two mightiest warriors, a lion, and a huge Egyptian with his own spear. The chapter finishes by listing David's other mighty warriors, known as the Thirty.
Chapter 24 tells the story of more calamities on Israel. God is angry once again at Israel, so he instructs David to take a census. Joab has his reservations, but ultimately relents. When the results come in, however, David realises what he has done, and begs God for mercy. Gad the prophet offers David three choices of punishment: three years of famine, three months of pursuit by his enemies or three days of plague. David chooses the plague. 70,000 people die. After three days the angel of death reaches Jerusalem, and is on the threshing floor of a man named Araunah the Jebusite, when God tells him to stop. David is horrified, arguing that it should be him and his family who are punished. Gad tells David to build an altar on the threshing floor of Araunah the Jebusite. Araunah offers to sell the land to David for free but David insists on paying. David pays fifty shekels of silver and builds the altar, stopping the plague.
Composition
Versions
1 and 2 Samuel were originally (and, in most Jewish bibles, still are) a single book, but the first Greek translation, called the Septuagint and produced around the second century BC, divided it into two; this was adopted by the Latin translations used in the early Christian church of the West, and finally introduced into Jewish bibles around the early 16th century.
In imitation of the Septuagint what is now commonly known as 1 Samuel and 2 Samuel, are called by the Vulgate, 1 Kings and 2 Kings respectively. What are now commonly known as 1 Kings and 2 Kings would be 3 Kings and 4 Kings in Bibles dating from before 1516. It was in 1517 that use of the division we know today, used by Protestant Bibles and adopted by Catholics, began. Traditional Catholic and Orthodox Bibles still preserve the Septuagint name; for example, the Douay–Rheims Bible.
The Hebrew text that is used by Jews today, called the Masoretic Text, differs considerably from the Hebrew text that was the basis of the first Greek translation, and scholars are still working at finding the best solutions to the many problems this presents.
Historical accuracy
The Books of Samuel are considered to be based on both historical and legendary sources, primarily serving to fill the gap in Israelite history after the events described in Deuteronomy. According to Donald Redford, the Books of Samuel exhibit too many anachronisms to have been compiled in the 11th century BCE.
Authorship and date of composition
According to passages 14b and 15a of the Bava Basra tractate of the Talmud, the book was written by Samuel up until 1 Samuel 25, which notes the death of Samuel, and the remainder by the prophets Gad and Nathan. Critical scholars from the 19th century onward have rejected this idea. However, even prior to this, the medieval Jewish commentator Isaac Abarbanel noted that the presence of anachronistic expressions (such as "to this day" and "in the past") indicated that there must have been a later editor such as Jeremiah or Ezra. Martin Noth in 1943 theorized that Samuel was composed by a single author as part of a history of Israel: the Deuteronomistic history (made up of Deuteronomy, Joshua, Judges, Samuel and Kings). Although Noth's belief that the entire history was composed by a single individual has been largely abandoned, his theory in its broad outline has been adopted by most scholars.
The Deuteronomistic view is that an early version of the history was composed in the time of king Hezekiah (8th century BC); the bulk of the first edition dates from his grandson Josiah at the end of the 7th BC, with further sections added during the Babylonian exile (6th century BC) and the work was substantially complete by about 550 BC. Further editing was apparently done even after then. For example, A. Graeme Auld, Professor of Hebrew Bible at the University of Edinburgh, contends that the silver quarter-shekel which Saul's servant offers to Samuel in 1 Samuel 9 "almost certainly fixes the date of this story in the Persian or Hellenistic period".
The 6th century BC authors and editors responsible for the bulk of the history drew on many earlier sources, including (but not limited to) an "ark narrative" (1 Samuel 4:1–7:1 and perhaps part of 2 Samuel 6), a "Saul cycle" (parts of 1 Samuel 9–11 and 13–14), the "history of David's rise" (1 Samuel 16:14–2 Samuel 5:10), and the "succession narrative" (2 Samuel 9–20 and 1 Kings 1–2). The oldest of these, the "ark narrative," may even predate the Davidic era.
This view of late compilation for Samuel has faced serious scholarly opposition on the basis that evidence for the Deuteronimistic history is scant, and that Deuteronimistic advocates are not in consensus as to the origin and extent of the History. Secondly, the basic theological concerns identified with the Deuteronimistic school are tenets central to Hebrew theology in texts that are widely regarded as predating Josiah. Thirdly, there are notable differences in style and thematic emphasis between Deuteronomy and Samuel. Finally, there are widely acknowledged structural parallels between the Hittite suzerain treaty of the second millennium BC and the Book of Deuteronomy itself, far before the time of Josiah. The alternative view is that it is difficult to determine when the events of Samuel were recorded: "There are no particularly persuasive reasons to date the sources used by the compiler later than the early tenth century events themselves, and good reason to believe that contemporary records were kept (cf. 2 Sam. 20:24–25)."
Sources
The sources used to construct 1 and 2 Samuel are believed to include the following:
Call of Samuel or Youth of Samuel (1 Samuel 1–7): From Samuel's birth his career as Judge and prophet over Israel. This source includes the Eli narrative and part of the ark narrative.
Ark narrative (1 Samuel 4:1b–7:1 and 2 Samuel 6:1–20): the ark's capture by the Philistines in the time of Eli and its transfer to Jerusalem by David – opinion is divided over whether this is actually an independent unit.
Jerusalem source: a fairly brief source discussing David conquering Jerusalem from the Jebusites.
Republican source: a source with an anti-monarchial bias. This source first describes Samuel as decisively ridding the people of the Philistines, and begrudgingly appointing an individual chosen by God to be king, namely Saul. David is described as someone renowned for his skill at playing the harp, and consequently summoned to Saul's court to calm his moods. Saul's son Jonathan becomes friends with David, which some commentators view as romantic, and later acts as his protector against Saul's more violent intentions. At a later point, having been deserted by God on the eve of battle, Saul consults a medium at Endor, only to be condemned for doing so by Samuel's ghost, and told he and his sons will be killed. David is heartbroken on discovering the death of Jonathan, tearing his clothes as a gesture of grief.
Monarchial source: a source with a pro-monarchial bias and covering many of the same details as the republican source. This source begins with the divinely appointed birth of Samuel. It then describes Saul as leading a war against the Ammonites, being chosen by the people to be king, and leading them against the Philistines. David is described as a shepherd boy arriving at the battlefield to aid his brothers, and is overheard by Saul, leading to David challenging Goliath and defeating the Philistines. David's warrior credentials lead to women falling in love with him, including Michal, Saul's daughter, who later acts to protect David against Saul. David eventually gains two new wives as a result of threatening to raid a village, and Michal is redistributed to another husband. At a later point, David finds himself seeking sanctuary amongst the Philistine army and facing the Israelites as an enemy. David is incensed that anyone should have killed Saul, even as an act of mercy, since Saul was anointed by Samuel, and has the individual responsible, an Amalekite, killed.
Court History of David or Succession narrative (2 Samuel 9–20 and 1 Kings 1–2): a "historical novel", in Alberto Soggin's phrase, telling the story of David's reign from his affair with Bathsheba to his death. The theme is of retribution: David's sin against Uriah the Hittite is punished by God through the destruction of his own family, and its purpose is to serve as an apology for the coronation of Bathsheba's son Solomon instead of his older brother Adonijah. Some textual critics have posited that given the intimacy and precision of certain narrative details, the Court Historian may have been an eyewitness to some of the events he describes, or at the very least enjoyed access to the archives and battle reports of the royal house of David.
Redactions: additions by the redactor to harmonize the sources together; many of the uncertain passages may be part of this editing.
Various: several short sources, none of which have much connection to each other, and are fairly independent of the rest of the text. Many are poems or pure lists.
Manuscript sources
Four of the Dead Sea Scrolls feature parts of the books of Samuel: 1QSam, found in Qumran Cave 1, contains parts of 2 Samuel; and 4QSama, 4QSamb and 4QSamc, all found in Qumran Cave 4. Collectively they are known as The Samuel Scroll and date from the 2nd and 1st centuries BCE.
The earliest complete surviving Hebrew copy of the book(s) of Samuel is in the Aleppo Codex (10th century CE). The complete Greek text of Samuel is found in older manuscripts such as the 4th-century Codex Sinaiticus.
Themes
The Book of Samuel is a theological evaluation of kingship in general and of dynastic kingship and David in particular. The main themes of the book are introduced in the opening poem (the "Song of Hannah"): (1) the sovereignty of Yahweh, God of Israel; (2) the reversal of human fortunes; and (3) kingship. These themes are played out in the stories of the three main characters, Samuel, Saul and David.
Samuel
Samuel answers the description of the "prophet like Moses" predicted in Deuteronomy 18:15–22: like Moses, he has direct contact with Yahweh, acts as a judge, and is a perfect leader who never makes mistakes. Samuel's successful defense of the Israelites against their enemies demonstrates that they have no need for a king (who will, moreover, introduce inequality), yet despite this the people demand a king. But the king they are given is Yahweh's gift, and Samuel explains that kingship can be a blessing rather than a curse if they remain faithful to their God. On the other hand, total destruction of both king and people will result if they turn to wickedness.
Saul
Saul is the chosen one: tall, handsome and "goodly", a king appointed by Yahweh, and anointed by Samuel, Yahweh's prophet, and yet he is ultimately rejected. Saul has two faults which make him unfit for the office of king: carrying out a sacrifice in place of Samuel, and failing to exterminate the Amalekites, in accordance to God's commands, and trying to compensate by claiming that he reserved the surviving Amalekite livestock for sacrifice.
David
One of the main units within Samuel is the "History of David's Rise", the purpose of which is to justify David as the legitimate successor to Saul. The narrative stresses that he gained the throne lawfully, always respecting "the Lord's anointed" (i.e. Saul) and never taking any of his numerous chances to seize the throne by violence. As God's chosen king over Israel, David is also the son of God ("I will be a father to him, and he shall be a son to me..." – 2 Samuel 7:14). God enters into an eternal covenant (treaty) with David and his line, promising divine protection of the dynasty and of Jerusalem through all time.
2 Samuel 23 contains a prophetic statement described as the "last words of David" (verses 1–7) and details of the 37 "mighty men" who were David's chief warriors (verses 8–39). The Jerusalem Bible states that last words were attributed to David in the style of Jacob and Moses. Its editors note that "the text has suffered considerably and reconstructions are conjectural".
1 Kings 2:1-9 contains David's final words to Solomon, his son and successor as king.
See also
Biblical judges
Books of the Kingdoms
Historicity of the Bible
History of ancient Israel and Judah
Kingdom of Israel (Samaria)
Kingdom of Judah
Midrash Shmuel (aggadah)
References
Citations
Sources
McCarter Jr., P. Kyle (1984). II Samuel: A New Translation With Introduction and Commentary By. Anchor Bible. .
External links
Masoretic Text
שמואל א Shmuel Aleph – Samuel A (Hebrew – English at Mechon-Mamre.org)
שמואל ב Shmuel Bet – Samuel B (Hebrew – English at Mechon-Mamre.org)
Jewish translations
1 Samuel at Mechon-Mamre (Jewish Publication Society translation)
2 Samuel at Mechon-Mamre (Jewish Publication Society translation)
Christian translations
Related articles
Introduction to the book of 1 Samuel from the NIV Study Bible
Introduction to the book of 2 Samuel from the NIV Study Bible
Introduction to the book of 2 Samuel from Forward Movement
8th-century BC books
7th-century BC books
6th-century BC books
Kingdom of Israel (united monarchy)
Nevi'im
Works set in the 11th century BC
Works set in the 10th century BC
Phoenicians in the Hebrew Bible
Historical books
Deuteronomistic history | 5 |
The Book of Revelation, also erroneously called the Book of Revelations, is the final book of the New Testament (and therefore the final book of the Christian Bible). Written in Koine Greek, its title is derived from the first word of the text: , meaning 'unveiling' or 'revelation'. The Book of Revelation is the only apocalyptic book in the New Testament canon. It occupies a central place in Christian eschatology.
The author names himself as simply "John" in the text, but his precise identity remains a point of academic debate. Second-century Christian writers such as Papias of Hierapolis, Justin Martyr, Irenaeus, Melito of Sardis, Clement of Alexandria, and the author of the Muratorian fragment identify John the Apostle as the "John" of Revelation. Modern scholarship generally takes a different view, with many considering that nothing can be known about the author except that he was a Christian prophet. Modern theological scholars characterize the Book of Revelation's author as "John of Patmos". The bulk of traditional sources date the book to the reign of the Roman emperor Domitian (AD 81–96), which evidence tends to confirm.
The book spans three literary genres: the epistolary, the apocalyptic, and the prophetic. It begins with John, on the island of Patmos in the Aegean Sea, addressing letters to the "Seven Churches of Asia". He then describes a series of prophetic visions, including figures such as the Seven-Headed Dragon, the Serpent, and the Beast, which culminate in the Second Coming of Jesus.
The obscure and extravagant imagery has led to a wide variety of Christian interpretations. Historicist interpretations see Revelation as containing a broad view of history while preterist interpretations treat Revelation as mostly referring to the events of the Apostolic Age (1st century), or, at the latest, the fall of the Western Roman Empire in the 5th century. Futurists, meanwhile, believe that Revelation describes future events with the seven churches growing into the body of believers throughout the age, and a reemergence or continuous rule of a Greco-Roman system with modern capabilities described by John in ways familiar to him; and idealist or symbolic interpretations consider that Revelation does not refer to actual people or events but is an allegory of the spiritual path and the ongoing struggle between good and evil.
Composition and setting
Title, authorship, and date
The name Revelation comes from the first word of the book in Koine Greek: (), which means 'unveiling' or 'revelation'. The author names himself as "John", but modern scholars consider it unlikely that the author of Revelation also wrote the Gospel of John. He was a Jewish Christian prophet, probably belonging to a group of such prophets, and was accepted by the congregations to whom he addresses his letter.
The book is commonly dated to about AD 95, as suggested by clues in the visions pointing to the reign of the emperor Domitian. The beast with seven heads and the number 666 seem to allude directly to the emperor Nero (reigned AD 54–68), but this does not require that Revelation was written in the 60s, as there was a widespread belief in later decades that Nero would return.
Genre
Revelation is an apocalyptic prophecy with an epistolary introduction addressed to seven churches in the Roman province of Asia, in what is now western Turkey. The seven cities where churches were located are close together, and the Island of Patmos is near the western coast of Turkey. The term apocalypse means the revealing of divine mysteries; John is to write down what is revealed (what he sees in his vision) and send it to the seven churches. The entire book constitutes the prophecy—the letters to the seven individual churches are introductions to the rest of the book, which is addressed to all seven. While the dominant genre is apocalyptic, the author sees himself as a Christian prophet: Revelation uses the word in various forms 21 times, more than any other New Testament book.
Sources
The predominant view is that Revelation alludes to the Old Testament, although it is difficult among scholars to agree on the exact number of allusions or the allusions themselves. Revelation rarely quotes directly from the Old Testament, yet almost every verse alludes to or echoes ideas of older scriptures. Over half of the references stem from Daniel, Ezekiel, Psalms, and Isaiah, with Daniel providing the largest number in proportion to length and Ezekiel standing out as the most influential. Because these references appear as allusions rather than as quotes, it is difficult to know whether the author used the Hebrew or the Greek version of the Hebrew scriptures, but he was often influenced by the Greek.
Setting
Conventional understanding has been that the Book of Revelation was written to comfort beleaguered Christians as they underwent persecution at the hands of an emperor. This is, however, not the only interpretation; Domitian may not have been a despot imposing an imperial cult, and there may not have been any systematic empire-wide persecution of Christians in his time. Revelation may instead have been composed in the context of a conflict within the Christian community of Asia Minor over whether to engage with, or withdraw from, the far larger non-Christian community: Author Mark B. Stephens posed the Revelation chastised those Christians who wanted to reach an accommodation with the Roman cult of empire. This is not to say that Christians in Roman Asia were not suffering for withdrawal from, and defiance against, the wider Roman society, which imposed very real penalties; Revelation offered a victory over this reality by offering an apocalyptic hope. In the words of professor Adela Collins, "What ought to be was experienced as a present reality." There is also theological interpretation that the book mainly prophesies the end of Old Covenant order, the Jewish temple and religious economy.
Canonical history
Revelation was among the last books accepted into the Christian biblical canon, and to the present day some churches that derive from the Church of the East reject it. Eastern Christians became skeptical of the book as doubts concerning its authorship and unusual style were reinforced by aversion to its acceptance by Montanists and other groups considered to be heretical. This distrust of the Book of Revelation persisted in the East through the 15th century.
Dionysius (AD 248), bishop of Alexandria and disciple of Origen, wrote that the Book of Revelation could have been written by Cerinthus although he himself did not adopt the view that Cerinthus was the writer. He regarded the Apocalypse as the work of an inspired man but not of an Apostle (Eusebius, Church History VII.25).
Eusebius, in his Church History (), mentioned that the Apocalypse of John was accepted as a canonical book and rejected at the same time:
The Apocalypse of John is counted as both accepted (Kirsopp. Lake translation: "Recognized") and disputed, which has caused some confusion over what exactly Eusebius meant by doing so. The disputation can perhaps be attributed to Origen. Origen seems to have accepted it in his writings.
Cyril of Jerusalem (AD 348) does not name it among the canonical books (Catechesis IV.33–36).
Athanasius (AD 367) in his Letter 39, Augustine of Hippo () in his book On Christian Doctrine (Book II, Chapter 8), Tyrannius Rufinus () in his Commentary on the Apostles' Creed, Pope Innocent I (AD 405) in a letter to the bishop of Toulouse and John of Damascus (about AD 730) in his work An Exposition of the Orthodox Faith (Book IV:7) listed "the Revelation of John the Evangelist" as a canonical book.
Synods
The Council of Laodicea (AD 363) omits it as a canonical book.
The , which is a work written by an anonymous scholar between 519 and 553, contains a list of books of scripture presented as having been reckoned as canonical by the Council of Rome (AD 382). This list mentions it as a part of the New Testament canon.
The Synod of Hippo (in AD 393), followed by the Council of Carthage (397), the Council of Carthage (419), the Council of Florence (1442) and the Council of Trent (1546) classified it as a canonical book.
The Apostolic Canons, approved by the Eastern Orthodox Council in Trullo in 692, but rejected by Pope Sergius I, omit it.
Protestant Reformation
Doubts resurfaced during the 16th-century Protestant Reformation. Martin Luther called Revelation "neither apostolic nor prophetic" in the 1522 preface to his translation of the New Testament (he revised his position with a much more favorable assessment in 1530), Huldrych Zwingli labelled it "not a book of the Bible", and it was the only New Testament book on which John Calvin did not write a commentary. Revelation remains the only New Testament book not read in the Divine Liturgy of the Eastern Orthodox Church, though Catholic and Protestant liturgies include it.
Texts and manuscripts
There are fewer manuscripts of Revelation than of any other part of the New Testament. As of 2020, in total, there are 310 manuscripts of Revelation. This number includes 7 papyri, 12 majuscules, and 291 minuscules. But, in fact, not all of them are available for research. Some of them have burned down, vanished, or been categorized wrongly. While it is not extant in the (4th century), it is extant in the other great uncial codices: the (4th century), the (5th century), and the (5th century). In addition, there are numerous papyri, especially and (both 3rd century); minuscules (8th to 10th century); and fragmentary quotations in the Church fathers of the 2nd to 5th centuries and the 6th-century Greek commentary on Revelation by Andreas.
Structure and content
Literary structure
Divisions in the book seem to be marked by the repetition of key phrases, by the arrangement of subject matter into blocks, and associated with its Christological passages, and much use is made of significant numbers, especially the number seven, which represented perfection according to ancient numerology. Nevertheless, there is a "complete lack of consensus" among scholars about the structure of Revelation. The following is therefore an outline of the book's contents rather than of its structure.
Outline
Outline of the book of Revelation:
The Revelation of Jesus Christ
The Revelation of Jesus Christ is communicated to John through prophetic visions. (1:1–9)
John is instructed by the "one like a son of man" to write all that he hears and sees, from the prophetic visions, to Seven Churches of Asia. (1:10–13)
The appearance of the "one like a son of man" is given, and he reveals what the seven stars and seven lampstands represent. (1:14–20)
Messages for seven churches of Asia
Ephesus: From this church, he "who overcomes is granted to eat from the tree of life, which is in the midst of the Paradise of God." (2:1–7)
Praised for not bearing those who are evil, testing those who say they are apostles and are not, and finding them to be liars; hating the deeds of the Nicolaitans; having persevered and possessing patience.
Admonished to "do the first works" and to repent for having left their "first love."
Smyrna: From this church, those who are faithful until death, will be given "the crown of life." He who overcomes shall not be hurt by the second death. (2:8–11)
Praised for being "rich" while impoverished and in tribulation.
Admonished not to fear the "synagogue of Satan", nor fear a ten-day tribulation of being thrown into prison.
Pergamum: From this church, he who overcomes will be given the hidden manna to eat and a white stone with a secret name on it." (2:12–17)
Praised for holding "fast to My name", not denying "My faith" even in the days of Antipas, "My faithful martyr."
Admonished to repent for having held the doctrine of Balaam, who taught Balak to put a stumbling block before the children of Israel; eating things sacrificed to idols, committing sexual immorality, and holding the "doctrine of the Nicolaitans."
Thyatira: From this church, he who overcomes until the end, will be given power over the nations in order to dash them to pieces with a rod of iron; he will also be given the "morning star." (2:18–29)
Praised for their works, love, service, faith, and patience.
Admonished to repent for allowing a "prophetess" to promote sexual immorality and to eat things sacrificed to idols.
Sardis: From this church, he who overcomes will be clothed in white garments, and his name will not be blotted out from the Book of Life; his name will also be confessed before the Father and his angels. (3:1–6)
Admonished to be watchful and to strengthen since their works have not been perfect before God.
Philadelphia: From this church, he who overcomes will be made a pillar in the temple of God having the name of God, the name of the city of God, "New Jerusalem", and the Son of God's new name. (3:7–13)
Praised for having some strength, keeping "My word", and having not denied "My name."
Reminded to hold fast what they have, that no one may take their crown.
Laodicea: From this church, he who overcomes will be granted the opportunity to sit with the Son of God on his throne. (3:14–22)
Admonished to be zealous and repent from being "lukewarm"; they are instructed to buy the "gold refined in the fire", that they may be rich; to buy "white garments", that they may be clothed, so that the shame of their nakedness would not be revealed; to anoint their eyes with eye salve, that they may see.
Before the Throne of God
The Throne of God appears, surrounded by twenty four thrones with twenty-four elders seated in them. (4:1–5)
The four living creatures are introduced. (4:6–11)
A scroll, with seven seals, is presented and it is declared that the Lion of the tribe of Judah, from the "Root of David", is the only one worthy to open this scroll. (5:1–5)
When the "Lamb having seven horns and seven eyes" took the scroll, the creatures of heaven fell down before the Lamb to give him praise, joined by myriads of angels and the creatures of the earth. (5:6–14)
Seven Seals are opened
First Seal: A white horse appears, whose crowned rider has a bow with which to conquer. (6:1–2)
Second Seal: A red horse appears, whose rider is granted a "great sword" to take peace from the earth. (6:3–4)
Third Seal: A black horse appears, whose rider has "a pair of balances in his hand", where a voice then says, "A measure of wheat for a penny, and three measures of barley for a penny; and [see] thou hurt not the oil and the wine." (6:5–6)
Fourth Seal: A pale horse appears, whose rider is Death, and Hades follows him. Death is granted a fourth part of the earth, to kill with sword, with hunger, with death, and with the beasts of the earth. (6:7–8)
Fifth Seal: "Under the altar", appeared the souls of martyrs for the "word of God", who cry out for vengeance. They are given white robes and told to rest until the martyrdom of their brothers is completed. (6:9–11)
Sixth Seal: (6:12–17)
There occurs a great earthquake where "the sun becomes black as sackcloth of hair, and the moon like blood" (6:12).
The stars of heaven fall to the earth and the sky recedes like a scroll being rolled up (6:13–14).
Every mountain and island is moved out of place (6:14).
The people of earth retreat to caves in the mountains (6:15).
The survivors call upon the mountains and the rocks to fall on them, so as to hide them from the "wrath of the Lamb" (6:16).
Interlude: The 144,000 Hebrews are sealed.
144,000 from the Twelve Tribes of Israel are sealed as servants of God on their foreheads (7:1–8)
A great multitude stand before the Throne of God, who come out of the Great Tribulation, clothed with robes made "white in the blood of the Lamb" and having palm branches in their hands. (7:9–17)
Seventh Seal: Introduces the seven trumpets (8:1–5)
"Silence in heaven for about half an hour" (8:1).
Seven angels are each given trumpets (8:2).
An eighth angel takes a "golden censer", filled with fire from the heavenly altar, and throws it to the earth (8:3–5). What follows are "peals of thunder, rumblings, flashes of lightning, and an earthquake" (8:5).
After the eighth angel has devastated the earth, the seven angels introduced in verse 2 prepare to sound their trumpets (8:6).
Seven trumpets are sounded (Seen in Chapters 8, 9, and 12).
First Trumpet: Hail and fire, mingled with blood, are thrown to the earth burning up a third of the trees and green grass. (8:6–7)
Second Trumpet: Something that resembles a great mountain, burning with fire, falls from the sky and lands in the ocean. It kills a third of the sea creatures and destroys a third of the ships at sea. (8:8–9)
Third Trumpet: A great star, named Wormwood, falls from heaven and poisons a third of the rivers and springs of water. (8:10–11)
Fourth Trumpet: A third of the sun, the moon, and the stars are darkened creating complete darkness for a third of the day and the night. (8:12–13)
Fifth Trumpet: The First Woe (9:1–12)
A "star" falls from the sky (9:1).
This "star" is given "the key to the bottomless pit" (9:1).
The "star" then opens the bottomless pit. When this happens, "smoke [rises] from [the Abyss] like smoke from a gigantic furnace. The sun and sky [are] darkened by the smoke from the Abyss" (9:2).
From out of the smoke, locusts who are "given power like that of scorpions of the earth" (9:3), who are commanded not to harm anyone or anything except for people who were not given the "seal of God" on their foreheads (from chapter 7) (9:4).
The "locusts" are described as having a human appearance (faces and hair) but with lion's teeth, and wearing "breastplates of iron"; the sound of their wings resembles "the thundering of many horses and chariots rushing into battle" (9:7–9).
Sixth Trumpet: The Second Woe (9:13–21)
The four angels bound to the great river Euphrates are released to prepare two hundred million horsemen.
These armies kill a third of mankind by plagues of fire, smoke, and brimstone.
Interlude: The little scroll. (10:1–11)
An angel appears, with one foot on the sea and one foot on the land, having an opened little book in his hand.
Upon the cry of the angel, seven thunders utter mysteries and secrets that are not to be written down by John.
John is instructed to eat the little scroll that happens to be sweet in his mouth, but bitter in his stomach, and to prophesy.
John is given a measuring rod to measure the temple of God, the altar, and those who worship there.
Outside the temple, at the court of the holy city, it is trod by the nations for forty-two months ( years).
Two witnesses prophesy for 1,260 days, clothed in sackcloth. (11:1–14)
Seventh Trumpet: The Third Woe that leads into the seven bowls (11:15–19)
The temple of God opens in heaven, where the ark of his covenant can be seen. There are lightnings, noises, thunderings, an earthquake, and great hail.
The Seven Spiritual Figures. (Events leading into the Third Woe)
A Woman "clothed with a white robe, with the sun at her back, with the moon under her feet, and on her head a crown of twelve stars" is in pregnancy with a male child. (12:1–2)
A great Dragon (with seven heads, ten horns, and seven crowns on his heads) drags a third of the stars of Heaven with his tail, and throws them to the Earth. (12:3–4). The Dragon waits for the birth of the child so he can devour it. However, sometime after the child is born, he is caught up to God's throne while the Woman flees into the wilderness into her place prepared of God that they should feed her there for 1,260 days ( years). (12:5–6). War breaks out in heaven between Michael and the Dragon, identified as that old Serpent, the Devil, or Satan (12:9). After a great fight, the Dragon and his angels are cast out of Heaven for good, followed by praises of victory for God's kingdom. (12:7–12). The Dragon engages to persecute the Woman, but she is given aid to evade him. Her evasiveness enrages the Dragon, prompting him to wage war against the rest of her offspring, who keep the commandments of God and have the testimony of Jesus Christ. (12:13–17)
A Beast (with seven heads, ten horns, and ten crowns on his horns and on his heads names of blasphemy) emerges from the Sea, having one mortally wounded head that is then healed. The people of the world wonder and follow the Beast. The Dragon grants him power and authority for forty-two months. (13:1–5)
The Beast of the Sea blasphemes God's name (along with God's tabernacle and his kingdom and all who dwell in Heaven), wages war against the Saints, and overcomes them. (13:6–10)
Then, a Beast emerges from the Earth having two horns like a lamb, speaking like a dragon. He directs people to make an image of the Beast of the Sea who was wounded yet lives, breathing life into it, and forcing all people to bear "the mark of the Beast". The number of the beast the Bible says is "666". Events leading into the Third Woe:
The Lamb stands on Mount Zion with the 144,000 "first fruits" who are redeemed from Earth and victorious over the Beast and his mark and image. (14:1–5)
The proclamations of three angels. (14:6–13)
One like the Son of Man reaps the earth. (14:14–16)
A second angel reaps "the vine of the Earth" and throws it into "the great winepress of the wrath of God... and blood came out of the winepress... up to one thousand six hundred stadia." (14:17–20)
The temple of the tabernacle, in Heaven, is opened (15:1–5), beginning the "Seven Bowls" revelation.
Seven angels are given a golden bowl, from the Four Living Creatures, that contains the seven last plagues bearing the wrath of God. (15:6–8)
Seven bowls are poured onto Earth:
First Bowl: A "foul and malignant sore" afflicts the followers of the Beast. (16:1–2)
Second Bowl: The Sea turns to blood and everything within it dies. (16:3)
Third Bowl: All fresh water turns to blood. (16:4–7)
Fourth Bowl: The Sun scorches the Earth with intense heat and even burns some people with fire. (16:8–9)
Fifth Bowl: There is total darkness and great pain in the Beast's kingdom. (16:10–11)
Sixth Bowl: The Great River Euphrates is dried up and preparations are made for the kings of the East and the final battle at Armageddon between the forces of good and evil. (16:12–16)
Seventh Bowl: A great earthquake and heavy hailstorm: "every island fled away and the mountains were not found." (16:17–21)
Aftermath: Vision of John given by "an angel who had the seven bowls"
The great Harlot who sits on a scarlet Beast (with seven heads and ten horns and names of blasphemy all over its body) and by many waters: Babylon the Great. The angel showing John the vision of the Harlot and the scarlet Beast reveals their identities and fates (17:1–18)
New Babylon is destroyed. (18:1–8)
The people of the Earth (the kings, merchants, sailors, etc.) mourn New Babylon's destruction. (18:9–19)
The permanence of New Babylon's destruction. (18:20–24)
The Marriage Supper of the Lamb
A great multitude praises God. (19:1–6)
The marriage Supper of the Lamb. (19:7–10)
The Judgment of the two Beasts, the Dragon, and the Dead (19:11–20:15)
The Beast and the False Prophet are cast into the Lake of Fire. (19:11–21)
The Dragon is imprisoned in the Bottomless Pit for a thousand years. (20:1–3)
The resurrected martyrs live and reign with Christ for a thousand years. (20:4–6)
After the Thousand Years
The Dragon is released and goes out to deceive the nations in the four corners of the Earth—Gog and Magog—and gathers them for battle at the holy city. The Dragon makes war against the people of God, but is defeated. (20:7–9)
The Dragon is cast into the Lake of Fire with the Beast and the False Prophet. (20:10)
The Last Judgment: the wicked, along with Death and Hades, are cast into the Lake of Fire, which is the second death. (20:11–15)
The New Heaven and Earth, and New Jerusalem
A "new heaven" and "new earth" replace the old heaven and old earth. There is no more suffering or death. (21:1–8)
God comes to dwell with humanity in the New Jerusalem. (21:2–8)
Description of the New Jerusalem. (21:9–27)
The River of Life and the Tree of Life appear for the healing of the nations and peoples. The curse of sin is ended. (22:1–5)
Conclusion
Christ's reassurance that his coming is imminent. Final admonitions. (22:6–21)
Interpretations
Revelation has a wide variety of interpretations, ranging from the simple historical interpretation, to a prophetic view on what will happen in the future by way of God's will and the Woman's (traditionally believed to be the Virgin Mary) victory over Satan ("symbolic interpretation"), to different end time scenarios ("futurist interpretation"), to the views of critics who deny any spiritual value to Revelation at all, ascribing it to a human-inherited archetype.
Liturgical
Paschal liturgical
This interpretation, which has found expression among both Catholic and Protestant theologians, considers the liturgical worship, particularly the Easter rites, of early Christianity as background and context for understanding the Book of Revelation's structure and significance. This perspective is explained in The Paschal Liturgy and the Apocalypse (new edition, 2004) by Massey H. Shepherd, an Episcopal scholar, and in Scott Hahn's The Lamb's Supper: The Mass as Heaven on Earth (1999), in which he states that Revelation in form is structured after creation, fall, judgment and redemption. Those who hold this view say that the Temple's destruction (AD 70) had a profound effect on the Jewish people, not only in Jerusalem but among the Greek-speaking Jews of the Mediterranean.
They believe the Book of Revelation provides insight into the early Eucharist, saying that it is the new Temple worship in the New Heaven and Earth. The idea of the Eucharist as a foretaste of the heavenly banquet is also explored by British Methodist Geoffrey Wainwright in his book Eucharist and Eschatology (Oxford University Press, 1980). According to Pope Benedict XVI some of the images of Revelation should be understood in the context of the dramatic suffering and persecution of the churches of Asia in the 1st century.
Accordingly, they argue, the Book of Revelation should not be read as an enigmatic warning, but as an encouraging vision of Christ's definitive victory over evil.
Oriental Orthodox
In the Coptic Orthodox Church the whole Book of Revelation is read during Apocalypse Night after Good Friday. Biblically Ugo Vanni and other biblical scholars have argued that the Book of Revelation was written with the intention to be read entirely in one liturgical setting with dialogue-elements between the reader (singular) and the hearers (plural) based on Rev 1:3 and Rev 1:10. Beniamin Zakhary has recently shown that the structure of the reading the Book of Revelation within the Coptic rite of Apocalypse Night (this is the only biblical reading in the Coptic church with a dialogue in it, where the reader stops many times and the people respond; additionally the entire book is read in a liturgical setting that culminates with the Eucharist) shows great support for this biblical hypothesis, albeit with some notable difference.
Additionally, the Book of Revelation permeates many liturgical prayers and iconography within the Coptic Church.
Eschatological
Most Christian interpretations fall into one or more of the following categories:
Historicism, which sees in Revelation a broad view of history;
Preterism, in which Revelation mostly refers to the events of the apostolic era (1st century) or, at the latest, the fall of Jerusalem or the Roman Empire;
Futurism, which believes that Revelation describes future events (modern believers in this interpretation are often called "millennialists"); and
Idealism/Allegoricalism, which holds that Revelation does not refer to actual people or events, but is an allegory of the spiritual path and the ongoing struggle between good and evil.
Additionally, there are significant differences in interpretation of the thousand years (the "millennium") mentioned in Revelation 20:2.
Premillennialism, which holds a literal interpretation of the "millennium" and generally prefers literal interpretations of the content of the book;
Amillennialism, which rejects a literal interpretation of the "millennium" and generally prefers allegorical interpretations of the content of the book; and
Postmillennialism, which includes both literal and allegorical interpretations of the "millennium" but views the Second Coming as following the conversion to Christianity of a gradually improving world.
Eastern Orthodox
Eastern Orthodoxy treats the text as simultaneously describing contemporaneous events (events occurring at the same time) and as prophecy of events to come, for which the contemporaneous events were a form of foreshadow. It rejects attempts to determine, before the fact, if the events of Revelation are occurring by mapping them onto present-day events, taking to heart the Scriptural warning against those who proclaim "He is here!" prematurely. Instead, the book is seen as a warning to be spiritually and morally ready for the end times, whenever they may come ("as a thief in the night"), but they will come at the time of God's choosing, not something that can be precipitated nor trivially deduced by mortals.
Book of Revelation is the only book of the New Testament that is not read during services by the Byzantine Rite Churches, although it is read in the Western Rite Orthodox Parishes, which are under the same bishops as the Byzantine Rite.
Protestant
Seventh-day Adventist
Similar to the early Protestants, Adventists maintain a historicist interpretation of the Bible's predictions of the apocalypse.
Seventh-day Adventists believe the Book of Revelation is especially relevant to believers in the days preceding the second coming of Jesus Christ. "The universal church is composed of all who truly believe in Christ, but in the last days, a time of widespread apostasy, a remnant has been called out to keep the commandments of God and the faith of Jesus." "Here is the patience of the saints; here are those who keep the commandments of God and the faith of Jesus." As participatory agents in the work of salvation for all humankind, "This remnant announces the arrival of the judgment hour, proclaims salvation through Christ, and heralds the approach of His second advent." The three angels of Revelation 14 represent the people who accept the light of God's messages and go forth as his agents to sound the warning throughout the length and breadth of the earth.
Bahá'í Faith
By reasoning analogous with Millerite historicism, Bahá'u'lláh's doctrine of progressive revelation, a modified historicist method of interpreting prophecy, is identified in the teachings of the Bahá'í Faith.
ʻAbdu'l-Bahá, the son and chosen successor of Bahá'u'lláh, has given some interpretations about the 11th and 12th chapters of Revelation in Some Answered Questions. The 1,260 days spoken of in the forms: one thousand two hundred and sixty days, forty-two months, refers to the 1,260 years in the Islamic Calendar (AH 1260 or AD 1844). The "two witnesses" spoken of are Muhammad and Ali. The red Dragon spoken of in Revelation 12:3 – "And there appeared a great wonder in heaven; and behold a great red dragon, having seven heads and ten horns, and seven crowns upon his heads" – are interpreted as symbolic of the seven provinces dominated by the Umayyads: Damascus, Persia, Arabia, Egypt, Africa, Andalusia, and Transoxania. The ten horns represent the ten names of the leaders of the Umayyad dynasty: Abu Sufyan, Muawiya, Yazid, Marwan, Abd al-Malik, Walid, Sulayman, Umar, Hisham, and Ibrahim. Some names were re-used, as in the case of Yazid II and Yazid III and the like, which were not counted for this interpretation.
The Church of Jesus Christ of Latter-day Saints
The Book of Mormon states that John the Apostle is the author of Revelation and that he was foreordained by God to write it.
Doctrine and Covenants, section 77, postulates answers to specific questions regarding the symbolism contained in the Book of Revelation. Topics include: the sea of glass, the four beasts and their appearance, the 24 elders, the book with seven seals, certain angels, the sealing of the 144,000, the little book eaten by John, and the two witnesses in Chapter 11.
Members of The Church of Jesus Christ of Latter-day Saints believe that the warning contained in Revelation 22:18–19 does not refer to the biblical canon as a whole. Rather, an open and ongoing dialogue between God and the modern-day Prophet and Apostles of the LDS faith constitute an open canon of scripture.
Esoteric
Christian Gnostics are unlikely to be attracted to the teaching of Revelation because the doctrine of salvation through the sacrificed Lamb, which is central to Revelation, is repugnant to Gnostics. Christian Gnostics "believed in the Forgiveness of Sins, but in no vicarious sacrifice for sin ... they accepted Christ in the full realisation of the word; his life, not his death, was the keynote of their doctrine and their practice."
James Morgan Pryse was an esoteric gnostic who saw Revelation as a western version of the Hindu theory of the Chakra. He began his work, "The purpose of this book is to show that the Apocalypse is a manual of spiritual development and not, as conventionally interpreted, a cryptic history or prophecy." Such diverse theories have failed to command widespread acceptance. However, Christopher Rowland argues: "there are always going to be loose threads which refuse to be woven into the fabric as a whole. The presence of the threads which stubbornly refuse to be incorporated into the neat tapestry of our world-view does not usually totally undermine that view."
Radical discipleship
The radical discipleship interpretation asserts that the Book of Revelation is best understood as a handbook for radical discipleship; i. e., how to remain faithful to the spirit and teachings of Jesus and avoid simply assimilating to surrounding society. In this interpretation the primary agenda of the book is to expose as impostors the worldly powers that seek to oppose the ways of God and God's Kingdom. The chief temptation for Christians in the 1st century, and today, is to fail to hold fast to the non-violent teachings and example of Jesus and instead be lured into unquestioning adoption and assimilation of worldly, national or cultural values – imperialism, nationalism, and civil religion being the most dangerous and insidious.
This perspective (closely related to liberation theology) draws on the approach of Bible scholars such as Ched Myers, William Stringfellow, Richard Horsley, Daniel Berrigan, Wes Howard-Brook, and Joerg Rieger. Various Christian anarchists, such as Jacques Ellul, have identified the State and political power as the Beast and the events described, being their doings and results, the aforementioned 'wrath'.
Aesthetic and literary
Literary writers and theorists have contributed to a wide range of theories about the origins and purpose of the Book of Revelation. Some of these writers have no connection with established Christian faiths but, nevertheless, found in Revelation a source of inspiration. Revelation has been approached from Hindu philosophy and Jewish Midrash. Others have pointed to aspects of composition which have been ignored such as the similarities of prophetic inspiration to modern poetic inspiration, or the parallels with Greek drama. In recent years, theories have arisen which concentrate upon how readers and texts interact to create meaning and which are less interested in what the original author intended.
Charles Cutler Torrey taught Semitic languages at Yale University. His lasting contribution has been to show how prophets, such as the scribe of Revelation, are much more meaningful when treated as poets first and foremost. He thought this was a point often lost sight of because most English bibles render everything in prose. Poetry was also the reason John never directly quoted the older prophets. Had he done so, he would have had to use their (Hebrew) poetry whereas he wanted to write his own. Torrey insisted Revelation had originally been written in Aramaic.
According to Torrey, "The Fourth Gospel was brought to Ephesus by a Christian fugitive from Palestine soon after the middle of the first century. It was written in Aramaic." Later, the Ephesians claimed this fugitive had actually been the beloved disciple himself. Subsequently, this John was banished by Nero and died on Patmos after writing Revelation. Torrey argued that until AD 80, when Christians were expelled from the synagogues, the Christian message was always first heard in the synagogue and, for cultural reasons, the evangelist would have spoken in Aramaic, else "he would have had no hearing." Torrey showed how the three major songs in Revelation (the new song, the song of Moses and the Lamb and the chorus at 19: 6–8) each fall naturally into four regular metrical lines plus a coda. Other dramatic moments in Revelation, such as 6:16 where the terrified people cry out to be hidden, behave in a similar way. The surviving Greek translation was a literal translation that aimed to comply with the warning at Revelation 22:18 that the text must not be "corrupted" in any way.
Christina Rossetti was a Victorian poet who believed the sensual excitement of the natural world found its meaningful purpose in death and in God. Her The Face of the Deep is a meditation upon the Apocalypse. In her view, what Revelation has to teach is patience. Patience is the closest to perfection the human condition allows. Her book, which is largely written in prose, frequently breaks into poetry or jubilation, much like Revelation itself. The relevance of John's visions belongs to Christians of all times as a continuous present meditation. Such matters are eternal and outside of normal human reckoning. "That winter which will be the death of Time has no promise of termination. Winter that returns not to spring ... – who can bear it?" She dealt deftly with the vengeful aspects of John's message. "A few are charged to do judgment; everyone without exception is charged to show mercy." Her conclusion is that Christians should see John as "representative of all his brethren" so they should "hope as he hoped, love as he loved."
Recently, aesthetic and literary modes of interpretation have developed, which focus on Revelation as a work of art and imagination, viewing the imagery as symbolic depictions of timeless truths and the victory of good over evil. Elisabeth Schüssler Fiorenza wrote Revelation: Vision of a Just World from the viewpoint of rhetoric. Accordingly, Revelation's meaning is partially determined by the way John goes about saying things, partially by the context in which readers receive the message and partially by its appeal to something beyond logic.
Professor Schüssler Fiorenza believes that Revelation has particular relevance today as a liberating message to disadvantaged groups. John's book is a vision of a just world, not a vengeful threat of world-destruction. Her view that Revelation's message is not gender-based has caused dissent. She says humanity is to look behind the symbols rather than make a fetish out of them. In contrast, Tina Pippin states that John writes "horror literature" and "the misogyny which underlies the narrative is extreme."
D. H. Lawrence took an opposing, pessimistic view of Revelation in the final book he wrote, Apocalypse. He saw the language which Revelation used as being bleak and destructive; a 'death-product'. Instead, he wanted to champion a public-spirited individualism (which he identified with the historical Jesus supplemented by an ill-defined cosmic consciousness) against its two natural enemies. One of these he called "the sovereignty of the intellect" which he saw in a technology-based totalitarian society. The other enemy he styled "vulgarity" and that was what he found in Revelation. "It is very nice if you are poor and not humble ... to bring your enemies down to utter destruction, while you yourself rise up to grandeur. And nowhere does this happen so splendiferously than in Revelation." Lawrence did not consider how these two types of Christianity (good and bad in his view) might be related other than as opposites. He noted the difference meant that the John who wrote a gospel could not be the same John who wrote Revelation.
His specific aesthetic objections to Revelation were that its imagery was unnatural and that phrases like "the wrath of the Lamb" were "ridiculous." He saw Revelation as comprising two discordant halves. In the first, there was a scheme of cosmic renewal in "great Chaldean sky-spaces", which he quite liked. After that, Lawrence thought, the book became preoccupied with the birth of the baby messiah and "flamboyant hate and simple lust ... for the end of the world." Lawrence coined the term "Patmossers" to describe those Christians who could only be happy in paradise if they knew their enemies were suffering in hell.
Academic
Modern biblical scholarship attempts to understand Revelation in its 1st-century historical context within the genre of Jewish and Christian apocalyptic literature. This approach considers the text as an address to seven historical communities in Asia Minor. Under this interpretation, assertions that "the time is near" are to be taken literally by those communities. Consequently, the work is viewed as a warning to not conform to contemporary Greco-Roman society which John "unveils" as beastly, demonic, and subject to divine judgment.
New Testament narrative criticism also places Revelation in its first century historical context but approaches the book from a literary perspective. For example, narrative critics examine characters and characterization, literary devices, settings, plot, themes, point of view, implied reader, implied author, and other constitutive features of narratives in their analysis of the book.
Although the acceptance of Revelation into the canon has, from the beginning, been controversial, it has been essentially similar to the career of other texts. The eventual exclusion of other contemporary apocalyptic literature from the canon may throw light on the unfolding historical processes of what was officially considered orthodox, what was heterodox, and what was even heretical. Interpretation of meanings and imagery are anchored in what the historical author intended and what his contemporary audience inferred; a message to Christians not to assimilate into the Roman imperial culture was John's central message. Thus, the letter (written in the apocalyptic genre) is pastoral in nature (its purpose is offering hope to the downtrodden), and the symbolism of Revelation is to be understood entirely within its historical, literary, and social context. Critics study the conventions of apocalyptic literature and events of the 1st century to make sense of what the author may have intended.
Scholar Barbara Whitlock pointed out a similarity between the consistent destruction of thirds depicted in the Book of Revelation (a third of mankind by plagues of fire, smoke, and brimstone, a third of the trees and green grass, a third of the sea creatures and a third of the ships at sea, etc.) and the Iranian mythology evil character Zahhak or Dahāg, depicted in the Avesta, the earliest religious texts of Zoroastrianism. Dahāg is mentioned as wreaking much evil in the world until at last chained up and imprisoned on the mythical Mt. Damāvand. The Middle Persian sources prophesy that at the end of the world, Dahāg will at last burst his bonds and ravage the world, consuming one in three humans and livestock, until the ancient hero Kirsāsp returns to life to kill Dahāg. Whitlock wrote: "Zoroastrianism, the state religion of the Roman Empire's main rival, was part of the intellectual environment in which Christianity came into being, just as were Judaism, the Greek-Roman religion, and the worship of Isis and Mithras. A Zoroastrian influence is completely plausible".
Old Testament origins
Much of Revelation employs ancient sources, primarily but not exclusively from the Old Testament. For example, Howard-Brook and Gwyther regard the Book of Enoch as an equally significant but contextually different source. "Enoch's journey has no close parallel in the Hebrew scriptures."
Academics showed little interest in this topic until recently. An anonymous Scottish commentary of 1871 prefaces Revelation 4 with the Little Apocalypse of Mark 13, places Malachi 4:5 ("Behold I will send you Elijah the prophet before the coming of the great and dreadful day of the Lord") within Revelation 11 and writes Revelation 12:7 side by side with the role of "the Satan" in the Book of Job. The message is that everything in Revelation will happen in its previously appointed time.
Steve Moyise uses the index of the United Bible Societies' Greek New Testament to show that "Revelation contains more Old Testament allusions than any other New Testament book, but it does not record a single quotation." Perhaps significantly, Revelation chooses different sources than other New Testament books. Revelation concentrates on Isaiah, Psalms, and Ezekiel, while neglecting, comparatively speaking, the books of the Pentateuch that are the dominant sources for other New Testament writers.
Yet, with Revelation, the problems might be judged more fundamental. The author seems to be using his sources in a completely different way to the originals. For example, the author borrows the 'new temple' imagery of Ezekiel 40–48 but uses it to describe a New Jerusalem which, quite pointedly, no longer needs a temple because it is God's dwelling. Ian Boxall writes that Revelation "is no montage of biblical quotations (that is not John's way) but a wealth of allusions and evocations rewoven into something new and creative." In trying to identify this "something new", Boxall argues that Ezekiel provides the 'backbone' for Revelation. He sets out a comparative table listing the chapters of Revelation in sequence and linking most of them to the structurally corresponding chapter in Ezekiel. The interesting point is that the order is not the same. John, on this theory, rearranges Ezekiel to suit his own purposes.
Some commentators argue that it is these purposes – and not the structure – that really matter. G. K. Beale believes that, however much John makes use of Ezekiel, his ultimate purpose is to present Revelation as a fulfillment of Daniel 7. Richard Bauckham has argued that John presents an early view of the Trinity through his descriptions of the visions and his identifying Jesus and the Holy Spirit with YHWH. Brandon Smith has expanded on both of their proposals while proposing a "trinitarian reading" of Revelation, arguing that John uses Old Testament language and allusions from various sources to describe a multiplicity of persons in YHWH without sacrificing monotheism, which would later be codified in the trinitarian doctrine of Nicene Christianity.
Olivet discourse
According to James Stuart Russell, the book is an exposition of Olivet Discourse found in the Synoptic Gospels in Matthew 24 and 25, Mark 13, and Luke 21. Russell suggests there are parallels between the prophecy told by Jesus to the disciples and the prophecy recorded in the Book of Revelation, such as wars, famines, pestilence, earthquakes, false prophets, the darkening of the sun and moon, and stars falling from heaven.
Figures in Revelation
In order of appearance:
The author (see John the Apostle or John of Patmos)
One like the Son of man who gives the revelation
Antipas, the faithful martyr
Nicolaitans
Jezebel
The One who sits on the throne (God)
The four living creatures
The twenty four elders
The Lamb, with seven horns and seven eyes (Lion of Judah)
Saints under the altar
Four Horsemen of the Apocalypse
The souls of them that were slain for the word of God
Four angels holding the four winds of the Earth
The seal-bearer angel (144,000 of Israel sealed)
A great multitude from every nation
Seven angelic trumpeters
The star called Wormwood
Angel of Woe
Scorpion-tailed Locusts
The angel of the bottomless pit (Hebrew: Abaddon, Greek: Apollyon)
Four angels bound to the great river Euphrates
Two hundred million man cavalry
The mighty angel with little book open and when he cried of seven thunders uttered their voices
The Two Witnesses
The Woman and her child
The Dragon, fiery red with seven heads and ten horns (Satan)
Saint Michael the Archangel
The Beast, with seven heads and ten horns (Antichrist/Beast of the Sea)
The False Prophet (Beast of the Earth)
The three angels
The angelic reapers and the grapes of wrath
Voice from heaven
Seven plague angels (Seven bowls of wrath)
Angel of the waters
The Whore of Babylon (Mother of harlots)
Word of God/Rider on a white horse
Angel binding Satan for one thousand years
Those of the first resurrection
Gog and Magog (after the one thousand years)
Those of the second resurrection
See also
Alpha and Omega
The Apocalypse – 2000 film
Apocalypse of John – dated astronomically
Apocalypse of Peter
Apocalypse of Zerubbabel
Apocalypticism
Arethas of Caesarea
Biblical cosmology
Biblical numerology
Book of Ezekiel
Christian eschatological differences
Day-year principle
English Apocalypse manuscripts
Horae Apocalypticae
Maccabees
Masada
The New Earth
Number of the Beast
Patmos
Textual variants in the Book of Revelation
Vespasian
Woman of the Apocalypse
Notes
References
Bibliography
Barr, David, L. (1998). Tales of the End: A Narrative Commentary on the Book of Revelation. Santa Rosa, CA: Polebridge Press, .
Bass, Ralph E. Jr. (2004). Back to the Future: A Study in the Book of Revelation, Greenville, South Carolina: Living Hope Press, .
Beale G.K. (1999). The Book of Revelation, NIGTC, Grand Rapids: Cambridge.
Bousset W., Die Offenbarung Johannis, Göttingen 18965, 19066.
Boxall, Ian, (2006). The Revelation of Saint John (Black's New Testament Commentary) London: Continuum, and Peabody, Massachusetts: Hendrickson. U.S. edition:
Boxall, Ian (2002). Revelation: Vision and Insight – An Introduction to the Apocalypse, London: SPCK
Ford, J. Massyngberde (1975). Revelation, The Anchor Bible, New York: Doubleday .
Gentry, Kenneth L. Jr. (1998). Before Jerusalem Fell: Dating the Book of Revelation, Powder Springs, GA: American Vision, .
Gentry, Kenneth L. Jr. (2002). The Beast of Revelation, Powder Springs, GA: American Vision, .
Hahn, Scott (1999). The Lamb's Supper: Mass as Heaven on Earth, Darton, Longman, Todd,
Hernández, Juan (2006). Scribal habits and theological influences in the Apocalypse, Tübingen
Hudson, Gary W. (2006). Revelation: Awakening The Christ Within, Vesica Press,
Jennings, Charles A. (2001). The Book of Revelation From An Israelite and Historicist Interpretation, Truth in History Publications. .
Kiddle M. (1941). The Revelation of St. John (The Moffat New Testament Commentary), New York – London
Kirsch, Thomas (2006). A History of the End of the World: How the Most Controversial Book in the Bible Changed the Course of Western Civilization. New York: HarperOne
Lohmeyer, Ernst (1953). Die Offenbarung des Johannes, Tübingen
Muggleton, Lodowicke (2010). Works on the Book of Revelation London
Müller, U.B. (1995). Die Offenbarung des Johannes, Güttersloh
Pagels, Elaine (2012). Revelations: Visions, Prophecy, and Politics in the Book of Revelation, Viking Adult,
Prigent P., L'Apocalypse, Paris 1981.
Roloff J. (1987). Die Offenbarung des Johannes
Shepherd, Massey H. (2004). The Paschal Liturgy and the Apocalypse, James Clarke,
Sweet, J. P. M. (1979, Updated 1990). Revelation, London: SCM Press, and Philadelphia: Trinity Press International. .
Vitali, Francesco (2008). Piccolo Dizionario dell'Apocalisse, TAU Editrice, Todi
Wikenhauser, A. Offenbarung des Johannes, Regensburg 1947, 1959.
Witherington, Ben III (2003). Revelation, The New Cambridge Bible Commentary, New York: Cambridge University Press, .
Zahn Th., Die Offenbarung des Johannes, t. 1–2, Leipzig 1924–1926.
External links
Early Christian Writings: Apocalypse of John: text, introduction, context
"Revelation to John." Encyclopædia Britannica Online.
Apocalypse, Book of – Article from the Catholic Encyclopedia
Understanding the Book of Revelation – Article by L. Michael White from PBS Frontline program "Apocalypse!"
The Marvelous Address: The Revelation of the Beloved (Disciple) is an 18th-century manuscript about the book of Revelation written in Garshuni (Arabic written in Syriac script).
Jewish Encyclopedia
Various versions
1st-century Christian texts
Christian apocalyptic writings
Johannine literature
Luther's Antilegomena
New Testament books | 5 |
The Book of Kings (, Sēfer Məlāḵīm) is a book in the Hebrew Bible, found as two books (1–2 Kings) in the Old Testament of the Christian Bible. It concludes the Deuteronomistic history, a history of Israel also including the books of Joshua, Judges and Samuel.
Biblical commentators believe the Books of Kings were written to provide a theological explanation for the destruction of the Kingdom of Judah by Babylon in c. 586 BCE and to provide a foundation for a return from Babylonian exile. The two books of Kings present a history of ancient Israel and Judah, from the death of King David to the release of Jehoiachin from imprisonment in Babylon—a period of some 400 years (). Scholars tend to treat the books as consisting of a first edition from the late 7th century BCE and of a second and final edition from the mid-6th century BCE.
Contents
The Jerusalem Bible divides the two Books of Kings into eight sections:
1 Kings 1:1–2:46. The Davidic Succession
1 Kings 3:1–11:43. Solomon in all his glory
1 Kings 12:1–13:34. The political and religious schism
1 Kings 14:1–16:34. The two kingdoms until Elijah
1 Kings 17:1 – 2 Kings 1:18. The Elijah cycle
2 Kings 2:1–13:25. The Elisha cycle
2 Kings 14:1–17:41. The two kingdoms to the fall of Samaria
2 Kings 18:1–25:30. The last years of the kingdom of Judah
1 Kings
The Davidic Succession (1:1–2:46)
David is by now old, and so his attendants look for a virgin to look after him. They find Abishag, who looks after him but they do not have sexual relations. Adonijah, David's fourth son, born after Absalom, decides to claim the throne. With the support of Joab, David's general, and Abiathar, the priest, he begins a coronation procession. He begins the festivities by offering sacrifices at En Rogel in the presence of his brothers and the royal officials, but does not invite Nathan the prophet; Benanaiah, captain of the king's bodyguard (or indeed the bodyguard itself); or even his own brother Solomon.
Nathan comes to Bathsheba, Solomon's mother, and informs her what is going on. She goes to David and reminds him that he said Solomon would be his successor. As she is speaking to him, Nathan enters and explains the full situation to David. David reaffirms his promise that Solomon will be king after him and arranges for him to be anointed at the Gihon Spring. The anointing is performed by Zadok the priest. Following this, the population of Jerusalem proclaims Solomon king. This is heard by Adonijah and his fellow feasters, but they do not know what is happening until Abiathar's son Jonathan arrives and informs them. With Solomon officially enthroned, Adonijah fears for his life and claims sanctuary; Solomon decides to spare him unless he does something evil.
David advises his son on how to be a good king and to punish David's enemies, and then dies. Adonijah comes to Bathsheba and asks to marry Abishag. Solomon suspects this request is to strengthen Adonijah's claim to the throne and has Benaiah put him to death. He then takes away Abiathar's priesthood as punishment for supporting Adonijah, thus fulfilling the prophecy made to Eli at the start of 1 Samuel. Joab hears what is going on and himself claims sanctuary, but when he refuses to come out of the tabernacle, Solomon instructs Benaiah to kill him there. He then replaces Joab with Benaiah and Abiathar with Zadok. Solomon then instructs Shimei, the Benjaminite who cursed David as he was fleeing from Absalom, to move to Jerusalem and not to leave. One day, two of Shimei's slaves run away to Gath and Shimei pursues them. When he returns to Jerusalem, Solomon has him put to death for leaving Jerusalem.
Solomon in all his glory (3:1–11:43)
Solomon the Sage (3:1–4:34)
Solomon makes an alliance with Egypt and marries the Pharaoh's daughter. After this, he continues the ancient practice of travelling between the high places and offering sacrifices. When he is at Gibeon, God speaks to him in a dream and offers him anything he asks for. Solomon, being young, asks for "an understanding heart to judge" (שָׁפַט). God is pleased and grants him not only "a wise...heart" (חכם), but also wealth, honor, and longevity, on the condition that Solomon is righteous like his father David. Solomon returns to Jerusalem and holds a feast for his servants in front of the Ark of the Covenant.
After the Judgment of Solomon amazes the Israelites, he appoints a cabinet and reorganizes the governance of Israel at a local level. The nation of Israel prospers and Solomon's provisions increase.
Solomon the Builder (5:1–9:25)
Over a period of seven years, Solomon works to fulfill David's vow of building a temple to God with wood provided by the king of Tyre, Hiram I, an old friend of David's. He also builds himself a palace, which takes him thirteen years. Once the Temple is finished, Solomon hires a Tyrian half-Naphtalite named Huram to create the furnishings.
When finished, the things which David prepared for the Temple are brought in, and Solomon organizes a ceremony during which the priests carry the Ark of the Covenant into the Temple. A cloud fills the Temple, preventing the priests from continuing the ceremony. Solomon explains that this is the presence of God, and takes the opportunity to make a dedication speech. The dedication is completed with sacrifices, and a celebration is held for fourteen days. God speaks to Solomon and accepts his prayer, re-affirming his vow to David that his House will be kings forever unless they begin worshipping idols.
Solomon gives twenty towns in Galilee to Hiram as thanks for his help, but they are virtually worthless. He begins building and improvement works in various cities in addition to his major projects in Jerusalem and puts the remaining Canaanites into slavery.
Solomon the Trader (9:26–10:29)
Solomon builds a navy.
The Queen of Sheba hears of Solomon's wisdom and travels to Jerusalem to meet him. Upon arriving, she praises him, saying she did not fully believe the stories about Solomon until she came to see him. The Queen gives Solomon 120 talents and a large amount of spices and precious stones, prompting Hiram to send a large amount of valuable wood and precious stones in response. Solomon also gives the Queen gifts and she returns to her country. Solomon by now has 666 talents of gold, and decides to forge shields and cups. He also maintains trading relations with Hiram, from whose country he receives many exotic goods. Overall, Israel becomes a net exporter of golden goods.
His Decline (11:1–43)
Solomon amasses 700 wives and 300 concubines, many from foreign countries, including from countries God told the Israelites not to intermarry with. Solomon begins to adopt elements from their religions, and builds shrines in Jerusalem to foreign deities. God informs Solomon that because he has broken his commandments, the entire kingdom except one tribe will be taken away from his son.
At the same time, Solomon begins to amass enemies. A young prince named Hadad who managed to escape Joab’s attempted genocide of the Edomites, hears Joab and David are dead, and returns to Edom to lead his people. Meanwhile, to the north, the Syrian king Rezon, whose Zobahite army was defeated by David, allies himself with Hadad and causes havoc for Israel from his base in Damascus.
On the home front, Jeroboam, who supervised the building of Solomon’s palace terraces and the reconstruction of the city walls, encounters the prophet Ahijah the Shilonite on the road out of Jerusalem. Ahijah tears his cloak into twelve parts and gives ten of them to Jeroboam, saying that Jeroboam will rule over ten tribes of Israel upon Solomon's death as punishment for Solomon's idol worship. In response, Solomon tries to kill Jeroboam, but he flees to Egypt. Solomon dies after having reigned for forty years and is succeeded by his son Rehoboam.
The Political and Religious Schism (12:1–13:34)
Rehoboam travels to Shechem to be proclaimed king. Upon hearing this, Jeroboam returns from Egypt and joins Rehoboam’s older advisors in asking for the people to be treated better than under Solomon. Instead, Rehoboam turns to his friends for advice, and proclaims that he will treat the people worse. This greatly displeases the Israelites. When he sends a new minister of forced labour named Adoniram, they stone him to death. Rehoboam returns to safety in Jerusalem. The Israelites proclaim Jeroboam king. Judah remains loyal to Rehoboam, and he also controls Benjamin. From these two tribes, Rehoboam amasses an army to attack the north, but the prophet Shemaiah prevents the war.
Back in Shechem, Jeroboam becomes worried about the possible return of his tribes to loyalty to the House of David, and decides the best way to prevent this is to stop them worshipping the God of Israel, since he considers the point at which they are most likely to defect to be when they travel to Jerusalem to offer sacrifices. To this end, he sets up golden calves at altars at Bethel and Dan and appoints his own priests and festivals. One day, a prophet comes by and announces that some day a Davidic king named Josiah will be born and violently abolish Jeroboam's religion. Seeking to seize him, Jeroboam stretches out his hand, but it becomes withered and, as a sign, the altar splits open and its ashes pour out. Despite all this, Jeroboam does not change his ways.
The two kingdoms until Elijah (14:1–16:34)
Jeroboam's son Abijah becomes ill, so Jeroboam tells his wife to go in disguise to Ahijah, who has become blind with age. God tells Ahijah of the arrival of Jeroboam's wife. Ahijah prophesies the end of the House of Jeroboam, beginning with the death of Abijah, who will be the only member of the royal house to be buried. He also prophesies that a usurper king will arise who will accomplish this. Jeroboam also dies, and is succeeded by his son Nadab.
Meanwhile, in the Kingdom of Judah, the people set up high places, sacred stones and Asherah poles to foreign gods, and even allow male temple prostitution. The pharaoh Shishak sacks Jerusalem and takes all the royal and Temple treasures, including Solomon's gold shields, prompting Rehoboam to make bronze ones to replace them. Rehoboam dies and is succeeded by his son Abijah, a grandson of Absalom. Abijah is as bad as his father, but God continues to protect him and his family because of the promise He made to David. When Abijah dies, he is succeeded by his son Asa.
Asa, in contrast to his father and grandfather, is a good king, on par with David. He abolishes male temple prostitution and destroys idols, and even deposed his grandmother as Queen mother due to idolatry. He moves a collection of gold and silver objects back into the Temple. However, when he goes to war against Baasha of Israel, he gives the royal and Temple gold and silver to Ben-Hadad, king of Aram, to get him to break a treaty with Israel and attack with him. Ben-Hadad is surprisingly successful, and Baasha must withdraw from Ramah, leading Asa to issue a decree that Ramah's fortifications be taken down and used to build Geba and Mizpah. Asa dies an old man and is succeeded by his son Jehoshaphat.
Back in Israel, Nadab is on the throne. Like his father, he is evil. Baasha, son of an Issacharite named Ahijah, plots to kill him and succeeds in a sneak attack, taking him by surprise during the Siege of Gibbethon, a Philistine city. He then proceeds to kill Jeroboam's whole family, thus fulfilling the prophecy of Ahijah the prophet. However, Baasha commits the same sins as Jeroboam. God therefore informs the prophet Jehu that he will also end the House of Baasha. Baasha dies and is succeeded by his son Elah, who soon falls victim to a plot led by his charioteer Zimri. Zimri becomes king after Elah's killing, and fulfills the prophecy of Jehu; however, Zimri's army now proclaims its commander Omri as king and returns to Tirzah to lay siege to it. Seeing he is losing, Zimri sets fire to the palace.
The start of Omri's reign faces factionalism, with half his subjects supporting Tibni, son of Gibnath as king. He buys the hill of Shemer, upon which he builds the city of Samaria. However, he is the worst king yet. When he dies, he is succeeded by his son Ahab, who himself overtakes Omri in his evilness. Upon his marriage to Jezebel, daughter of Ethbaal, king of Sidon, he introduces the worship of Baal, building him a temple and setting up an Asherah pole. Meanwhile, a nobleman named Hiel of Bethel activates the curse proclaimed by Joshua by rebuilding Jericho, resulting in the death of his oldest and youngest sons.
The Elijah Cycle (17:1–22:54)
The Great Drought (17:1–18:46)
A new prophet arises in Israel, named Elijah, who informs Ahab of a years-long drought about to begin. God then tells Elijah to hide in the Kerith Ravine, where he drinks from the stream and is fed by ravens. When the brook dries up, God tells Elijah to travel to Zarephath, where a widow will feed him. She is more than happy to give him water, but when he asks for bread, she informs him that she is just about to make a small loaf - only enough that she and her son may eat it as their last meal. Elijah instructs her to make him some anyway, telling her that she will not run out of food until the famine is over. Soon, the widow's son becomes ill and dies. At the widow's insistence, Elijah raises him from the dead.
Three years later, God tells Elijah to return to Ahab because the drought is coming to an end. On the way, Elijah meets his administrator Obadiah, who was hiding prophets during Jezebel's persecutions, and asks him to tell Ahab of his arrival. Seeking to end the worship of Baal for good, Elijah tells Ahab to invite four hundred priests of Baal and four hundred of Asherah to the top of Mount Carmel. There, he upbraids the people for their duplicity, telling them to choose either worship of the God of Israel or of Baal. He then proposes a challenge: he and the priests will each prepare a sacrifice, and then call upon their respective gods to send fire to burn it. When the priests attempt to call down fire, none comes. On the other hand, despite having the Israelites pour much water over his altar, when Elijah prays for fire God sends it, accepting the sacrifice. Elijah orders the priests of Baal be killed, and informs Ahab of the coming rain. Climbing to the top of the mountain, Elijah sends his servant to look out to sea. After returning seven times, the servant eventually sees a small cloud rising far out at sea. Elijah tells the servant to inform Ahab to return to Jezreel in his chariot, while Elijah manages to run ahead of him.
Elijah at Horeb (19:1–21)
When she hears what has happened, Jezebel threatens to kill Elijah, causing him to run for his life. In the wilderness near Beersheba, Elijah, fed up, asks God to kill him. Instead, an angel supplies him with food, which gives him the strength to continue a further forty days until he reaches Mount Horeb, where he falls asleep in a cave. When Elijah wakes up, God tells him He is about to pass by. An earthquake occurs and a fire starts, but neither contain God. Instead, God appears in the form of a whisper. After hearing Elijah's concerns about being killed, he instructs him to go to Damascus, where he is to anoint Hazael as king of Aram, Jehu as king of Israel and Elisha as Elijah's own successor. Elijah finds Elisha plowing with oxen. Elisha says goodbye to his parents, kills his oxen and cooks them by burning his plowing equipment. He distributes the meat to his neighbours and sets off to follow Elijah.
The Aramean Wars (20:1–43)
Ben-Hadad II, the new king of Aram, raises an army and sends messengers demanding all Ahab's gold and silver, and the best of his wives and children. While agreeing to this demand, after consulting his advisors he decides not to accept a follow-up demand requesting anything else of value in his palace or his officials' houses. In response to this situation, Ben-Hadad attacks Samaria. At this point, Ahab receives a prophecy that his junior officers will defeat Ben-Hadad if Ahab starts the battle. Ben-Hadad tells his men to take the advancing troops alive, but each junior officer kills his Aramean equivalent. The Arameans, including Ben-Hadad, begin a retreat, but Ahab's army inflicts heavy losses. The prophet who brought the first prophecy tells Ahab to improve his defences, since the Arameans will attack again. Ben-Hadad's advisors reason that the reason they lost was because God lives in the hills, leading them to attack Aphek, a city on the plains, the following spring. In response to this, God agrees to give the Israelites another victory to demonstrate his omnipresence. After a disastrous first day, Ben-Hadad sends messengers to Ahab, begging him to spare him. Ahab sends for Ben-Hadad, who offers to return the land his father took from Israel. The two kings sign a treaty and Ben-Hadad leaves.
After failing to get another prophet to strike him with his weapon, resulting in that prophet's death by lion, a prophet manages to get someone else to do it and appears before Ahab, telling him a parable about how his failing to guard a man in battle means he now must pay a talent. When he removes his headband, and Ahab sees he is a prophet, he tells Ahab that he will die because he spared Ben-Hadad, who God had told him to kill.
Naboth's Vineyard (21:1–28)
Some time later, Ahab attempts to buy a vineyard belonging to Naboth the Jezreelite. When Naboth will not sell it to him on account of it being his inheritance, Ahab sulks and refuses to eat. Jezebel proclaims a day of fasting, upon which two false witnesses accuse Naboth of cursing God and the king. He is stoned to death, allowing Ahab to take possession of the vineyard. In response, God tells Elijah to confront Ahab and inform him that he will die in the vineyard and that his descendants and Jezebel will be wiped out. This has marked the peak of Ahab's evilness, and indeed the evilness of any king of Israel. Ahab repents, so God allows the disaster Elijah prophesied to come during the reign of his son instead.
Another War with Aram (22:1–38)
Three years pass with peace between Aram and Israel. However, Aram still possesses Ramoth-Gilead and, when Jehoshaphat agrees for the Judahite army to accompany him on a campaign during a state visit, Ahab decides to take it back. Four hundred prophets agree this is a good idea, but Jehoshaphat asks to speak with a prophet of God. Ahab reluctantly calls Micaiah, whom he dislikes for never prophesying in his favour. When he arrives, a prophet named Zedekiah is claiming that Ahab will have victory over the Arameans using a strange hat with horns. Michaiah, on the other hand, tells him that if he attacks Ramoth-Gilead he will die and Israel will be leaderless, but that this is part of God's plan. Zedekiah slaps him, leading Michaiah to prophesy impending destruction, and Ahab tells his jailer to put him in prison with no food or water until he returns safely.
Ahab and Jehoshaphat begin their campaign, agreeing that Ahab will be disguised while Jehoshaphat will wear his royal robes. The Arameans, being under instructions to kill no one except Ahab, begin pursuing Jehoshaphat, but cease their pursuit when they see he is not Ahab. However, Ahab is hit between the plates of his armour by a random Aramean arrow. He withdraws from the battle and dies that evening. He is buried, his chariot is washed in a pool where prostitutes bathe and his blood is licked by dogs.
After the Death of Ahab (22:39–54)
Ahab's son Ahaziah succeeds him.
Jehoshaphat has been a good king his entire reign, following the example of his father Asa. However, he has not destroyed the high places, but he has kept peace with Israel. He has also gotten rid of the remaining male temple prostitutes and there is now a provincial governor rather than a king in Edom. He has built a merchant navy, but it was wrecked at Ezion-Geber. Ahaziah suggests they join forces in this regard, but Jehoshaphat refuses. He dies and is succeeded by his son Jehoram.
Ahaziah does evil and allows the idol worship which flourished under his father to continue.
2 Kings
The Elijah Cycle (continued) (1:1–18)
After the Death of Ahab (continued) (1:1–18)
Ahaziah falls through a lattice on an upper floor and injures himself. He sends a party to Ekron to consult its god, Baal-Zebub, about whether he will recover. The messengers are met by Elijah, who tells them to inform Ahaziah that he will die where he is for seeking advice from a non-Israelite god. Ahaziah sends two captains and fifty men each to summon Elijah, but both parties are consumed by fire at Elijah's command. When Ahaziah sends a third group, God tells Elijah to go with them and deliver his prophecy directly. Ahaziah dies and, having no sons, his brother Joram succeeds him.
The Elisha Cycle (2:1–13:25)
Its Opening (2:1–25)
Elijah and Elisha are walking from Gilgal. Elijah asks that Elisha stay where they are, but Elisha insists on coming with him to Bethel. Elijah informs him that he is going to be taken by God; Elisha seems to have some kind of knowledge of this. Once again, Elijah asks Elisha to stay where they are, but Elisha insists on coming with him to Jericho. Eventually, they reach the Jordan, where fifty prophets are. Elijah strikes the water with his cloak, the water divides, and the pair cross over. Elijah asks what Elisha wants when he is gone, and Elisha asks for a double portion of his spirit, which Elijah says will be given to him if he watches him go. Suddenly, a fiery horse-drawn chariot takes Elijah and he ascends to heaven in a whirlwind. After mourning, Elisha picks up Elijah's cloak and himself uses it to part the Jordan. This leads the other prophets to recognise him as Elijah's successor, and offer to look for Elijah, an offer which Elisha refuses. However, they persist but, naturally, are unable to find him. As Elisha's first task, he throws salt into a spring in Jericho, resolving the locals' water problem by purifying the water. When Elisha leaves for Bethel, some boys start jeering him on account of his baldness. Bears come and maul them.
The Moabite War (3:1–27)
Joram is evil, but gets rid of the sacred stone to Baal. After the death of Ahab, the king of Moab refused to continue paying tribute to Israel, so Joram teams up with Jehoshaphat and the king of Edom to put down the rebellion. They attack through the Desert of Edom, but soon run out of water. They ask Elisha for advice. He first makes it very clear that he is only doing this for Jehoshaphat's sake, and then calls for a harpist. Elisha prophesies a coming flood in the valley, in addition to a complete defeat of Moab. The water comes, but looks like blood to the Moabites, which they conclude can only have come from the three kings having killed each other. However, when they cross Israel wins a great victory and completely plunders the land. When the king of Moab sacrifices his firstborn son on the city walls, the Israelites are overwhelmed by great wrath and withdraw.
Some Miracles of Elisha (4:1–6:7)
Elisha meets a widow whose creditors are threatening to take her two sons into slavery as payment. When he finds out the only other thing she has is a small jar of olive oil, he tells her to go and ask all her neighbours for jars. He tells her to pour oil into the jars, and it holds out until every jar is filled. Elisha finally tells her to sell the oil, pay the creditors and live off the rest. He then moves on to Shunem, where a woman invites him to eat and soon decides to build a room for use whenever he passes through. His servant Gehazi informs him that she has no son, so Elisha tells her that she will have a child within a year, as payment for her kindness. One day, the child is helping his father's reapers when he complains of a pain in his head. He is returned to his mother and dies. His mother therefore seeks out Elisha, whom she meets at Mount Carmel. He tells Gehazi to quickly make his way to the house and lay his staff on the boy's face. When Elisha gets there with the woman, Gehazi informs him that this has not worked. Elisha prays, paces, and lays himself on the boy, who then awakens. Elisha continues on to Gilgal, where a famine is raging. Seeking to help the local prophets, he tells his servant to cook a stew. One of the prophets inadvertently adds some poisonous berries to the pot, but Elisha adds some flour, negating the poison. A man comes from Baal-Shalish with twenty loaves of bread. Elisha uses them to miraculously feed the hundred people present.
An Aramean general named Naaman has leprosy. He hears of Elisha from a Israelite slave-girl and receives permission from the king to travel in an attempt to have his leprosy cured. He travels first to the king of Israel, but is eventually called by Elisha, who sends a messenger to tell him to wash seven times in the Jordan. He does what Elisha told him to and his leprosy is cured. Naaman offers Elisha a gift of thanks, but Elisha refuses. Naaman contents himself with taking earth back to Damascus in order to build an altar to God and asking God's forgiveness for when he has to participate in Aramean religious rituals when accompanying the king. However, as Naaman is leaving Gehazi catches up with him and lies about prophets arriving so that at least he can get a gift. As punishment for this, Elisha curses him to become leprous.
Several other prophets begin complaining that their meeting place with Elisha is too small, so he agrees to allow them to build a new one on the banks of the Jordan. During the building, someone's borrowed axehead falls in the river but miraculously floats.
The Aramean Wars (6:8–8:29)
By this point, Aram is back at war with Israel. Elisha warns the king of Israel where the Arameans are camped several times, frustrating the king of Aram, who seeks him out. One morning, Elisha wakes up to find Dothan, the city where he is staying, surrounded by Arameans. His servant is frightened, until Elisha shows him the angels protecting them. He then prays that the Aramean army go blind, and they do. He then leads them to Samaria, where their eyes are opened. The king of Israel asks Elisha whether he should kill them, but Elisha instead tells him to treat them with hospitality. This ends the war, but soon Ben-Hadad is back at war and laying siege to Samaria. The resulting famine gets so severe that soon people resort to cannibalism. The king feels the best way to deal with the situation is to execute Elisha, blaming God for the famine. Elisha prophesies that huge amounts of the finest flour and barley will soon come to Samaria, but that the king's official will not taste any of it.
Four lepers sit at the gate of Samaria and decide to surrender to the Arameans in the hope of not dying in the famine. However, God made the Arameans hear horses and chariots the night before and, thinking the Hittites and Egyptians were helping the Israelites, they fled. The lepers find the abandoned camp and tell the king. The Samaritans then go and plunder the camp, driving down the price of food in the city. In the chaos, the king's official who was with him when he went to see Elisha is trampled to death.
Elisha has warned the Shunammite woman about the famine, so she and her husband have gone to live in Philisitia. Upon return, she goes to the king to appeal for her land back. When she arrives, Gehazi is telling the king about how Elisha raised her son from the dead. This works in her favour, and her house and land are restored to her, as well as all her income. Next, Elisha goes to Damascus, where Ben-Hadad is ill. When he hears of Elisha's arrival, Ben-Hadad sends Hazael to him with a gift to ask whether he will get better. Elisha tells Hazael to tell the king that he will, even though he will in fact die, and Hazael will become king and cause much damage to Israel. The next day, Hazael smothers the king and succeeds him.
Back in Judah, Jehoram is king. Unlike his father and grandfather, he is evil and follows the ways of Israel, even marrying a daughter of Ahab. However, he is not destroyed, again because of God's covenant with David. His reign is plagued with instability, including revolts in Edom, who restores its monarchy, and Libnah. Jehoram dies and is succeeded by his son Ahaziah, who, like his father, follows in Ahab's footsteps. Ahaziah and Joram go to war together against Hazael. Joram is wounded, and after the battle Ahaziah goes to Jezreel to see him.
The History of Jehu (9:1–10:36)
Elisha tells a prophet to go to Ramoth-Gilead and anoint a commander of the royal guard named Jehu as king. Jehu leads his troops to Jezreel to challenge Joram. Joram sends two messengers, but both join Jehu. Jehu accuses Joram of continuing the idolatry of Jezebel. Joram flees, warning Ahaziah, but is struck in his heart between his shoulders and dies. Jehu tells his charioteer Bidkar to place him in Naboth's field. Jehu wants to kill Ahaziah too, but merely succeeds in wounding him, although he dies from his injuries at Megiddo. His body is taken back to Jerusalem for burial. As Jehu enters Jezreel, Jezebel looks out of a window and compares him to Zimri. Two eunuchs push her out of a window at Jehu's behest and she dies. When two servants later go to prepare her body for burial as a king's daughter, they find nothing but some bones. She has been eaten by dogs, in accordance with Elijah's prophecy.
Jehu writes to Samaria, challenging the palace officials to pick Ahab's strongest son, put him on the throne and have him challenge Jehu. They refuse, and so Jehu instead asks for the heads of Ahab's seventy sons. After he has had them put inside the city gate of Jezreel, Jehu massacres the remaining members of the House of Ahab in order to fulfil Elijah's prophecy. Jehu then sets off for Samaria. On the way, he meets some of Ahaziah's relatives and has them killed too. Further along, he meets Jehonadab, who becomes his ally. Upon finally reaching Samaria, he kills the rest of Ahab's family. Under the guise of preparing a sacrifice for Baal, he next summons all the priests of Baal. After the sacrifice is over, he has guards enter the temple and kill them. He destroys the sacred stone and tears down the temple, replacing it with a toilet, thus ending the worship of Baal. However, he does not destroy the golden calves at Bethel and Dan, which was Jeroboam's original sin. Nonetheless, God is pleased with his destruction of the Baal religion, and promises that his House will reign in Israel for four generations. However, Jehu is not meticulous in his worship of God, so God allows Hazael to conquer large portions of Israel. Jehu dies and is succeeded by his son Jehoahaz.
From the Reign of Athaliah to the Death of Elisha (11:1–13:25)
Athaliah, the mother of Ahaziah, seizes the throne after the death of her son and begins killing off members of the royal family. However, Ahaziah's sister, Jehosheba, manages to hide her nephew Joash. Seven years later, Jehosheba's husband, the priest Jehoiada, introduces Joash to the army, and informs all five units that they will now be required to guard the Temple on the Sabbath in order to protect Joash. He also gives them all the spears and shields from David's day that are kept in the Temple. Joash is crowned and anointed, and proclaimed king by the army. Athaliah claims treason, but Jehoiada has her taken back to the palace and killed. Next, the altars of Baal are destroyed, thus ending the religion in Judah as well. Finally, Joash is taken back to the palace and enthroned.
Joash is a good king, but does not remove the high places. When he grows up, his first act is to reform priestly pay, and use whatever is left to repair the Temple. Twenty-three years later, when the Temple is still not repaired, Joash once again reforms priestly pay so that all money from the Temple treasury goes towards repairs. Instead, the priests will earn money from offerings. This succeeds, and the Temple is repaired. Hazael is back at war with Israel, and it looks like he will cross the border and attack Jerusalem, so Joash sends him gifts and he leaves. Joash is assassinated and is succeeded by his son Amaziah.
Jehoahaz is evil, so God allows Hazael to continue oppressing Israel. He repents, so God allows the war to end. However, Jehoahaz does not get rid of Jeroboam's religion, or remove the Asherah pole in Samaria. In addition, the war has almost completely eradicated the Israelite army. Jehoahaz dies and is succeeded by his son Jehoash, who continues the evil of the previous kings of Israel. He goes to war with Amaziah. The key event of Joash's reign, however, is the death of Elisha. When Joash goes to see him, he tells him to shoot an arrow out of the east window, and prophesies that, based on this, the Arameans will be defeated at Aphek. He then tells him to throw arrows at the floor. Joash throws three, which Elisha is angry about, since it means there will only be three victories there. He then dies and is buried. During a Moabite raid, some Israelite men burying a dead body panic and throw the body in Elisha's tomb. As soon as it touches Elisha's bones, the dead body returns to life. Hazael's wars have plagued Israel since the reign of Jehoahaz, but God does not destroy Israel because of the Abrahamic and Israelite covenants. Hazael dies and is succeeded by his son Ben-Hadad III. As prophesied, Jehoash defeats him three times, taking back the towns Hazael conquered.
The Two Kingdoms to the Fall of Samaria (14:1–17:41)
Amaziah is a good king, but the high places have still not been abolished. Upon assumption of the throne, he executes his father's assassins, but spares their children in accordance with the Mosaic law. Amaziah defeats the Edomites and challenges Israel, but Jehoash advises him to stay at home. The pair meet at Beth Shemesh and Israel thoroughly defeats Judah, scattering Amaziah's troops and allowing Jehoash to sack Jerusalem. Jehoash dies and is succeeded by his son Jeroboam II. Amaziah faces a conspiracy and is killed in Lachish. He is buried in Jerusalem and succeeded by his son Azariah, who recovers and rebuilds Elath.
Jeroboam II is evil. He restores Israelite territory from Lebo-Hamath to the Dead Sea, in accordance with a prophecy by Jonah. This is because God has promised not to destroy Israel and has seen how much the Israelites are suffering. He dies and is succeeded by his son Zechariah.
Azariah is a good king, although the high places still exist. He is, however, a leper, and so is relieved of his responsibilities while his son Jotham acts as regent. Azariah dies and Jotham succeeds him.
Zechariah is evil, and falls victim of a conspiracy by Shallum, who assassinates and succeeds him, thus fulfilling God's promise to Jehu that his family would rule for four generations. Shallum is himself assassinated and succeeded by Menahem, who attacks Tiphsah, sacks it and rips open its pregnant women. During Menahem's reign, Pul of Assyria (also called Tiglath-Pileser) attacks Israel. Menahem raises taxes to pay Pul both to leave and to support him on the throne. Menahem dies and is succeeded by his son Pekahiah, who is assassinated by his official Pekah and fifty mercenaries from Gilead. During Pekah's reign, Pul comes back and captures many towns in northern Israel, including all of the land belonging to the Tribe of Naphtali, and deports their populations to Assyria. Pekah is assassinated by Hoshea, who succeeds him as king.
Jotham is a good king, but, again, the high places are still being used. He rebuilds the Upper Gate of the Temple. Aram and Israel attack Judah during his reign. He dies and is succeeded by his son Ahaz. Ahaz is a bad king, even going so far as to sacrifice his son. Rezin, king of Aram, retakes Elath and gives it to Edom during the ongoing attacks. In an attempt to resolve the situation, Ahaz writes to Pul for help, which he gives by capturing Damascus, deporting its citizens and killing Rezin. Ahaz travels to Damascus to meet Pul, and while there sends a sketch of a new altar back to Jerusalem, which is built before he returns. He places it in the Temple upon his arrival. To symbolise his deference to the king of Assyria, he then removes much of the decoration in the Temple. He dies and is succeeded by his son Hezekiah.
Hoshea is evil, but not as bad as the preceding kings of Israel. During Hoshea's reign, Shalmaneser of Assyria attacks Israel in response to Israel's maintaining diplomatic relations with Egypt and refusing to pay tribute to Assyria. Shalmaneser conquers Samaria and deports its citizens to Media. All this happens because Israel has broken the commandments, principally by worshipping other gods and ignoring the prophets. This leaves only Judah, and even they are guilty of following the religious practices introduced by Israel. The king of Assyria then sends his subjects to resettle Samaria, led by an Israelite priest, whose job is to teach them the rites God requires. While they take this on board, they nonetheless continue worshipping their own national gods.
The Last Years of the Kingdom of Judah (18:1–25:30)
Hezekiah, the Prophet Isaiah; Assyria (18:1–20:21)
Hezekiah, the 13th king of Judah, does "what [is] right in the Lord's sight just as his ancestor David had done". He institutes a far-reaching religious reform: centralising sacrifice at the temple in Jerusalem, and destroying the images of other gods, including the Nehushtan, the bronze snake Moses erected in the wilderness, which the Israelites have turned into an idol. He breaks his alliance with the Assyrians and defeats the Philistines. Following the capture of Samaria, the Assyrians attack Judah, but withdraw in return for money. The Assyrians soon attack again, and send a threatening and blasphemous message to Hezekiah, supposing that he has sought an alliance with Egypt. The Assyrian commander then attempts to turn the Judahites against Hezekiah, claiming that he is powerless to protect him, but Hezekiah pre-empts and stops this from happening. When Hezekiah hears the message, he sends a delegation to the prophet Isaiah, who tells them that God will save Jerusalem and the kingdom from Assyria. When Sennacherib, king of Assyria, hears of the advance of Tirhakah, king of Cush, he retreats, but warns of a coming invasion. Hezekiah prays, and Isaiah sends another prophecy of Assyria's destruction. God sends an angel to kill the Assyrians, and the remaining Assyrians retreat in horror. Sennacherib is killed by his sons and is succeeded by a third son.
Hezekiah becomes ill, and Isaiah tells him he will die. Hezekiah prays, and God agrees to give him fifteen more years if he goes to the temple in three days. Isaiah prescribes a poultice of figs, and Hezekiah recovers. When Hezekiah goes to the Temple and stands on the steps of Ahaz, his shadow moves back ten steps, thus proving God's words to be true. The king of Babylon sends an embassy to Hezekiah, who shows them everything in the palace. Isaiah prophesies that one day the Babylonians will carry away everything in the palace. However, there is peace for the rest of Hezekiah's reign. Hezekiah builds an aqueduct consisting of a pool and a tunnel before he dies. He is succeeded by his son Manasseh.
Two Wicked Kings (21:1–26)
Manasseh reverses his father's reforms, murders the innocent, and sets up altars in the Temple. This breaches the Davidic-Solomonic covenant, and so God announces that he will destroy Jerusalem because of this apostasy by the king. He is succeeded by his son Amon. Amon follows in his father's footsteps, and is eventually assassinated by his officials. The assassins are executed, and Amon is succeeded by his son Josiah.
Josiah and the Religious Reform (22:1–23:30)
Josiah begins his reign with a rebuilding of the Temple. During this effort, Hilkiah, the high priest, finds a copy of the Book of Deuteronomy and has Shaphan, the royal secretary, read it to the king. When Josiah hears the laws which have been broken, he becomes sorrowful and sends a delegation to the prophetess Huldah to ask what to do. Huldah tells the delegation that God will destroy Jerusalem, but not until after Josiah has died.
Josiah plans a ceremony to renew the Mosaic covenant. First, he reads to the people from the scroll and has them all renew the covenant. Then, he has Hilkiah remove all the objects dedicated to other gods from the Temple, burn them in the Kidron Valley and take the ashes to Bethel. Finally, he fires the priests of the other gods, desecrates the high places and gets rid of the male shrine prostitutes and weavers of Asherah in the temple. While he is at Bethel, in the midst of destroying the tombs there, he finds the tomb of the prophet who prophesied his coming and spares it. He then instructs his people to celebrate Passover, since its celebration had fallen out of use for many years. He gets rid of the mediums and spiritists. He is the best king in the history of Israel and Judah. Josiah goes to battle against Necho II of Egypt and the king of Assyria, but is defeated and killed by Necho at Megiddo.
The Destruction of Jerusalem (23:31–25:30)
Necho takes Josiah's successor, Jehoahaz, captive and imposes huge demands on Judah. He places another of Josiah's sons, Jehoiakim, on the throne, who pays the demands by increasing taxes. Both of Josiah's successors are evil.
Nebuchadnezzar II of Babylon invades, and Jehoiakim becomes his vassal for three years until he rebels. In response to this, in order to fulfil what God had said with regards to Manasseh, a large number of raiders from neighbouring kingdoms and empires attack Judah. This time, there is no support from Egypt because it has already been invaded by the Babylonians. Jehoiakim dies and is succeeded by his son Jehoiachin, who is also evil. Nebuchadnezzar lays siege to Jerusalem, and the Judahites surrender. Nebuchadnezzar takes Jehoiachin and his family hostage, and takes away everything from the Temple and the palace, thus fulfilling Isaiah's prophecy to Hezekiah. He then takes away everyone into exile except the very poorest people. He then puts Jehoiachin's uncle, Zedekiah, on the throne. Zedekiah is also evil. Eventually, he rebels against Nebuchadnezzar and Jerusalem is put under siege for two years. Finally, famine overcomes the city and the walls are broken through. Zedekiah's punishment, which he serves at Riblah, is to watch his sons being killed before having his eyes gouged out and being carried as prisoner to Babylon. Nebuchadnezzar burns down Jerusalem, including the Temple, the palace and all the important buildings; the walls are broken down, and everyone left is carried off, save some of the poorest people to act as farmers. He also kills the remaining priests at Riblah. He appoints Gedaliah as provincial governor. However, he is eventually killed by the last remaining member of the royal family, Ishmael son of Nethaniah, and a large number of Judahites and Babylonians flee to Egypt. Awel-Murduk becomes king of Babylon on Nebuchadnezzar's death. He releases Jehoiachin, gives him a place at his table and an allowance, and places him higher in honour than all other kings in Babylon other than himself.
Composition
Textual history
In the Hebrew Bible (the Bible used by Jews), First and Second Kings are a single book, as are the First and Second Books of Samuel. When this was translated into Greek in the last few centuries BCE, Samuel was joined with Kings in a four-part work called the Book of Kingdoms. Orthodox Christians continue to use the Greek translation (the Septuagint), but when a Latin translation (called the Vulgate) was made for the Western church, Kingdoms was first retitled the Book of Kings, parts One to Four, and eventually both Samuel and Kings were separated into two books each.
Thus, the books now commonly known as 1Samuel and 2Samuel are known in the Vulgate as 1Kings and 2Kings (in imitation of the Septuagint). What are now commonly known as 1Kings and 2Kings would be 3Kings and 4Kings in old Bibles before the year 1516, such as in the Vulgate and the Septuagint. The division known today, used by Protestant Bibles and adopted by Catholics, came into use in 1517. Some Bibles—for example, the Douay Rheims Bible—still preserve the old denomination.
Deuteronomistic history
According to Jewish tradition the author of Kings was Jeremiah, who would have been alive during the fall of Jerusalem in 586 BCE. The most common view today accepts Martin Noth's thesis that Kings concludes a unified series of books which reflect the language and theology of the Book of Deuteronomy, and which biblical scholars therefore call the Deuteronomistic history. Noth argued that the History was the work of a single individual living in the 6th century BCE, but scholars today tend to treat it as made up of at least two layers, a first edition from the time of Josiah (late 7th century BCE), promoting Josiah's religious reforms and the need for repentance, and (2) a second and final edition from the mid-6th century BCE. Further levels of editing have also been proposed, including: a late 8th century BCE edition pointing to Hezekiah of Judah as the model for kingship; an earlier 8th-century BCE version with a similar message but identifying Jehu of Israel as the ideal king; and an even earlier version promoting the House of David as the key to national well-being.
Sources
The editors/authors of the Deuteronomistic history cite a number of sources, including (for example) a "Book of the Acts of Solomon" and, frequently, the "Annals of the Kings of Judah" and a separate book, "Chronicles of the Kings of Israel". The "Deuteronomic" perspective (that of the book of Deuteronomy) is particularly evident in prayers and speeches spoken by key figures at major transition points: Solomon's speech at the dedication of the Temple is a key example. The sources have been heavily edited to meet the Deuteronomistic agenda, but in the broadest sense they appear to have been:
For the rest of Solomon's reign the text names its source as "the book of the acts of Solomon", but other sources were employed, and much was added by the redactor.
Israel and Judah: The two "chronicles" of Israel and Judah provided the chronological framework, but few details, apart from the succession of monarchs and the account of how the Temple of Solomon was progressively stripped as true religion declined. A third source, or set of sources, were cycles of stories about various prophets (Elijah and Elisha, Isaiah, Ahijah and Micaiah), plus a few smaller miscellaneous traditions. The conclusion of the book (2 Kings 25:18–21, 27–30) was probably based on personal knowledge.
A few sections were editorial additions not based on sources. These include various predictions of the downfall of the northern kingdom, the equivalent prediction of the downfall of Judah following the reign of Manasseh, the extension of Josiah's reforms in accordance with the laws of Deuteronomy, and the revision of the narrative from Jeremiah concerning Judah's last days.
Manuscript sources
Three of the Dead Sea Scrolls feature parts of Kings: 5QKgs, found in Qumran Cave 5, contains parts of 1 Kings 1; 6QpapKgs, found in Qumran Cave 6, contains 94 fragments from all over the two books; and 4QKgs, found in Qumran Cave 4, contains parts of 1 Kings 7–8. The earliest complete surviving copy of the book(s) of Kings is in the Aleppo Codex (10th century CE).
Themes and genre
Kings is "history-like" rather than history in the modern sense, mixing legends, folktales, miracle stories and "fictional constructions" in with the annals, and its primary explanation for all that happens is God's offended sense of what is right; it is therefore more fruitful to read it as theological literature in the form of history. The theological bias is seen in the way it judges each king of Israel on the basis of whether he recognises the authority of the Temple in Jerusalem (none do, and therefore all are "evil"), and each king of Judah on the basis of whether he destroys the "high places" (rivals to the Temple in Jerusalem); it gives only passing mention to important and successful kings like Omri and Jeroboam II and ignores one of the most significant events in ancient Israel's history, the battle of Qarqar.
The major themes of Kings are God's promise, the recurrent apostasy of the kings, and the judgement this brings on Israel:
Promise: In return for Israel's promise to worship Yahweh alone, Yahweh makes promises to David and to Israel – to David, the promise that his line will rule Israel forever, to Israel, the promise of the land they will possess.
Apostasy: the great tragedy of Israel's history, meaning the destruction of the kingdom and the Temple, is due to the failure of the people, but more especially the kings, to worship Yahweh alone (Yahweh being the God of Israel).
Judgement: Apostasy leads to judgement. Judgement is not punishment, but simply the natural (or rather, God-ordained) consequence of Israel's failure to worship Yahweh alone.
Another and related theme is that of prophecy. The main point of the prophetic stories is that God's prophecies are always fulfilled, so that any not yet fulfilled will be so in the future. The implication, the release of Jehoiachin and his restoration to a place of honour in Babylon in the closing scenes of the book, is that the promise of an eternal Davidic dynasty is still in effect, and that the Davidic line will be restored.
Textual features
Chronology
The standard Hebrew text of Kings presents an impossible chronology. To take just a single example, Omri's accession to the throne of Israel is dated to the 31st year of Asa of Judah meanwhile the ascension of his predecessor, Zimri, who reigned for only a week, is dated to the 27th year of Asa. The Greek text corrects the impossibilities but does not seem to represent an earlier version. A large number of scholars have claimed to solve the difficulties, but the results differ, sometimes widely, and none has achieved consensus status.
Kings and 2 Chronicles
The second Book of Chronicles covers much the same time-period as the books of Kings, but it ignores the northern Kingdom of Israel almost completely, David is given a major role in planning the Temple, Hezekiah is given a much more far-reaching program of reform, and Manasseh of Judah is given an opportunity to repent of his sins, apparently to account for his long reign. It is usually assumed that the author of Chronicles used Kings as a source and emphasised different areas as he would have liked it to have been interpreted.
See also
Historicity of the Bible
Kingdom of Israel (united monarchy)
Kings of Israel and Judah
References
Bibliography
Commentaries on Kings
General
External links
Original text
מלכים א Melachim Aleph – Kings A (Hebrew – English at Mechon-Mamre.org)
מלכים ב Melachim Bet – Kings B (Hebrew – English at Mechon-Mamre.org)
Jewish translations
1 Kings at Mechon-Mamre (Jewish Publication Society 1917 translation)
2 Kings at Mechon-Mamre (Jewish Publication Society 1917 translation)
Christian translations
1 Kings
2 Kings
Other links
"books of Kings." Encyclopædia Britannica Online.
Books of Kings article (Jewish Encyclopedia)
1 & 2 Kings: introduction Forward Movement
1st-millennium BC books
7th-century BC books
6th-century BC books
Deuteronomistic history
Historical books
Nevi'im | 5 |
The railway system in Great Britain is the oldest railway system in history. The first locomotive-hauled public railway opened in 1825, which was followed by an era of rapid expansion. Most of the track is managed by Network Rail, which in 2017 had a network of of standard-gauge lines, of which were electrified. These lines range from single to quadruple track or more. In addition, some cities have separate metro, light rail and tram systems (including the extensive and historic London Underground). There are also many private railways (some of them narrow-gauge), which are primarily short lines for tourists. The main rail network is connected with that of continental Europe by the Channel Tunnel and High Speed 1 (originally the Channel Tunnel Rail Link), which fully opened in 1994 and 2007 respectively.
In 2019, there were 1.738 billion journeys on the National Rail network, making the British network the fifth most used in the world (Great Britain ranks 23rd in world population). Unlike a number of other countries, rail travel in the United Kingdom has enjoyed a renaissance in recent years, with passenger numbers approaching their highest ever level (see usage figures below). This has coincided with the privatisation of British Rail, but the cause of this increase is unclear. The growth is partly attributed to a shift away from private motoring due to growing road congestion and increasing petrol prices, but also to the overall increase in travel due to affluence. Passenger journeys in Britain grew by 88% over the period 1997–98 to 2014 as compared to 62% in Germany, 41% in France and 16% in Spain.
The United Kingdom is a member of the International Union of Railways (UIC). The UIC country code for United Kingdom is 70. The UK has the 17th largest railway network in the world; despite many lines having closed in the 20th century, due to the Beeching cuts, it remains one of the densest networks. It is one of the busiest railways in Europe, with 20% more train services than France, 60% more than Italy, and more than Spain, Switzerland, the Netherlands, Portugal and Norway combined, as well as representing more than 20% of all passenger journeys in Europe. The rail industry employs 115,000 people and supports another 250,000 through its supply chain.
After the initial period of rapid expansion following the first public railways in the early 19th century, from about 1900 onwards the network suffered from gradual attrition, and more severe rationalisation in the 1950s and 1960s. However, the network has again been growing since the 1980s. The UK was ranked eighth among national European rail systems in the 2017 European Railway Performance Index for intensity of use, quality of service and safety performance.
To cope with increasing passenger numbers, there is a large programme of upgrades to the network, including Thameslink, Crossrail, electrification of lines, in-cab signalling, new inter-city trains and new high-speed lines.
Historical overview
According to historians David Brandon and Alan Brooke, the railways brought into being our modern world:
They stimulated demand for building materials, coal, iron and, later, steel. Excelling in the bulk movement of coal, they provided the fuel for the furnaces of industry and for domestic fireplaces. Millions of people were able to travel who had scarcely ever travelled before. Railways enabled mail, newspapers, periodicals and cheap literature to be distributed easily, quickly and cheaply allowing a much wider and faster dissemination of ideas and information. They had a significant impact on improving diet....[and enabled] a proportionately smaller agricultural industry was able to feed a much larger urban population....They employed huge quantities of labour both directly and indirectly. They helped Britain to become the ‘Workshop of the World’ by reducing transport costs not only of raw materials but of finished goods, large amounts of which were exported....[T]oday's global corporations originated with the great limited liability railway companies....By the third quarter of the nineteenth century, there was scarcely any person living in Britain whose life had not been altered in some way by the coming of the railways. Railways contributed to the transformation of Britain from a rural to a predominantly urban society.
The railways started with the local isolated wooden wagonways in 1560s using horses. These wagonways then spread, particularly in mining areas. The system was later built as a patchwork of local lines operated by small private railway companies. Over the course of the 19th and early 20th centuries, these amalgamated or were bought by competitors until only a handful of larger companies remained (see Railway Mania). The entire network was brought under government control during the First World War and a number of advantages of amalgamation and planning were revealed. However, the government resisted calls for the nationalisation of the network (first proposed by 19th century Prime Minister William Gladstone as early as the 1830s). Instead, from 1 January 1923, almost all the remaining companies were grouped into the "big four": the Great Western Railway, the London and North Eastern Railway, the London Midland and Scottish Railway and the Southern Railway companies (there were also a number of other joint railways such as the Midland and Great Northern Joint Railway and the Cheshire Lines Committee as well as special joint railways such as the Forth Bridge Railway, Ryde Pier Railway and at one time the East London Railway). The "Big Four" were joint-stock public companies and they continued to run the railway system until 31 December 1947.
The growth in road transport during the 1920s and 1930s greatly reduced revenue for the rail companies. Rail companies accused the government of favouring road haulage through the subsidised construction of roads. The railways entered a slow decline owing to a lack of investment and changes in transport policy and lifestyles. During World War II, the companies' managements joined together, effectively forming one company. A maintenance backlog developed during the war and the private sector only had two years to deal with this after the war ended. After 1945, for both practical and ideological reasons, the government decided to bring the rail service into the public sector.
Nationalisation
From the start of 1948, the "big four" were nationalised to form British Railways (latterly British Rail) under the control of the British Transport Commission. Although BR was a single entity, it was divided into six (later five) regional authorities in accordance with the existing areas of operation. Though there were few initial changes to the service, usage increased and the network became profitable. Regeneration of track and railway stations was completed by 1954. In the same year, changes to the British Transport Commission, including the privatisation of road haulage, ended the coordination of transport in Great Britain. Rail revenue fell and in 1955 the network again ceased to be profitable. The mid-1950s saw the rapid introduction of diesel and electric rolling stock, but the expected transfer back from road to rail did not occur and losses began to mount.
The desire for profitability led to a major reduction in the network during the mid-1960s, with ICI manager Dr. Richard Beeching commissioned by the government under Ernest Marples with reorganising the railways. Many branch lines (and a number of main lines) were closed because they were deemed uneconomic ("the Beeching Axe" of 1963), removing much feeder traffic from main line passenger services. In the second Beeching report of 1965, only the "major trunk routes" were selected for large-scale investment, leading many to speculate the rest of the network would eventually be closed. This was never implemented by BR.
Passenger services experienced a renaissance with the introduction of the InterCity 125 trains in the 1970s. Passenger levels fluctuated since then, increasing during periods of economic growth and falling during recessions. The 1980s saw severe cuts in government funding and above-inflation increases in fares, In the early 1990s, the five geographical Regions were replaced by a Sectored organisation, in which passenger services were organised into InterCity, Network SouthEast and Regional Railways sectors.
Reorganisation and privatisation
The Railways Act 1993 divided the railways up, with Railtrack taking ownership of British Rail's property portfolio, tracks, signals, bridges and tunnels, Rolling Stock Operating Companies, and train operating companies.
Passenger transport services were bundled together into franchises to facilitate cross-subsidy within franchises, with many regulations on ticket prices and types, regulated fare increases and "Parliamentary service" obligations. Companies submit bids to the franchising authority - often the Secretary of State for Transport, Passenger Transport Authority, or devolved government - competing for the lowest subsidy requirement and to invest in the railway over the lifespan of the franchise. There is also provision for subsidy between franchises, with profitable franchises demanding payments made to the government to cover a share of the losses from others. Examples of franchises include ScotRail, Great Western, and Southern Trains.
Open Access Operators are entirely free to set their own services and fares unaffected by government regulations. Examples of such operators are Lumo and Grand Central, Hull Trains and Heathrow Express. In the case of the InterCity West Coast and InterCity East Coast franchises, applicants submit bids to return the most money to the government from operating the service. This has led to franchisees collapsing when passenger growth targets are not met as promised payments to the government cannot be paid and the franchise is exited early.
In 2023, Network Rail held over £59.1 billion in debt, and £1.176 billion interest payments. Many of these debts were incurred by Railtrack and transferred to Network Rail when it collapsed.
British Rail operations were privatised during 1994–1997. Ownership of the track and infrastructure passed to Railtrack, whilst passenger operations were franchised to individual private sector operators (originally there were 25 franchises) and the goods services sold outright (six companies were set up, but five of these were sold to the same buyer). The government said privatisation would see an improvement in passenger services and satisfaction (according to the National Rail Passenger survey) has indeed gone up from 76% in 1999 (when the survey started) to 83% in 2013 and the number of passengers not satisfied with their journey dropped from 10% to 6%. Since privatisation, passenger levels have more than doubled, and have surpassed their level in the late 1940s. Train fares cost 2.7% more than under British Rail in real terms on average. However, while the price of anytime and off-peak tickets has increased, the price of Advance tickets has dramatically decreased in real terms: the average Advance ticket in 1995 cost £9.14 (in 2014 prices) compared to £5.17 in 2014.
Rail subsidies have increased from £bn in 1992–93 to £bn in 2015–16 (in current prices), although subsidy per journey has fallen from £ per journey to £ per journey. However, this masks great regional variation, as in 2014–15 funding varied from "£1.41 per passenger journey in England to £6.51 per journey in Scotland and £8.34 per journey in Wales."
The public image of rail travel was severely damaged by a series of significant accidents after privatisation. These included the Hatfield accident, caused by a rail fragmenting due to the development of microscopic cracks. Following this, the rail infrastructure company Railtrack imposed over 1,200 emergency speed restrictions across its network and instigated an extremely costly nationwide track replacement programme. The consequent severe operational disruption to the national network and the company's spiralling costs set in motion a series of events which resulted in the collapse of the company and its replacement with Network Rail, a state-owned, "not-for-profit" company, with risks underwritten by the taxpayer. According to the European Railway Agency, in 2013 Britain had the safest railways in Europe based on the number of train safety incidents.
At the end of September 2003, the first part of High Speed 1, a high-speed link to the Channel Tunnel and onward to France and Belgium, was completed, significantly adding to the rail infrastructure of the country. The rest of the link, from north Kent to London St Pancras opened in 2007. A major programme of remedial work on the West Coast Main Line started in 1997 and finished in 2008.
In the 2010s, many upgrades are under way, such as Thameslink, Crossrail, the Northern Hub and electrification of the Great Western Main Line. Electrification plans for the Midland Main Line and the Transpennine line between Manchester and Leeds have been scaled back. Construction of High Speed 2 is underway, with a projected completion date of 2026 for Phase 1 (London to Birmingham) and 2033 for Phase 2. A poll of 1,500 adults in Britain in June 2018 showed that 64% support renationalising Britain's railways.
Renationalisation
Currently six franchises are under public ownership and thus effectively nationalised. Four of them – LNER, Northern Trains, Southeastern, and TransPennine – are operators of last resort owned by the Department for Transport, whereas Transport for Wales Rail is owned by Transport for Wales, a Welsh-Government owned company, with no current plans to re-privatise the latter. On 1 April 2022, ScotRail was put under public ownership by the Scottish Government, under Transport Scotland as ScotRail Trains operating on the same day.
The COVID-19 pandemic caused a huge fall in the number of passengers using the railways, with journeys in 2020 being about 22% of the previous year, before rising again as travel restrictions eased. During 2020, all train operating companies entered into emergency measures agreements with the UK and Scottish governments. Normal franchise mechanisms were amended, transferring almost all revenue and cost risk to the government, effectively 'renationalising' the network temporarily.
In September 2020, the UK Government permanently got rid of the rail franchising system. On 20 May 2021, the Government announced a white paper that would transform the operation of the railways. The rail network will be partly renationalised, with infrastructure and operations brought together under the state-owned public body Great British Railways. Operations will be managed on a concessions model. According to the BBC, this represents the largest shake-up in the UK's railways since privatisation. On 18 November 2021, the government announced the biggest ever public investment in Britain's rail network costing £96 billion and promising quicker and more frequent rail connections in the North and Midlands: the Integrated Rail Plan includes substantially improved connections North-South as well as East-West and includes three new high speed lines.
Passenger services
Passenger services in Great Britain were divided into regional franchises and run by mostly private (that is, non-state owned) train operating companies from 1995 to 2020. These companies bid for seven- to eight-year contracts to run individual franchises. Most contracts in England are awarded by the Department for Transport (DfT), with the exception of Merseyrail, where the franchise is awarded by the Merseyside Passenger Transport Executive. In Scotland, contracts for ScotRail, is awarded by Transport Scotland, and in Wales, contracts for Transport for Wales Rail, is awarded by Transport for Wales, although the latter is currently publicly-owned with no plans for franchising in the near future and ScotRail is planned to be publicly owned in 2022. Initially, there were 25 franchises, some franchises have since been combined, others nationalised. There are also a number of local or specialised rail services operated on an open access basis outside the franchise arrangements. Examples include Heathrow Express and Hull Trains. Many franchises were effectively abolished due to the COVID-19 pandemic, with a new state-owned public body, Great British Railways, operating a concession contract system on the network from 2023.
In the 2015–16 operating year, franchised services provided 1,718 million journeys totalling (64.7 billion billion passenger km) of travel, an increase over 1994–5 of 117% in journeys (from 761 million) and just over doubling the passenger miles. The passenger-miles figure, after being flat from 1965 to 1995, surpassed the 1947 figure for the first time in 1998 and continues to rise steeply.
The key index used to assess passenger train performance is the Public Performance Measure, which combines figures for punctuality and reliability. From a base of 90% of trains arriving on time in 1998, the measure dipped to 75% in mid-2001 due to stringent safety restrictions put in place after the Hatfield crash in October 2000. However, in June 2015 the PPM stood at 91.2% after a period of steady increases in the annual moving average since 2003 until around 2012 when the improvements levelled off.
Train fares cost 2.7% more than under British Rail in real terms on average. For some years, Britain has been said to have the highest rail fares in Europe, with peak-time and season tickets considerably higher than other countries, partly because rail subsidies in Europe are higher. However, passengers are also able to obtain some of the cheapest fares in Europe if they book in advance or travel at off-peak times or purchase 'day-return' tickets which cost little more than a single ticket.
UK rail operators point out rail fare increases have been at a substantially lower rate than petrol prices for private motoring. The difference in price has also been blamed on the fact Britain has the most restrictive loading gauge (maximum width and height of trains that can fit through tunnels, bridges etc.) in the world which means any trains must be significantly narrower and less tall than those used elsewhere. This means British trains cannot be bought "off-the-shelf" and must be specially built to fit British standards.
Average rolling-stock age fell slightly from the third quarter of 2001–02 to 2017–18, from 20.7 years old to 19.6 years old, and recent large orders from Bombardier and its acquirer Alstom, CAF, Hitachi and Stadler brought down the average age to around 15 years by March 2021.
Although passengers rarely have cause to refer to either document, all travel is subject to the National Rail Conditions of Carriage and all tickets are valid subject to the rules set out in a number of so-called technical manuals, which are centrally produced for the network.
Annual journey numbers
Below are the estimated total number of journeys using heavy rail transport in Britain for each financial year. (This table does not include Eurostar, Underground or light rail services)
The following table is according to the Office of Rail and Road and includes open access operators such as Grand Central and Hull Trains.
Stations
There are 2,579 passenger railway stations on the Network Rail network. This does not include the London Underground, nor other systems which are not part of the national network, such as heritage railways. Most date from the Victorian era and a number are in or on the edge of town and city centres. Major stations lie for the most part in large cities, with the largest conurbations (e.g. Liverpool, Birmingham, Bristol, Cardiff, Edinburgh, Glasgow and Manchester) typically having more than one main station. London is a major hub of the network, with 12 main-line termini forming a "ring" around central London. Birmingham, Leeds, Manchester, Glasgow, Bristol and Reading are major interchanges for many cross-country journeys that do not involve London. However, some important railway junction stations lie in smaller cities and towns, for example York, Crewe and Ely. Some other places expanded into towns and cities because of the railway network. Swindon, for example, was little more than a village before the Great Western Railway chose to site its locomotive works there. In many instances geography, politics or military considerations originally caused stations to be sited further from the towns they served until, with time, these issues could be overcome (for example, Portsmouth had its original station at Gosport).
Inter-city
High-speed inter-city rail (above ) was first introduced in Great Britain in the 1970s by British Rail. BR had pursued two development projects in parallel, the development of a tilting train technology, the Advanced Passenger Train (APT), and development of a conventional high-speed diesel train, the High Speed Train (HST). The APT project was abandoned, but the HST design entered service as the British Rail Classes 253, 254 and 255 trains. The prototype HST, the Class 252, reached a world speed record for diesel trains of 143.2 mph, while the main fleet entered service limited to a service speed of 125 mph, and were introduced progressively on main lines across the country, with a rebranding of their services as the InterCity 125. With electrification of the East Coast Main Line, high-speed rail in Great Britain was augmented with the introduction of the Class 91, intended for passenger service at up to 140 mph (225 km/h), and thus branded as the InterCity 225. The Class 91 units were designed for a maximum service speed of 140 mph, and running at this speed was trialled with a 'flashing green' signal aspect under the British signalling system. The trains were eventually limited to the same speed as the HST, to 125 mph, with higher speeds deemed to require cab signalling, which as of 2010 was not in place on the normal British railway network (but was used on the Channel Tunnel Rail Link). A final attempt by the nationalised British Rail at High Speed Rail was the cancelled InterCity 250 project in the 1990s for the West Coast Main Line.
Post privatisation, a plan to upgrade the West Coast Main Line to speeds of up to 140 mph with infrastructure improvements were finally abandoned, although the tilting train Class 390 Pendolino fleet designed for this maximum speed of service were still built and entered service in 2002, and operates limited to 125 mph. Other routes in the UK were upgraded with trains capable of top speeds of up to 125 mph running with the introduction between 2000 and 2005 of Class 180 Adelante DMUs and the Bombardier Voyager DEMUs (Classes 220, 221 and 222).
High Speed 1
The first implementation of high-speed rail up to 186 mph in regular passenger service in Great Britain was the Channel Tunnel Rail Link (now known as High Speed 1), when its first phase opened in 2003 linking the British end of the Channel Tunnel at Folkestone with Fawkham Junction in Kent. This is used by international only passenger trains for the Eurostar service, using Class 373 and Class 374 trains. The line was later extended all the way into London St Pancras in 2007.
After the building of the first of a new Class 395 train fleet for use partly on High Speed 1 and parts of the rest of the UK rail network, the first domestic high-speed running over 125 mph (to about 140 mph) began in December 2009, including a special Olympic Javelin shuttle for the 2012 Summer Olympics. These services are operated by the South Eastern franchise.
Intercity Express Programme
For replacement of the domestic fleet of InterCity 125 and 225 trains on the existing national network, the Intercity Express Programme was announced. In 2009 it was announced the preferred rolling stock option for this project was the Hitachi Super Express family of multiple units, and they entered service in 2017 on the Great Western Main Line and 2019 on the East Coast Main Line. The trains will be capable of a maximum speed of 140 mph with "minor modifications", with the necessary signalling modifications required of the Network Rail infrastructure in Britain likely to come from the phased rollout of the Europe-wide European Rail Traffic Management System (ERTMS).
Proposed and partly under construction
High Speed 2
Following several studies and consultations on high-speed rail, in 2009 the UK Government formally announced the High Speed 2 project, establishing a company to produce a feasibility study to examine route options and financing for a new high-speed railway in the UK. This study began on the assumption the route would be a new purpose-built high-speed line connected to High-Speed 1 to the Channel tunnel and from London to the West Midlands, via Heathrow Airport, relieving traffic on the West Coast Main Line (WCML). Conventional high-speed rail technology would be used as opposed to Maglev. The rolling stock would be capable of travelling on the existing Network Rail infrastructure if required, with the route intersecting with the existing WCML and the East Coast Main Line (ECML). A cancelled second phase of the project was planned to reach further north to Manchester, Sheffield and Leeds, as well as linking into the Midland Main Line.
Northern Powerhouse Rail
In June 2014, the chancellor of the Exchequer, George Osborne, proposed a high-speed rail link Northern Powerhouse Rail (also known as High Speed 3 or High Speed North) between Liverpool and Newcastle/Sheffield/Hull. The line would use the existing route between Liverpool and Newcastle/Hull and a new route from to Sheffield will follow the same route to Manchester Victoria and then a new line from Victoria to Sheffield, with additional tunnels and other infrastructure.
High-speed rolling stock
As of August 2023 the following rolling stock on the UK network is capable of 125 mph or more:
In 2011 the fastest timetabled start-to-stop run by a UK domestic train service was the Hull Trains 07.30 King's Cross to Hull, which covered the 125.4 km (78 miles) from Stevenage to Grantham in 42 minutes at an average speed of 179.1 km/h (111.4 mph). This was operated by a Class 180 diesel unit running "under the wires" at the time, and is now operated by Class 802 Paragon bi-mode units, operating on electric power on this section. This was matched by several Leeds to London Class 91-operated East Coast trains if their two-minute recovery allowance for this section is excluded from the public timetable.
Local metro and other rail systems
A number of towns and cities have rapid transit networks. Underground technology is used in the Glasgow subway, Merseyrail centred on Liverpool, London Underground centred on London, London Overground and the London Docklands Light Railway centred on London, and the Tyne and Wear Metro centred on Newcastle upon Tyne.
Light rail systems in the form of trams are in Birmingham, Croydon, Manchester, Nottingham, Sheffield and Edinburgh. These systems use a combination of street running tramways and, where available, reserved right of way or former conventional rail lines in some suburbs. Blackpool has the one remaining traditional tram system. Monorails, heritage tramways, miniature railways and funiculars also exist in several places. In addition, there are a number of heritage (mainly steam) standard and narrow gauge railways, and a few industrial railways and tramways. Some lines which appear to be heritage operations sometimes claim to be part of the public transport network; the Romney, Hythe and Dymchurch Railway in Kent regularly transports schoolchildren.
Most major cities have some form of commuter rail network. These include Belfast, Birmingham, Bristol, Cardiff, Edinburgh, Glasgow, Leeds, Liverpool, London and Manchester.
Goods services
There are four main goods operating companies in the UK, the largest of which is DB Cargo UK (formerly DB Schenker, formerly English Welsh & Scottish (EWS)). There are also several smaller independent operators including Mendip Rail. Types of freight carried include intermodal – in essence containerised freight – and coal, metals, oil, and construction materials. The Beeching Cuts, in contrast to passenger services, greatly modernised the goods sector, replacing inefficient wagons with containerised regional hubs. Freight services had been in steady decline since the 1930s, initially because of the reduction in manufacturing and then road haulage's cost advantage in combination with higher wages. Since 1995, however, the amount of freight carried on the railways has increased sharply due to increased reliability and competition, as well as international services. In 2000, the Department for Transport's Transport Ten Year Plan called for an 80% increase in rail freight.
Statistics on freight are specified in terms of the weight of freight lifted, and the net tonne kilometre, being freight weight multiplied by distance carried. 116.6 million tonnes of freight was lifted in the 2013–4 period, against 138 million tonnes in 1986–7, a decrease of 16%. However, a record 22.7 billion net tonne kilometres (14 billion net ton miles) of freight movement were recorded in 2013–4, against 16.6 billion (10.1 billion) in 1986–7, an increase of 38%. Coal made up 36% of the total net tonne kilometre, though its share was declining. Rail freight had increased its market share since privatisation (by net tonne kilometres) from 7.4% in 1998 to 11.1% in 2013. Growth was partly due to more international services including the Channel Tunnel and Port of Felixstowe, which is containerised. Nevertheless, as of 2008, network bottlenecks and insufficient investment in catering for 9' 6" high shipping containers restricted growth.
A symbolic loss to the rail freight industry in Great Britain was the custom of the Royal Mail, which from 2004 discontinued use of its 49-train fleet, and switched to road haulage after a near 170-year-preference for trains. Mail trains had long been part of the tradition of the railways in Great Britain, famously celebrated in the film Night Mail, for which W. H. Auden wrote the poem of the same name. Although Royal Mail suspended mail trains in January 2004, this decision was reversed in December of the same year, and Class 325s are now used on some routes including between London, Warrington and Scotland.
Train leasing services
At the time of privatisation, the rolling stock of British Rail was sold to the new operators, as in the case of the freight companies, or to the three ROSCOs (rolling stock companies) which lease or hire stock to passenger and freight train operators. Leasing is relatively commonplace in transport since it enables operating companies to avoid the complication associated with raising sufficient capital to purchase assets; instead, assets are leased and paid for from ongoing revenue. Since 1994 there has been a growth in smaller spot-hire companies that provide rolling stock on short-term contracts. Many of these have grown thanks to the selling-off of locomotives by the large freight operators, especially EWS.
Unlike other major players in the privatised railway system of Great Britain, the ROSCOs are not subject to close regulation by the economic regulatory authority. They were expected to compete with one another, and they do, although not in all respects.
Competition codes of practice
Since privatisation in 1995, the ROSCOs have faced criticism from several quarters – including passenger train operating companies such as GNER, Arriva and FirstGroup – on the basis they are acting as an oligopoly to keep lease prices higher than they would be in a competitive market. In 1998, Deputy Prime Minister John Prescott asked rail regulator John Swift to investigate the market's operation and make recommendations. Many believed Prescott favoured much closer regulation of the ROSCOs, perhaps bringing them into the net of contract-specific regulation, i.e., requiring every rolling stock lease to be approved by the Rail Regulator before it could be valid. Swift's report did not find major problems with the operation of what was then an infant market, and instead recommended the ROSCOs sign up to voluntary, non-binding codes of practice in relation to their future behaviour. Prescott did not like this, but he did not have the legislative time allocation to do much about it. Swift's successor as Rail Regulator, Tom Winsor, agreed with Swift and the ROSCOs were happy to go along with codes of practice, coupled with the Rail Regulator's new powers to deal with abuse of dominance and anti-competitive behaviour under the Competition Act 1998. In establishing these codes, the Rail Regulator made it clear he expected the ROSCOs to adhere to their letter and spirit. The codes of practice were duly put in place and for the next five years the Rail Regulator received no complaints about ROSCO behaviour.
White paper 2004
In July 2004, the DFT's White Paper on the future of the railways expressed dissatisfaction with the operation of the rolling stock leasing market, and the belief there may have been excessive pricing on the part of the ROSCOs.
In June 2006, Gwyneth Dunwoody, chair of the Transport Select Committee of the House of Commons, called for an investigation into the companies. Transport commentator Christian Wolmar has asserted the high cost of leasing is due to the way the franchises are distributed to the train operating companies. While the TOCs are negotiating for a franchise they have some freedom to propose different rolling stock options. It is only once they have won the franchise, however, they start negotiating with the ROSCOs. The ROSCO will know the TOC's requirements and also knows the TOC has to obtain a fixed mix of rolling stock which puts the train operating company at a disadvantage in its negotiations with the ROSCO.
Competition Commission
On 29 November 2006, following a June 2006 complaint by the DfT alleging excessive pricing by the ROSCOs, the Office of Rail Regulation (as it was then called) announced it was minded to refer the operation of the market for passenger rolling stock to the Competition Commission, citing, amongst other factors, problems in the DfT's own franchising policy as responsible for what may be regarded as a dysfunctional market. ORR said it will consult the industry and the public on what to do, and will publish its decision in April 2007. If the ORR does refer the market to the Competition Commission, there may well be a hiatus in investment in new rolling stock whilst the ROSCOs and their parent companies wait to hear what return they will be allowed to make on their train fleets. This could have the unintended consequence of intensifying the problem of overcrowding on some routes because TOCs will be unable to lengthen their trains or acquire new ones if they need the ROSCOs to co-operate in their acquisition or financing. Some commentators have suggested that such an outcome would be detrimental to the public interest. This is especially striking since the National Audit Office, in its November 2006 report on the renewal and upgrade of the West Coast Main Line, said that the capacity of the trains and the network will be full in the next few years and advocated train lengthening as an important measure to cope with sharply higher passenger numbers.
The Competition Commission conducted an investigation and published provisional findings on 7 August 2008. The report was published on 7 April 2009. A press release summarised the recommendations as follows:
introduce longer franchise terms (in the region of 12 to 15 years or longer), which would allow TOCs to realise the benefits and recover the costs of switching to alternative new or used rolling stock over a longer period, which should increase the incentives and ability for TOCs to exercise choice
assess the benefits of alternative new or used rolling stock proposals beyond the franchise term and across other franchises when evaluating franchise bids. This will encourage a wider choice of rolling stock to be considered in franchise proposals, irrespective of franchise length
ensure franchise invitations to tender (ITTs) are specified in such a way franchise bidders are allowed a choice of rolling stock
requiring the ROSCOs to remove non-discrimination requirements from the Codes of Practice, which would provide greater incentives for the TOCs to seek improved terms from the ROSCOs
requiring rolling stock lessors to provide TOCs with a set list of information when making a lease rental offer for used rolling stock, which would give TOCs the ability to negotiate more effectively
Leasing companies (ROSCO)
See also Rolling stock company
Three companies took over British Rail's rolling stock on privatisation:
Angel Trains – has 4,400 vehicles in the UK owned by AMP Capital Investors, PSP Investments and International Public Partnerships.
Eversholt Rail Group – owns a fleet of over 4,000 vehicles and is owned by CK Hutchison Holdings and Cheung Kong Infrastructure Holdings.
Porterbrook – leases some 3,500 locomotives, trains and freight wagons; owned by a consortium including Alberta Investment Management Corporation, Allianz, Électricité de France and Vantage Infrastructure.
A number of other companies have since entered the leasing market:
Sovereign Trains – a company that forms part of the same group as the open-access operator Grand Central. Sovereign Trains owned the rolling stock operated by Grand Central. Dissolved after the stock was sold to Angel Trains
QW Rail Leasing – a joint venture between the National Australia Bank and SMBC Leasing & Finance to provide the EMU rolling stock to London Overground.
Macquarie European Rail – in April 2009, Lloyds TSB entered the rolling stock market by funding the purchase of 30 new Class 379s for National Express East Anglia. In November 2012, Lloyds sold the company to Macquarie Group.
Beacon Rail, owns Class 68 and Class 88 locomotives, as well as , Class 313 and DMUs.
UK Rail Leasing, owns some Class 56 locomotives
Rock Rail Limited, owns Class 717 Siemens Desiro EMUs in service on Govia Thameslink Railway's Great Northern routes, Stadler Flirt Class 745 EMUs and Class 755 BMUs entering service on Abellio's Greater Anglia franchise, Bombardier Aventra Class 701 EMUs entering service on FirstGroup and MTR's South Western franchise, Hitachi Intercity BMUs for service on Abellio's East Midlands franchise and Hitachi Intercity EMUs and BMUs for service on First Group and Trenitalia's Avanti West Coast franchise
Spot-hire companies
Spot-hire companies provide short-term leasing of rolling stock.
MiddlePeak Railways, a locomotive hire & lease company with a stock of locomotives similar to Class 08 & NS 0-6-0 600 Class shunting locomotives, other locomotives, rolling stock & parts.
GL Railease owned by GATX Capital, and Lombard, a subsidiary of the Royal Bank of Scotland.
Harry Needle Railroad Company, an industrial and main line locomotive hire and overhaul company. Operates Class 08 shunting locomotives, and Class 20 locomotives.
Riviera Trains, a spot-hire company with a fleet of Class 47 locomotives. This company works closely with DB Cargo UK.
West Coast Railways, a spot-hire and railtour-operator with a stock of Class 37 and Class 47 locomotives, as well as the rebuilt Class 57 locomotive.
Eastern Rail Services, a rolling stock spot hire company, providing leasing and hire, acquisition, parts supply and overhaul and technical advice.
Statutory framework
Railways in Great Britain are in the private sector, but they are subject to control by central government, and to economic and safety regulation by arms of government.
In 2006, using powers in the Railways Act 2005, the DfT took over most of the functions of the now wound up Strategic Rail Authority. The DfT now itself runs competitions for the award of passenger rail franchises, and, once awarded, monitors and enforces the contracts with the private sector franchisees. Franchises specify the passenger rail services which are to be run and the quality and other conditions (for example, the cleanliness of trains, station facilities and opening hours, the punctuality and reliability of trains) which the operators have to meet. Some franchises receive a subsidy from the DfT for doing so, and some are cash-positive, which means the franchisee pays the DfT for the contract. Some franchises start life as subsidised and, over their life, move to being cash-positive.
The other regulatory authority for the privatised railway is the Office of Rail and Road (previously the Office of Rail Regulation), which, following the Railways Act 2005, is the combined economic and safety regulator. It replaced the Rail Regulator on 5 July 2004. The Rail Safety and Standards Board still exists, however; established in 2003 on the recommendations of a public inquiry, it leads the industry's progress in health and safety matters.
The principal modern railway statutes are:
Railways Act 1993' Competition Act 1998 (insofar as it confers competition powers on the Office of Rail and Road)
Transport Act 2000
Railways and Transport Safety Act 2003
Railways Act 2005
Industry bodies
Statutory authorities
Office of Rail and Road
Department for Transport
UK Notified Bodies
Devolved authorities
Transport Scotland
Transport for Wales
Network and signalling operations
Railtrack (1996–2002)
Network Rail (2002–) – (A "not for dividend" company limited by guarantee)
Other national entities
Institution of Railway Operators
Rail Delivery Group
Rail Freight Group
Rail Passengers Council and Committees
Rail Safety and Standards Board
Rail Forum Midlands
Railway Industry Association
Railway Mission
Railway Study Association
Trade unions
The railways are one of the most heavily unionised industrial sectors in the UK.
Associated Society of Locomotive Engineers and Firemen (ASLEF)
National Union of Rail, Maritime and Transport Workers (RMT)
Transport Salaried Staffs' Association (TSSA)
Regional entitiesSee Passenger transport executive Transport for West Midlands
TfGM (Transport for Greater Manchester)
Merseytravel
Metro (West Yorkshire Metro)
Nexus (Tyne and Wear Passenger Transport Executive)
Travel South Yorkshire (South Yorkshire Passenger Transport Executive)
SPT (Strathclyde Partnership for Transport)
TfL (Transport for London)
See List of companies operating trains in the United Kingdom.
Freight companies
GB Railfreight
DB Cargo UK
Freightliner
Direct Rail Services
Colas Rail
Devon and Cornwall Railways
Mendip Rail
Open access and other non-franchised passenger operators
Eurostar
Grand Central
Heathrow Express
Hull Trains
Venice-Simplon Orient Express (VSOE)
1820s–1840s: Early companies
This is only the earliest of the main line openings: for a more comprehensive list of the hundreds of early railways see List of early British railway companies
Stockton and Darlington Railway (1825) – First steam-hauled passenger railway in the world.
Canterbury and Whitstable Railway (1830) – First steam-hauled passenger railway to issue season tickets.
Liverpool and Manchester Railway (1830) – First InterCity passenger railway.
Grand Junction Railway (1833) – The line built by the company was the first trunk railway to be completed in England, and arguably the world's first long-distance railway with steam traction.
London and Greenwich Railway (1836) – First steam railway in the capital, the first to be built specifically for passengers, and the first elevated railway.
London and Birmingham Railway (1837) – First Intercity line to be built into London.
Midland Counties Railway (1839)
Birmingham and Derby Junction Railway (BDJR) (1839)
North Midland Railway (1840)
Taff Vale Railway (1840)
Heritage and private
Many lines closed by British Railways, including many closed during the Beeching cuts, have been restored and reopened as heritage railways. A few have been relaid as narrow-gauge but the majority are standard-gauge. Most use both steam and diesel locomotives for haulage. Most heritage railways are operated as tourist attractions and do not provide regular year-round train services.
Proposed line re-openings
Several pressure groups are campaigning for the re-opening of closed railway lines in Great Britain. These include:
Ashington–Bedlington–Newcastle
Marlow Branch (Bourne End–High Wycombe)
Cambridge–Oxford, East West Rail This project was approved by the Government in November 2011.
Carmarthen-Aberystwyth line
Colne–Skipton, Skipton-East Lancashire Rail Action Partnership
Great Central Railway Notts–Leicester
Lynn and Hunstanton Railway
Peak Rail: (Matlock–Bakewell). Under-funded line
Portishead Railway from Portishead to Bristol Temple Meads
South Staffordshire Line (Stourbridge–Walsall-Lichfield)
St Andrews Rail Link (Leuchars–St Andrews)
Wealden Line (Uckfield–Lewes)
Woodhead Line (Hadfield–Penistone)
York to Beverley Line (York–Beverley)
From 1995 until 2009, 27 new lines (totalling 199 track miles) and 68 stations were opened, with 65 further new station sites identified by Network Rail or government for possible construction.
On 15 June 2009 the Association of Train Operating Companies (ATOC) published the report Connecting Communities: Expanding Access to the Rail Network, detailing schemes around England where it believed there was a commercial business case for passenger network expansion. The published proposals involved the re-opening or new construction of 40 stations, serving communities with populations of over 15,000, including 14 schemes involving the re-opening or reconstruction of rail lines for passenger services. These would be short-lead-time local projects, to be completed in timescales ranging from 2 years 9 months to 6 years, once approved by local and regional governments, Network Rail and the Department for Transport, complementing existing long-term national projects.
Most populous towns without rail services
This is a list of towns in England that do not have any sort of rail service. Services taken into account include National Rail, tram and metro services such as the Manchester Metrolink or the Tyne and Wear Metro. The first list is of separate towns. The second is of towns that form part of larger conurbations.
Built-up areas
Built-up area subdivisions
Links with adjacent countries
Great Britain (standard-gauge)
France (Eurostar) via the Channel Tunnel formerly by Train ferries.
Belgium (Eurostar) via France using the Channel Tunnel.
Netherlands (Eurostar) via France and Belgium using the Channel Tunnel.
Rail-ferry-rail services
Netherlands – Dutchflyer rail/sea/rail service
Ireland – SailRail service via Holyhead, Stranraer or Fishguard
See also
References
Citations
Sources
Network Rail – Making a Fresh Start – National Audit Office report, 14 May 2004.
Railway industry topic guides from the Institution of Mechanical EngineersOn The Wrong Line: How Ideology and Incompetence Wrecked Britain's Railways'', Christian Wolmar, Aurum Press Ltd. .
External links
National Rail Official UK Rail timetable site
National Rail maps page UK railway maps
BritRail ATOC site with timetables, maps and cross-network passes for foreign travellers in UK
BritRail Passes Canada Canadian source for British Rail Passes And tickets
ScotlandRailways Scottish Rail site with timetables, maps and cross-network passes for foreign travellers in Scotland
Northumbrian Railways
Great Scenic Railways of Devon and Cornwall
Collection of Google Earth locations of National Rail stations (Requires Google Earth software) from the Google Earth Community forum | 19 |
British Railways (BR), which from 1965 traded as British Rail, was a state-owned company that operated most of the overground rail transport in Great Britain from 1948 to 1997. It was formed from the nationalisation of the Big Four British railway companies, and was privatised in stages between 1994 and 1997. Originally a trading brand of the Railway Executive of the British Transport Commission, it became an independent statutory corporation in January 1963, when it was formally renamed the British Railways Board.
The period of nationalisation saw sweeping changes in the railway. A process of dieselisation and electrification took place. By 1968 steam locomotives had been entirely replaced by diesel and electric traction, except for the Vale of Rheidol Railway (a narrow-gauge tourist line). Passengers replaced freight as the main source of business, and one-third of the network was closed by the Beeching cuts of the 1960s in an effort to reduce rail subsidies.
On privatisation, responsibility for track, signalling and stations was transferred to Railtrack (later brought under public control as Network Rail), with services run by train operating companies. The British Rail Double Arrow logo remains in place and is now employed as a generic symbol on street signs in Great Britain denoting railway stations.
History
Nationalisation in 1948
The rail transport system in Great Britain developed during the 19th century. After the grouping of 1923 under the Railways Act 1921, there were four large railway companies, each dominating its own geographic area: the Great Western Railway (GWR), the London, Midland and Scottish Railway (LMS), the London and North Eastern Railway (LNER) and the Southern Railway (SR). During World War I, the railways were under state control, which continued until 1921. Complete nationalisation had been considered, and the Railways Act 1921 is sometimes considered as a precursor to that, but the concept was rejected. Nationalisation was subsequently carried out after World War II, under the Transport Act 1947. This Act made provision for the nationalisation of the network as part of a policy of nationalising public services by Clement Attlee's Labour Government. British Railways came into existence as the business name of the Railway Executive of the British Transport Commission (BTC) on 1 January 1948 when it took over the assets of the Big Four.
There were also joint railways between the Big Four and a few light railways to consider (see list of constituents of British Railways). Excluded from nationalisation were industrial lines like the Oxfordshire Ironstone Railway. The London Underground – publicly owned since 1933 – was also nationalised, becoming the London Transport Executive of the British Transport Commission. The Bicester Military Railway was already run by the government. The electric Liverpool Overhead Railway was also excluded from nationalisation.
The Railway Executive was conscious that some lines on the (then very dense) network were unprofitable and hard to justify socially, and a programme of closures began almost immediately after nationalisation. However, the general financial position of BR became gradually poorer until an operating loss was recorded in 1955. The Executive itself had been abolished in 1953 by the Conservative government, and control of BR transferred to the parent Commission. Other changes to the British Transport Commission at the same time included the return of road haulage to the private sector; however, BR retained its own (smaller) inhouse road haulage service.
1955 Modernisation Plan
The report, latterly known as the "Modernisation Plan", was published in January 1955. It was intended to bring the railway system into the 20th century. A government White Paper produced in 1956 stated that modernisation would help eliminate BR's financial deficit by 1962, but the figures in both this and the original plan were produced for political reasons and not based on detailed analysis. The aim was to increase speed, reliability, safety, and line capacity through a series of measures that would make services more attractive to passengers and freight operators, thus recovering traffic lost to the roads. Important areas included:
Electrification of principal main lines, in the Eastern Region, Kent, Birmingham to Liverpool/Manchester and Central Scotland
Large-scale dieselisation to replace steam locomotives
New passenger and freight rolling stock
Resignalling and track renewals
Modern marshalling yards
The closure of an unspecified but relatively small number of lines
The government appeared to endorse the 1955 programme (costing £1.2 billion), but did so largely for political reasons. This included the withdrawal of steam traction and its replacement by diesel (and some electric) locomotives. Not all modernisations would be effective at reducing costs. The dieselisation programme gave contracts primarily to British suppliers, who had limited experience of diesel locomotive manufacture, and rushed commissioning based on an expectation of rapid electrification; this resulted in numbers of locomotives with poor designs and a lack of standardisation. At the same time, containerised freight was being developed. The marshalling yard building programme was a failure, being based on a belief in the continued viability of wagon-load traffic in the face of increasingly effective road competition, and lacking effective forward planning or realistic assessments of future freight. A 2002 documentary broadcast on BBC Radio 4 blamed the 1950s decisions for the "beleaguered" condition of the railway system at that time.
The Beeching reports
During the late 1950s, railway finances continued to worsen; whilst passenger numbers grew after restoring many services reduced during the war, and in 1959 the government stepped in, limiting the amount the BTC could spend without ministerial authority. A White Paper proposing reorganisation was published in the following year, and a new structure was brought into effect by the Transport Act 1962. This abolished the commission and replaced it by several separate boards. These included a British Railways Board, which took over on 1 January 1963.
Following semi-secret discussions on railway finances by the government-appointed Stedeford Committee in 1961, one of its members, Dr Richard Beeching, was offered the post of chairing the BTC while it lasted and then became the first Chairman of the British Railways Board.
A major traffic census in April 1961, which lasted one week, was used in the compilation of a report on the future of the network. This report—The Reshaping of British Railways—was published by the BRB in March 1963. The proposals, which became known as the Beeching cuts, were dramatic. A third of all passenger services and more than 4,000 of the 7,000 stations would close. Beeching, who is thought to have been the author of most of the report, set out some dire figures. One third of the network was carrying just 1% of the traffic. Of the 18,000 passenger coaches, 6,000 were said to be used only 18 times a year or less. Although maintaining them cost between £3million and £4million a year, they earned only about £0.5million.
Most of the closures were carried out between 1963 and 1970 (including some which were not listed in the report), while other suggested closures were not carried out. The closures were heavily criticised at the time. A small number of stations and lines closed under the Beeching programme have been reopened, with further reopenings proposed.
A second Beeching report, "The Development of the Major Trunk Routes", followed in 1965. This did not recommend closures as such but outlined a "network for development". The fate of the rest of the network was not discussed in the report.
Post-Beeching
The basis for calculating passenger fares changed in 1964. In future, fares on some routes—such as rural, holiday and commuter services—would be set at a higher level than on other routes; previously, fares had been calculated using a simple rate for the distance travelled, which at the time was 3d per mile second class, and 4½d per mile first class (equivalent to £ and £ respectively, in ).
In 1966, a "Whites only" recruitment policy for guards at Euston station agreed between the local union branch and station management was dropped after the case of Asquith Xavier, a migrant from Dominica, who had been refused promotion on those grounds, was raised in Parliament and taken up by the then Secretary of State for Transport, Barbara Castle.
Passenger levels decreased steadily from 1962 to the late 1970s, and reached a low in 1982. Network improvements included completing electrification of the Great Eastern Main Line from London to Norwich between 1976 and 1986 and the East Coast Main Line from London to Edinburgh between 1985 and 1990. A mainline route closure during this period of relative network stability was the -electrified Woodhead line between Manchester and Sheffield: passenger service ceased in 1970 and goods in 1981.
The 1980s and 1990s saw the closure of some railways which had survived the Beeching cuts a generation earlier but which had seen passenger services withdrawn. This included the bulk of the Chester and Connah's Quay Railway in 1992, the Brierley Hill to Walsall section of the South Staffordshire line in 1993, while the Birmingham to Wolverhampton section of the Great Western Railway was closed in three phases between 1972 and 1992.
A further British Rail report from a committee chaired by Sir David Serpell was published in 1983. The Serpell Report made no recommendations as such but did set out various options for the network, including, at their most extreme, a skeletal system of less than 2,000routekm (1,240miles). This report was not welcomed, and the government decided to quietly leave it on the shelf. Meanwhile, BR was gradually reorganised, with the regional structure finally being abolished and replaced with business-led sectors. This process, known as "sectorisation", led to far greater customer focus on the dedicated sectors.
Transport Act 1968
Following the election of Labour in 1964, on a platform of revising many of the cuts, Tom Fraser instead authorised the closure 1,071 mi of railway lines, following the recommendations from the Beeching Report even lines not considered closing. After he resigned in 1967, his replacement Barbara Castle continued the line and station closures but introduced the first Government rail subsidies for socially necessary but unprofitable railways in the Transport Act 1968. Part of these provisions was the creation of a passenger transport executive or PTE within larger metropolitan areas. Prior to this, public transport was run by individual local authorities and private companies, with little co-ordination. The PTEs took over the responsibility (but not ownership) of managing local rail networks.
The 1968 Act created five new bodies. These were:
West Midlands PTE on 1 October 1969
SELNEC PTE (South East Lancashire & North East Cheshire) on 1 November 1969 (now Greater Manchester)
Merseyside PTE on 1 December 1969 (now Liverpool City Region)
Tyneside PTE on 1 January 1970 (now Tyne and Wear)
Greater Glasgow PTE on 1 June 1973 (now Strathclyde)
This was the first real subdivision of BR since its inception in 1949, and likely saved many lines earmarked for closure, notably the Liverpool, Crosby and Southport Railway, which now forms part of the Merseyrail network.
Sectorisation
Upon sectorisation in 1982, three passenger sectors were created: InterCity, operating principal express services; London & South East (renamed Network SouthEast in 1986) operating commuter services in the London area; Provincial (renamed Regional Railways in 1989) responsible for all other passenger services. In the metropolitan counties local services were managed by the Passenger Transport Executives. Provincial was the most subsidised (per passenger km) of the three sectors; upon formation, its costs were four times its revenue. During the 1980s British Rail ran the Rail Riders membership club aimed at 5- to 15-year-olds.
Because British Railways was such a large operation, running not just railways but also ferries, steamships and hotels, it has been considered difficult to analyse the effects of nationalisation.
Prices rose quickly in this period, rising 108% in real terms from 1979 to 1994, as prices rose by 262% but RPI only increased by 154% in the same time.
Branding
Pre-1960s
Following nationalisation in 1948, British Railways began to adapt the corporate liveries on the rolling stock it had inherited from its predecessor railway companies. Initially, an express blue (followed by GWR-style Brunswick green in 1952) was used on passenger locomotives, and LNWR-style lined black for mixed-traffic locomotives, but later green was more widely adopted.
Development of a corporate identity for the organisation was hampered by the competing ambitions of the British Transport Commission and the Railway Executive. The Executive attempted to introduce a modern Art Deco-style curved logo, which could also serve as the standard for station signage totems. BR eventually adopted the common branding of the BTC as its first corporate logo, a lion astride a spoked wheel, designed for the BTC by Cecil Thomas; on the bar overlaid across the wheel, the BTC's name was replaced with the words "British Railways". This logo, nicknamed the "Cycling Lion", was applied from 1948 to 1956 to the sides of locomotives, while the oval style was adopted for station signs across Great Britain, each coloured according to the appropriate BR region, using the Gill Sans font first adopted by LNER in 1923.
In 1956, the BTC was granted a heraldic achievement by the College of Arms and the Lord Lyon, and then BTC chairman Brian Robertson wanted a grander logo for the railways. BR's second corporate logo (1956–1965), designed in consultation with Charles Franklyn, adapted the original, depicting a rampant lion emerging from a heraldic crown and holding a spoked wheel, all enclosed in a roundel with the "British Railways" name displayed across a bar on either side. This emblem soon acquired the nickname of the "Ferret and Dartboard". A variant of the logo with the name in a circle was also used on locomotives.
1960s
The zeal for modernisation in the Beeching era drove the next rebranding exercise, and BR management wished to divest the organisation of anachronistic, heraldic motifs and develop a corporate identity to rival that of London Transport. BR's design panel set up a working party led by Milner Gray of the Design Research Unit. They drew up a Corporate Identity Manual which established a coherent brand and design standard for the whole organisation, specifying Rail Blue and pearl grey as the standard colour scheme for all rolling stock; Rail Alphabet as the standard corporate typeface, designed by Jock Kinneir and Margaret Calvert; and introducing the now-iconic corporate Identity Symbol of the Double Arrow logo. Designed by Gerald Barney (also of the DRU), this arrow device was formed of two interlocked arrows across two parallel lines, symbolising a double-track railway. It was likened to a bolt of lightning or barbed wire, and also acquired a nickname: "the arrow of indecision". A mirror image of the double arrow was used on the port side of BR-owned Sealink ferry funnels. The new BR corporate identity and Double Arrow were rolled out in 1965, and the brand name of the organisation was truncated to "British Rail". It is now employed as a generic symbol on street signs in Great Britain denoting railway stations, and is still printed on railway tickets as part of the Rail Delivery Group's jointly managed National Rail brand.
Post-1960s
The uniformity of BR branding continued until the process of sectorisation was introduced in the 1980s. Certain BR operations such as Inter-City, Network SouthEast, Regional Railways or Rail Express Systems began to adopt their own identities, introducing logos and colour schemes which were essentially variants of the British Rail brand. Eventually, as sectorisation developed into a prelude to privatisation, the unified British Rail brand disappeared, with the notable exception of the Double Arrow symbol, which has survived to this day and serves as a generic trademark to denote railway services across Great Britain. The BR Corporate Identity Manual is noted as a piece of British design history and there are plans for it to be re-published.
Network
Regions
With its creation in 1948, British Railways was divided into regions which were initially based on the areas the former Big Four operated in; later, several lines were transferred between regions. Notably, these included the former Great Central lines from the Eastern Region to the London Midland Region, and the West of England Main Line from the Southern Region to Western Region
Southern Region: former Southern Railway lines.
Western Region: former Great Western Railway lines.
London Midland Region: former London, Midland and Scottish Railway lines in England and Wales.
Eastern Region: former London and North Eastern Railway lines south of York.
Anglia Region: split from Eastern Region in 1988.
North Eastern Region: former London and North Eastern Railway lines in England north of York.
Scottish Region: all lines, regardless of the original company, in Scotland.
The North Eastern Region was merged with the Eastern Region in 1967.
Sectorisation
In 1982, the regions were abolished as the service provider (but retained for administration) and replaced by "business sectors", a process known as sectorisation.
The passenger sectors were (by the early 1990s):
InterCity (express services).
Caledonian sleeper services (Night train services) (later transferred to ScotRail).
Gatwick Express (express service to/from Gatwick Airport)
Network SouthEast (London commuter services).
Regional Railways (regional services).
Alphaline (enhanced regional express passenger services) (Added in 1994)
ScotRail (regional and sub-intercity services in Scotland).
TransPennine Express (sub-intercity services in the North).
In addition, the non-passenger sectors were:
Trainload Freight took trainload freight.
Railfreight Distribution took non-trainload freight.
Freightliner took intermodal traffic.
Rail Express Systems took parcels traffic.
The maintenance and remaining engineering works were split off into a new company, British Rail Maintenance Limited. The new sectors were further subdivided into divisions.
This ended the BR blue period as new liveries were adopted gradually. Infrastructure remained the responsibility of the regions until the "Organisation for Quality" initiative in 1991 when this too was transferred to the sectors. The Anglia Region was created in late 1987, its first General Manager being John Edmonds, who began his appointment on 19 October 1987. Full separation from the Eastern Region – apart from engineering design needs – occurred on 29 April 1988. It handled the services from and , its western boundary being , and .
The former BR network, with the trunk routes of the West Coast Main Line, East Coast Main Line, Great Western Main Line, Great Eastern Main Line and Midland Main Line, and other lines.
Security
Policing on (and within) the network was carried out British Transport Police (BTP). In 1947 the Transport Act created the British Transport Commission (BTC), which unified the railway system. On 1 January 1949, the British Transport Commission Police (BTCP) were created, formed from the four old railway police forces, the London Transport Police, canal police and several minor dock forces. In 1957 the Maxwell-Johnson enquiry found that policing requirements for the railway could not be met by civil forces and that it was essential that a specialist police force be retained. On 1 January 1962, the British Transport Commission Police ceased to cover British Waterways property and exactly a year later when the BTC was abolished the name of the force was amended to the British Transport Police. This name and its role within policing on the rail network was continued post-1994.
Finances
Despite its nationalisation in 1947 "as one of the 'commanding heights' of the economy", according to some sources British Rail was not profitable for most (if not all) of its history. Newspapers reported that as recently as the 1990s, public rail subsidy was counted as profit; as early as 1961, British Railways were losing £300,000 a day.
Although the company was considered the sole public-transport option in many rural areas, the Beeching cuts made buses the only public transport available in some rural areas. Despite increases in traffic congestion and road fuel prices beginning to rise in the 1990s, British Rail remained unprofitable. Following sectorisation, InterCity became profitable. InterCity became one of Britain's top 150 companies, providing city centre to city centre travel across the nation from Aberdeen and Inverness in the north to Poole and Penzance in the south.
Investment
In 1979 the incoming Conservative Government led by Margaret Thatcher was viewed as anti-railway, and did not want to commit public money to the railways. However, British Rail was allowed to spend its own money with government approval. This led to a number of electrification projects being given the go-ahead, including the East Coast Main Line, the spur from Doncaster to Leeds, and the lines in East Anglia out of London Liverpool Street to Norwich and King's Lynn. The list with approximate completion dates includes:
St Pancras – Bedford 1981–83
Rock Ferry – Hooton 1985
Hitchin – Leeds 1985–88
Colchester – Norwich 1986
Bishops Stortford – Cambridge 1987
Watford Junction – St Albans Abbey 1988
Royston – Cambridge 1988
Snow Hill Tunnel as part of Thameslink project 1988
Doncaster – York 1989
Airdrie – Drumgelloch 1989
York – Edinburgh Waverley (and the spur to North Berwick) 1991
Carstairs – Edinburgh Waverley 1991
Cambridge – King's Lynn 1992
Hooton – Ellesmere Port and Chester 1993–94
London Paddington – Heathrow Airport 1993–98
Leeds and Bradford Forster Square – Skipton and Ilkley 1994
In the Southwest, the South West Main Line from Bournemouth to Weymouth was electrified along with other infill third rail electrification in the south. In 1988, the line to Aberdare was reopened. A British Rail advertisement ("Britain's Railway", directed by Hugh Hudson) featured some of the best-known railway structures in Britain, including the Forth Rail Bridge, Royal Albert Bridge, Glenfinnan Viaduct and London Paddington station. London Liverpool Street station was rebuilt, opened by Queen Elizabeth II, and a new station was constructed at Stansted Airport in 1991. The following year, the Maesteg line was reopened. In 1988, the Windsor Link Line, Manchester was constructed and has proven to be an important piece of infrastructure.
APTIS ticket
Before the introduction of APTIS (Accountancy and Passenger Ticket Issuing System), British Rail used the Edmondson railway ticket, first introduced in the 1840s and phased out in the early 1970s. Tickets issued from British Rail's APTIS system had a considerable amount of information presented in a consistent, standard format. The design for all tickets was created by Colin Goodall. This format has formed the basis for all subsequent ticket issuing systems introduced on the railway network – ticket-office-based, self-service and conductor-operated machines alike. APTIS survived in widespread use for twenty years but, in the early 2000s, was largely replaced by more modern PC-based ticketing systems. Some APTIS machines in the Greater London area were modified as APTIS-ANT (with no obvious difference to the ticket issued) to make them Oyster card compatible. The last APTIS machines were removed at the end of 2006 as there was no option to upgrade them to accept Chip and PIN credit card payments. The last APTIS-ANT ticket to be issued in the UK using one of the machines was at Upminster station on 21 March 2007.
Before the rail network was privatised, British Rail introduced several discount cards through the APTIS that were available to certain demographics, issued either by National or Regional schemes:
16–25 Railcard
The Network Railcard, introduced in 1986 by British Rail upon the creation of their Network SouthEast sector in parts of Southern England
Disabled Persons Railcard, introduced in 1981 to coincide with the International Year of Disabled Persons.
Senior Railcard, introduced in 1970.
Privatisation
In 1989, the narrow-gauge Vale of Rheidol Railway was preserved, becoming the first part of British Rail to be privatised.
Between 1994 and 1997, British Rail was privatised. Ownership of the track and infrastructure passed to Railtrack on 1 April 1994. Passenger operations were later franchised to 25 private-sector operators. Of the six freight companies, five were sold to Wisconsin Central to form EWS while Freightliner was sold in a management buyout.
The Waterloo & City line, part of Network SouthEast, was not included in the privatisation and was transferred to London Underground in April 1994. The remaining obligations of British Rail were transferred to BRB (Residuary) Limited.
The privatisation, proposed by the Conservative government in 1992, was opposed by the Labour Party and the rail unions. Although Labour initially proposed to reverse privatisation, the New Labour manifesto of 1997 instead opposed Conservative plans to privatise the London Underground. Rail unions have historically opposed privatisation, but former Associated Society of Locomotive Engineers and Firemen general secretary Lew Adams moved to work for Virgin Rail Group, and said on a 2004 radio phone-in programme: "All the time it was in the public sector, all we got were cuts, cuts, cuts. And today, there are more members in the trade union, more train drivers, and more trains running. The reality is that it worked, we’ve protected jobs, and we got more jobs."
The privatisation process began when BR's passenger sectors were divided into 25 shadow franchises – these were publicly owned TOCs operating in the planned franchise areas prior to the actual franchises being put to tender:
The opening of the Channel Tunnel saw operations by Eurostar International begin from Waterloo International railway station to Paris and Brussels.
Accidents and incidents
Preserved lines
The narrow-gauge Vale of Rheidol Railway in Ceredigion, Wales, became part of British Railways at nationalisation. Although built as a working railway, in 1948 the line was principally a tourist attraction. British Rail operated the line using steam locomotives long after the withdrawal of standard-gauge steam. The line's three steam locomotives were the only ones to receive TOPS serial numbers and be painted in BR Rail Blue livery with the double arrow logo. The Vale of Rheidol Railway was privatised in 1989 and continues to operate as a private heritage railway.
Other preserved lines, or heritage railways, have reopened lines previously closed by British Rail. These range from picturesque rural branch lines like the Keighley and Worth Valley Railway to sections of mainline such as the Great Central Railway. Many have links to the National Rail network, both at station interchanges, for example, the Severn Valley Railway between and Kidderminster Town, and physical rail connections like the Watercress Line at .
Although most are operated solely as leisure amenities, some also provide educational resources, and a few have ambitions to restore commercial services over routes abandoned by the nationalised industry.
Marine services
Ships
British Railways operated ships from its formation in 1948 on several routes. Many ships were acquired on nationalisation, and others were built for operation by British Railways or its later subsidiary, Sealink. Those ships capable of carrying rail vehicles were classed under TOPS as Class 99.
Sealink
Sealink was originally the brand name for the ferry services of British Rail in the United Kingdom and Ireland. Services to France, Belgium, and the Netherlands were run by Sealink UK as part of the Sealink consortium, which also used ferries owned by French national railways (SNCF), the Belgian Maritime Transport Authority Regie voor Maritiem Transport/Regie des transports maritimes (RMT/RTM) and the Dutch Stoomvaart Maatschappij Zeeland (Zeeland Steamship Company).
Historically, the shipping services were exclusively an extension of the railways across the English Channel and the Irish Sea in order to provide through, integrated services to mainland Europe and Ireland. As international travel became more popular in the late 1960s and before air travel became generally affordable, the responsibility for shipping services was taken away from the British Rail Regions and, in 1969, centralised in a new division – British Rail Shipping and International Services Division.
With the advent of car ferry services, the old passenger-only ferries were gradually replaced by roll-on/roll-off ships, catering for motorists and rail passengers as well as road freight. However, given that there was now competition in the form of other ferry companies offering crossings to motorists, it became necessary to market the services in a normal business fashion (as opposed to the previous almost monopolistic situation). Thus, with the other partners mentioned above, the brand name Sealink was introduced for the consortium.
In the late 1960s, as demand for international rail travel declined and the shipping business became almost exclusively dependent on passenger and freight vehicle traffic, the ferry business was incorporated as Sealink UK Limited on 1 January 1979, a wholly owned subsidiary of the British Railways Board, but still part of the Sealink consortium. In 1979, Sealink acquired Manx Line, which offered services to the Isle of Man from Heysham.
On 27 July 1984, the UK Government sold Sealink UK to Sea Containers for £66million. The company was renamed Sealink British Ferries. The sale excluded the operations of Hoverspeed, the Isle of Wight services and the share in the Isle of Man Steam Packet Company, as well as the Port of Heysham. In 1996, the Sealink name disappeared when the UK services, by then owned by Stena, were re-branded as Stena Line. The agreement with the SNCF on the Dover to Calais route also ended at this time, and the French-run Sealink services were rebranded as SeaFrance.
Hovercraft
The joint hovercraft services of British Rail in association with the French SNCF. British Rail Hovercraft Limited was established in 1965, under authority given to it by the British Railways Act 1967 and started its first service in 1966. Sea speed started cross-Channel services from Dover to Calais and Boulogne-sur-Mer, France using SR-N4 hovercraft in August 1968.
British Rail Engineering Limited
Incorporated on 31 October 1969, British Rail Engineering Limited (BREL) was a wholly owned railway systems engineering subsidiary of the British Railways Board. Created through the Transport Act 1968, to manage BR's thirteen workshops, it replaced the British Rail Workshops Division, which had existed since 1948. The works managed by BREL were Ashford, Crewe, Derby Locomotive Works, Derby Litchurch Lane, Doncaster, Eastleigh, Glasgow, Horwich Foundry, Shildon, Swindon, Temple Mills, Wolverton and York. BREL began trading in January 1970. In 1989 BREL was sold to a consortium of Asea Brown Boveri and Trafalgar House.
Mark 2 carriages
A family of railway carriages designed and built by British Rail workshops (from 1969 British Rail Engineering Limited) between 1964 and 1975. They were of steel construction.
Advanced Passenger Train
In the 1970s, British Rail developed tilting train technology in the Advanced Passenger Train; there had been earlier experiments and prototypes in other countries, notably Italy. The objective of the tilt was to minimise the discomfort to passengers caused by taking the curves of the West Coast Main Line at high speed. The APT also had hydrokinetic brakes, which enabled the train to stop from 150 mph within existing signal spacings.
The introduction into service of the Advanced Passenger Train was to be a three-stage project. Phase 1, the development of an experimental APT (APT-E), was completed. This used a gas turbine-electric locomotive, the only multiple unit so powered that was used by British Rail. It was formed of two power cars (numbers PC1 and PC2), initially with nothing between them and later, two trailer cars (TC1 and TC2). The cars were made of aluminium to reduce the weight of the unit and were articulated. The gas turbine was dropped from development due to excessive noise and the high fuel costs of the late 1970s. The APT-E first ran on 25 July 1971. The train drivers' union, ASLEF, black-listed the train due to its use of a single driver. The train was moved to Derby (with the aid of a locomotive inspector). This triggered a one-day strike by ASLEF that cost BR more than the research budget for the entire year.
Phase 2, the introduction of three prototype trains (APT-P) into revenue service on the Glasgow – London Euston route, did occur. Originally, there were to have been eight APT-P sets running, with minimal differences between them and the main fleet. However, financial constraints led to only three being authorised after two years of discussion by the British Railways Board. The cost was split equally between the Board and the Ministry of Transport. After these delays, considerable pressure grew to put the APT-P into revenue-service before they were fully ready. This inevitably led to high-profile failures as a result of technical problems.
These failures led to the trains being withdrawn from service while the problems were ironed out. However, by this time, managerial and political support had evaporated. Consequently, phase 3, the introduction of the Squadron fleet (APT-S), did not occur, and the project ended in 1982.
Although the APT never properly entered service, the experience gained enabled the construction of other high-speed trains. The APT powercar technology was imported without the tilt into the design of the Class 91 locomotives, and the tilting technology was incorporated into Italian State Railway's Pendolino trains, which first entered service in 1987.
InterCity 125
The InterCity 125, or High-Speed Train, was a diesel-powered passenger train built by British Rail Engineering Limited between 1975 and 1982 that was credited with saving British Rail. Each set is made up of two Class 43 power cars, one at each end and four to nine Mark 3 carriages. The name is derived from its top operational speed of .
The prototype InterCity 125 (power cars 43000 and 43001) set the world speed record for diesel traction at on 12 June 1973. This was succeeded by a production set reaching in November 1987.
Sprinters
By the early 1980s British Rail operated a large fleet of first generation DMUs, which had been constructed in prior decades to various designs. While formulating its long-term strategy for this sector of its operations, British Rail planners recognised that there would be considerable costs incurred by undertaking refurbishment programmes necessary for the continued use of these ageing multiple units, particularly due to the necessity of handling and removing hazardous materials such as asbestos. In light of the high costs involved in retention, planners examined the prospects for the development and introduction of a new generation of DMUs to succeed the first generation.
In 1984/1985, two experimental DMU designs were put into service: the British Rail Engineering Limited built Class 150 and Metro-Cammell built Class 151. Both of these used hydraulic transmission and were less bus-like than the Pacers. After trials, Class 150 was selected for production, entering service from 1987. Reliability was much improved by the new units, with depot visits being reduced from two or three times a week to fortnightly.
The late 1980s and early 1990s also saw the development of secondary express services that complemented the mainline Intercity routes. Class 155 and Class 156 Sprinters were developed to replace locomotive-hauled trains on these services, their interiors being designed with longer distance journeys in mind. Key Scottish and Trans-Pennine routes were upgraded with new Class 158 Express Sprinters, while a network of 'Alphaline' services was introduced elsewhere in the country.
By the end of the 1980s, passenger numbers had increased and costs had been reduced to two-and-a-half times revenue.
Successor companies
Under the process of British Rail's privatisation, operations were split into 125 companies between 1994 and 1997. The ownership and operation of the infrastructure of the railway system was taken over by Railtrack. The telecommunications infrastructure and British Rail Telecommunications was sold to Racal, which in turn was sold to Global Crossing and merged with Thales Group. The rolling stock was transferred to three private rolling stock companies (ROSCOs); Angel Trains, Eversholt Rail Group and Porterbrook. Passenger services were divided into 25 operating companies, which were let on a franchise basis for a set period, whilst freight services were sold off completely. Dozens of smaller engineering and maintenance companies were also created and sold off.
British Rail's passenger services came to an end upon the franchising of ScotRail with the last service being a Caledonian Sleeper service from Glasgow and Edinburgh to London on 31 March 1997. The final service it operated was a Railfreight Distribution freight train from Dollands Moor to Wembley on 20 November 1997. The British Railways Board continued in existence as a corporation until early 2001, when it was replaced by the Strategic Rail Authority as part of the implementation of the Transport Act 2000.
The original passenger franchisees were:
Anglia Railways
Arriva Trains Merseyside
Arriva Trains Northern
Central Trains
Chiltern Railways
Connex South Central
Connex South Eastern
c2c
First Great Eastern
First Great Western
First North Western
Gatwick Express
GNER
Island Line
Midland Mainline
ScotRail
Silverlink
South West Trains
Thames Trains
Thameslink
Valley Lines
Virgin CrossCountry
Virgin Trains West Coast
WAGN
Wales & West
Future
Since privatisation, many groups have campaigned for the renationalisation of UK Rail services, most notably 'Bring Back British Rail'. Various interested parties also have views on the privatisation of British Rail.
The renationalisation of the railways of Britain continues to have popular support. Polls in 2012 and 2013 showed 70% and 66% support for renationalisation, respectively.
Due to rail franchises sometimes lasting over a decade, full renationalisation would take years unless compensation was paid to terminate contracts early.
When the infrastructure-owning company Railtrack ceased trading in 2002, the Labour government set up the not-for-dividend company Network Rail to take over the duties rather than renationalise this part of the network. However, in September 2014, Network Rail was reclassified as a central government body, adding around £34 billion to public sector net debt. This reclassification had been requested by the Office for Budget Responsibility to comply with pan-European accounting standard ESA10.
The Green party has committed to bringing the railways 'back into public ownership' and has maintained this impetus when other parties argued to maintain the status quo. In 2016, Green MP, Caroline Lucas, put forward a Bill that would have seen the rail network fall back into public ownership step by step, as franchises come up for expiry.
Under Jeremy Corbyn (2015–2020), the Labour Party pledged to gradually renationalise British Rail franchises if elected, as and when their private contracts expire, creating a "People's Railway". In a pledge during his successful leadership campaign to succeed Corbyn, Keir Starmer said that renationalising rail would remain as Labour Party policy under his leadership. Following the COVID-19 pandemic decimating franchise revenues and making them unviable, in 2021 the government announced it would take back responsibility for the operations of passenger services through Great British Railways with service provision to be contracted to private operators.
Parodies
In 1989, the ITV sketch show Spitting Image parodied Hugh Hudson's 1988 British Rail, Britain's Railway advert on the plans of the then Conservative British Government to privatise the railways featuring many of the show's puppets (including the show's portrayal of Prime Minister Margaret Thatcher), numerous BR trains and landmarks and even a cardboard cutout of Thomas the Tank Engine.
See also
History
History of rail transport in Great Britain
Impact of the privatisation of British Rail
Divisions, brands and liveries
British Rail brand names
British Rail corporate liveries
List of companies operating trains in the United Kingdom
Classification and numbering schemes
British carriage and wagon numbering and classification
British Rail locomotive and multiple unit numbering and classification
List of British Rail classes
Rolling stock
List of British Railways steam locomotives as of 31 December 1967
List of LMS locomotives as of 31 December 1947
List of LNER locomotives as of 31 December 1947
Other
British Rail flying saucer
British Rail sandwich
British Transport Films
British Transport Police
Channel Tunnel
National Association of Railway Clubs
Rail transport in Great Britain
The wrong type of snow
References
Further reading
, on nationalization 1945–50, pp 236–83
Smith, Lewis Charles. "Marketing modernity: Business and family in British Rail’s “Age of the Train” campaign, 1979–84." The Journal of Transport History 40.3 (2019): 363–394.
External links
British Railways Board history
BRB (Residuary) Ltd.
Catalogue of the BR Technical Research Department archives, held at the Modern Records Centre, University of Warwick
British companies established in 1948
Defunct railway companies of the United Kingdom
Former nationalised industries of the United Kingdom
Railway companies established in 1948
Railway companies disestablished in 1997
1948 establishments in the United Kingdom
1997 disestablishments in the United Kingdom | 13 |
Big Brother is a Dutch reality competition television franchise created by John de Mol Jr., first broadcast in the Netherlands in 1999 and subsequently syndicated internationally. The show features contestants called "housemates" or "HouseGuests" who live together in a specially constructed house that is isolated from the outside world. The name is inspired by Big Brother from George Orwell's novel Nineteen Eighty-Four, and the housemates are continuously monitored during their stay in the house by live television cameras as well as personal audio microphones. Throughout the course of the competition, they are voted out (usually on a weekly basis) until only one remains and wins the cash prize.
, there have been 508 seasons of Big Brother in over 63 franchise countries and regions. English-language editions of the program are often referred to by its initials "BB". The title of many Spanish-language editions of the program is translated as Gran Hermano (GH).
Premise
At regular intervals, the housemates privately nominate a number of their fellow housemates whom they wish to be evicted from the house. The housemates with the most nominations are then announced, and viewers are given the opportunity to vote via telephone for the nominee they wish to be evicted or saved from eviction. The last person remaining is declared the winner.
Some more recent editions have since included additional methods of voting, such as voting through social media and smartphone applications. Occasionally, non-standard votes occur, where two houseguests are evicted at once or no one is voted out. In the earlier series of Big Brother, there were 10 contestants with evictions every two weeks. However, the UK version introduced a larger number of contestants with weekly evictions. Most versions of Big Brother follow the weekly eviction format, broadcast over approximately three months for 16 contestants.
The contestants are required to do housework and are assigned tasks by the producers of the show (who communicate with the housemates via the omnipresent authority figure known to them only as "Big Brother"). The tasks are designed to test their teamwork abilities and community spirit. In some countries, the housemates' shopping budget or weekly allowance (to buy food and other essentials) depends on the outcome of assigned tasks.
History
Name
The term Big Brother originates from George Orwell's novel Nineteen Eighty-Four, with its theme of continuous oppressive surveillance. The program also relies on other techniques, such as a stripped back-to-basic environment, evictions, weekly tasks and competitions set by Big Brother, and the "Diary Room" (or "Confession Room") where housemates convey their private thoughts to the camera and reveal their nominees for eviction.
Creation
The first version of Big Brother was broadcast in 1999 on Veronica in the Netherlands. In the first season of Big Brother, the house was very basic. Although essential amenities such as running water, furniture, and a limited ration of food were provided, luxury items were often forbidden. This added a survivalist element to the show, increasing the potential for social tension. Nearly all later series provide a modern house for the contest with a Jacuzzi, sauna, VIP suite, loft, and other luxuries.
International expansion
The format has become an international TV franchise. While each country or region has its own variation, the common theme is that the contestants are confined to the house and have their every action recorded by cameras and microphones and that no contact with the outside world is permitted.
Most international versions of the show remain quite similar to each other: their main format remains true to the original fly on the wall observational style with the emphasis on human relationships, to the extent that contestants usually are forbidden from discussing nominations or voting strategy. In 2001, the American version adopted a different format since the second season, where the contestants are encouraged to strategize to advance in the game; in this format, the contestants themselves vote to evict each other. Big Brother Canada, introduced in 2013, also follows the American format. In 2011, the UK version controversially adopted the discussion of nominations before reversing this rule after a poll by Big Brother broadcaster Channel 5. The Australian series also used an American-styled format when the series was rebooted in 2020.
Reception
Overview
From a sociological and demographic perspective, Big Brother allows an analysis of how people react when forced into close confinement with people outside of their comfort zone (having different opinions or ideals, or from a different socioeconomic group). The viewer has the opportunity to see how a person reacts from the outside (through the constant recording of their actions) and the inside (in the Diary or Confession Room). The Diary Room is where contestants can privately express their feelings about the game, strategy and the other contestants. The results range from violent or angry confrontations to genuine and tender connections (often including romantic interludes).
The show is notable for involving the Internet. Although the show typically broadcasts daily updates during the evening (sometimes criticized by viewers and former contestants for heavy editing by producers), viewers can also watch a continuous feed from multiple cameras on the Web in most countries. These websites were successful, even after some national series began charging for access to the video stream. In some countries, Internet broadcasting was supplemented by updates via email, WAP and SMS. The house is shown live on satellite television, although in some countries there is a 10–15 minutes delay to allow libelous or unacceptable content (such as references to people not participating in the program who have not consented to have personal information broadcast) to be removed.
Contestants occasionally develop sexual relationships; the level of sexual explicitness allowed to be shown in broadcast and Internet-feed varies according to the country's broadcasting standards.
Isolation
Big Brother contestants are isolated in the house, without access to television, radio, or the Internet. They are not permitted routine communication with the outside world. This was an important issue for most earlier series of the show. In more-recent series, contestants are occasionally allowed to view televised events (usually as a reward for winning at a task). In most versions of the program, books and writing materials are also forbidden, although exceptions are sometimes made for religious materials such as the Bible, Tanakh or the Qur'an. Some versions ban all writing implements, even items that can be used to write (such as lipstick or eyeliner). Despite the housemates' isolation, some contestants are occasionally allowed to leave the house as part of tasks. Contestants are permitted to leave the house in an emergency.
News from the outside world may occasionally be given as a reward. Additionally, news of extraordinary events from the outside world may be given to the Housemates if such information is considered important, such notable past examples include that of national election results, (along with Housemates being able participate in said elections, for countries with compulsory voting) the September 11 attacks, and the COVID-19 pandemic.
Contestants have regularly-scheduled interactions with the show's host on eviction nights. Throughout each day, the program's producer, in the "Big Brother" voice, issues directives and commands to contestants. Some versions of the show allow private counselling sessions with a psychologist. These are allowed at any time and are often conducted by telephone from the Diary Room.
Format changes and twists
Regional versions
Due to the intelligibility of certain languages across several nations, it has been possible to make regional versions of Big Brother. All of these follow the normal Big Brother rules, except that contestants must come from each of the countries in the region where it airs: Big Brother Albania of Albania and Kosovo, Big Brother Angola e Moçambique of Angola and Mozambique, Big Brother Africa of Africa (includes Angola, Botswana, Ethiopia, Ghana, Kenya, Liberia, Malawi, Mozambique, Namibia, Nigeria, Rwanda, Sierra Leone, South Africa, Tanzania, Uganda, Zambia and Zimbabwe), Big Brother: الرئيس of the Middle East (includes Bahrain, Egypt, Iraq, Jordan, Kuwait, Lebanon, Oman, Saudi Arabia, Somalia, Syria and Tunisia), Gran Hermano del Pacífico of South America (includes Chile, Ecuador and Peru), Big Brother of Scandinavia (includes Norway and Sweden) and Veliki brat of the Balkans (includes Serbia, Montenegro, Croatia, Bosnia and Herzegovina and North Macedonia). The British version of the show previously accepted Irish applicants, however the terms and conditions of ITV2's reboot state you must reside in the UK.
On the other hand, some countries have multiple franchises based on language. Bigg Boss of India has the most regional-based versions Hindi, Marathi, Tamil, Bengali, Telugu, Kannada and Malayalam language versions; Canada has French- and English-language versions; and the United States has English- and Spanish-language versions of the show.
Moreover, Tamasha, a popular Pakistani reality show, has recently made headlines as the newest addition to the esteemed Big Brother franchise. Initially produced by ARY Digital, a renowned Pakistani TV channel, the reality show's first season garnered significant success and audience engagement, with its different twists and tasks being the main concept of the show. Building on its triumph, the show's second season has taken a groundbreaking leap by officially adapting the original format of Big Brother. As of now, it stands as the sole franchise of the Big Brother format in Pakistan, with the show being conducted exclusively in the Urdu language.
Twists involving single franchises
Multiple areas and houses
In 2001, Big Brother 3 of the Netherlands introduced the "Rich and Poor" concept, in which the house is separated into a luxurious half and a poor half and two teams of housemates compete for a place in the luxurious half. The Dutch version continued this concept to the end of its fourth season. Other versions later followed and introduced a similar concept, of which some have their own twists: Africa (in 2010, 2011, 2012 and 2013), Albania (in 2007), Australia (in 2003 and 2013), Balkan States (in VIP 2010 and 2011), Brazil (2009–present), Canada (2013–present), Denmark (in 2003), Finland (in 2009 and 2014), France (in 2009, 2011–2017), Germany (in 2003, 2004–05, 2005–06, 2008, 2008–09 and since Celebrity 2014), Greece (in 2003), India (in 2012 and 2013), Israel (in 2009), Italy (in 2006 and 2007), Norway (in 2003), Philippines (in 2009, Teen 2010 and 2011), Poland (in 2002), Portugal (in VIP 2013 and 2016), Slovakia (in 2005), Slovenia (in 2008, 2015 and 2016), Scandinavia (in 2005), South Africa (in 2014), Spain (in VIP 2004, 2008, 2009–10 and 2010), United Kingdom (in 2002, Celebrity 2007, 2008, Celebrity 2013 and 2016) and United States (2009–present).
In 2011–12, the seventh Argentine series added La Casa de al Lado ("The House Next Door"), a smaller, more luxurious house which served multiple functions. The first week it hosted 4 potential housemates, and the public voted for two of them to enter the main house. The second week, two pairs of twins competed in the same fashion, with only one pair allowed in. Later, the 3rd, 4th and 5th evicted contestants were given the choice of staying on their way out and they competed for the public's vote to reenter the house. Months later, after one of the contestants left the house voluntarily, the House Next Door reopened for four contestants who wanted to reenter and had not been in such a playoff before. The House Next Door was also used in other occasions to accommodate contestants from the main house for limited periods of time, especially to have more privacy (which of course could be seen by the public).
The ninth Brazilian season featured the "Bubble": a glass house in a shopping mall in Rio de Janeiro where four potential housemates lived for a week. Later in the season, a bubble was built inside the Big Brother house, with another two housemates living in it for a week until they were voted in and the glass house dismantled. The Glass House was reused in the eleventh season, featuring five evicted housemates competing for a chance to join the house again, and in the thirteenth season, with six potential housemates competing for two places in the main house. A dividing wall from the ninth season was reused in the fourteenth Brazilian season, when mothers and aunts of the housemates entered for International Women's Day and stayed in the house for 6 days, though they could not be seen by the housemates. Every season brings back the glass house. Some editions also featured an all-white panic room, where contestants were held until one of them decided to quit the show.
In the fourth English-Canadian season, two house guests were evicted and moved into a special suite where they were able to watch the remaining house guests. A week later, the houseguests were required to unanimously decide which of them to bring back into the house.
Evil Big Brother
In 2004, the fifth UK series introduced a villainous Big Brother with harsher punishments, such as taking away prize money, more difficult tasks and secret tricks. This concept has also been used in Australia, Belgium, Bulgaria, Croatia, Finland, Germany, Greece, Italy, the Netherlands, South America, Scandinavia, Serbia, Spain, Thailand, Philippines and Mexico.
Twin or triplet housemates
In 2004, the fifth US season introduced twins who were tasked with secretly switching back and forth in the house; they were allowed to play the game as individual house guests after succeeding at the deception for four weeks. This twist was reused in the seventeenth US season without the deception element – the pair simply needed to survive five weeks without being evicted. HouseGuests who discovered this twist could use the twins to their strategic advantage.
This twin or triplet twist was used in several countries. Some made modifications to this twist; others have had twins in the house together without this element of secrecy. The following are the countries that have featured twins or triplets: Australia (in 2005), Germany (in 2005–06), Brazil (in 2006 and 2015), Bulgaria (in 2006, 2012 and VIP 2017), United Kingdom (in 2007, Celebrity 2011, Celebrity 2012, 2013, 2015, 2016 and Celebrity 2017), France (in 2007, 2011, 2013, 2015 and 2016), Spain (in 2007 and 2013), Poland (in 2007 and 2019), India (in 2008), Africa (in 2009), Balkan Region (in 2009 and 2013), Philippines (in 2009, Teen 2012 and 2014), Portugal (in 2010 and 2012), Israel (in 2011), Ukraine (in 2011), Argentina (in 2011 and 2016), Albania (in 2013, 2017, Celebrity 2021-22 and Celebrity 2022-23), Greece (in 2020) and Kosovo (in Celebrity 2022-23).
Pairs competitions
Several versions of the program feature variations of the housemates competing in pairs:
In sixth American season, each HouseGuest had a secret partner with whom had a pre-existing relationship. While each player was nominated and evicted as an individual, each pair had the goal of reaching being the Final 2 HouseGuests remaining. Should a secret pair succeed in this goal, the prize money awarded to the winner and runner-up would jackpot – the winner's prize doubling from $500,000 to $1,000,000 and the runner-up's prize quintupling from $50,000 to $250,000.
During the tenth week of the seventh UK series, the housemates were paired with their "best friend" in the house and had to nominate and face eviction as couples.
The ninth American season added a romantic theme by pairing up the HouseGuests with their "Soulmate" and having them compete as couples. This twist was active for the first 3 weeks of the season.
The 13th American season featured a further twist to the pairs format by introducing the "Dynamic Duos" twist, where contestants formed pairs that would be nominated together but evicted separately. The nominee not evicted would be immune from further nomination until there were 10 HouseGuests remaining, at which point the pairs were dissolved.
The second season of the Philippine teen edition also featured the parents or guardians of the teens staying in the house; if a teen housemate was evicted, the coinciding parent or guardian would also be evicted. A similar twist was used on the fourth Greek season was dubbed "Big Mother"; it featured housemates accompanied by their mothers.
In the ninth season of Indian Big Brother, "Big Boss: Double Trouble", contestants entered the house tied up in pairs by the waist. They had joint chairs, beds, spoons, and even mugs. The twelfth season of Indian Big Brother "Bigg Boss 12" also featured jodis (pairs) who were Teacher-Student, Policeman-Lawyer, sister-sister, etc.
In the ninth Albania season, all the housemates wherever were in couples and for the first time in the history of Big Brother Albania, the winner was a couple (Danjel Dedndreaj and Fotini Derxho).
Secret missions
Secret missions are a common element of the show since their introduction during the sixth UK series. During these missions, one or more housemates are set a task from Big Brother with the reward of luxuries for the household and/or a personal reward if the task is successful. Some versions of Big Brother have secret tasks presented by another character who lives in plain sight of the housemate. Such characters include Marsha the Moose (from BB Canada) and Surly the Fish (from BB Australia).
The third Belgian season introduced a mole. This housemate was given secret missions by Big Brother.
The eighth US season introduced "America's Player", where a selected house guest must complete various tasks (determined by public vote) in secret for the duration of their stay in the house in exchange for a cash reward. It was repeated in the tenth US season for a week. The eleventh US season featured Pandora's Box, in which the winning head of household was tempted to open a box, with unintended consequences for the house. The twelfth US season featured a saboteur, who entered the house to wreak havoc with tasks suggested by viewers. The sixteenth US season featured "Team America", in which 3 houseguests were selected to work as a team to complete tasks (determined by public voting) for a cash reward; this continued for the entire season despite the eviction of a team member.
The fourth Argentine series added a telephone in the living room. This telephone rang once a week for ten seconds, and the person to pick up the receiver was given an order or news from Big Brother (which typically no other housemate could hear). The order could be beneficial or detrimental, but a refused order resulted in the nomination for eviction. If nobody picked up the call, the whole house would be nominated for eviction.
Opening night twists
Since Big Brother 2, the UK series has opened with a twist. This has included having potential Housemates being voted upon by the public for one to enter the house (Big Brother 2 & Big Brother 13); public voting for least-favourite housemates, with the housemates choosing between two nominees to evict (Big Brother 3); first-night nominations (Big Brother 4 & Big Brother 13); suitcase nominations (Big Brother 5); Unlucky Housemate 13 (Big Brother 6); Big Brother Hood (Big Brother 7); an all-female house and a set of twins as contestants (Big Brother 8); a couple entering as housemates, who must hide their relationship (Big Brother 9); housemates having to earn housemate status (Big Brother 10); a mole entering the house with an impossible task (Big Brother 11); Pamela Anderson entering as a guest for 5 days (Big Brother 12); a professional actor posing as a housemate and a mother and daughter as contestants (Big Brother 14); one contestant gets a pass to the final (Big Brother 15); first night eviction (Big Brother 16); two houses with "the other house" featuring enemies from the main house housemates past (Big Brother 17); Jackie Stallone entering a house containing her son's ex-wife Brigitte Nielsen (Celebrity Big Brother 3); a "fake celebrity" (a civilian contestant pretending to be a celebrity) in a celebrity edition (Celebrity Big Brother 4); a visit from Jade Goody's family (Celebrity Big Brother 5) and unlocked bedrooms allowing housemates to immediately claim beds with the last housemate becoming the Head of House (Celebrity Big Brother 6).
A common opening twist is to only introduce a cast of a single-sex on the premiere of the show while having members of the opposite sex introduced over the next few days. The eighth UK series first used this twist with an initial all-female house, adding a male housemate two days later. The same twist was used in the fourth Bulgarian series, and an all-male premiere was used on Big Brother Africa 4. The second Belgian season was used a similar twist in 2001, where eleven male housemates and one female housemate entered the house on launch night and the second female housemate entered the house on the third day.
Fake evictions
The fifth UK series introduced fake evictions, where Big Brother misleads housemates that eviction has taken place, only for the "evicted" housemate to reenter the house sometime later.
In the eighth UK series, one housemate was evicted, interviewed and sent back into the house.
In the fifth Philippine season, four housemates were fake-evicted and stayed in a place called bodega. In the second batch of the eight Philippine season, four housemates were fake-evicted due to losing their duel challenge and temporarily stayed in a secret room. In the adult edition of the tenth Philippine season, two housemates, and later three more, were fake-evicted after failing in two different Ligtask challenges and temporarily stayed in the task room until the end of their weekly task.
The concept of the fake-eviction was incorporated into the Australian series for the first time in the sixth Australian season, when housemates Camilla Severi and Anna Lind-Hansen were both fake-evicted in Day 8 and were moved into a secret room in the house, the Revenge Room. Severi and Lind-Hansen could see who nominated them for eviction and were given the opportunity to wreak havoc upon the house and those who nominated them by constructing extravagant tasks for the housemates to complete and for making mess in the house when they were not looking. Severi and Lind-Hansen returned to the house in a live special on Day 10. In the tenth Australian season, Benjamin Zabel was fake-evicted for 24 hours before being returned to the house with immunity from eviction for that week. In the eleventh Australian season Travis Lunardi was fake-evicted and received advice from Benjamin Zabel for 24 hours; Travis returned to the house after a 3-day absence with immunity from eviction for that week.
In the thirteenth Brazilian series, Anamara Barreira was fake-evicted. She was removed and put into a small private apartment without the other housemates knowing she was still in the house. After 24 hours, she returned to the house as Head of Household and with immunity from eviction that week. In the sixteenth Brazilian series, Ana Paula Renault was similarly fake-evicted, put into a small private apartment, and returned after 48 hours with immunity from eviction that week. In the eighteen Brazilian series, Gleici Damasceno was similarly fake-evicted, put into a small private apartment, and returned after 72 hours with immunity from eviction and with the power to put someone to eviction.
In the first Turkish series, there is a fake eviction in week 10.
The Indian version Bigg Boss sees frequent fake evictions. In Kannada Bigg Boss season 4, winner Pratham and co-contestant Malavika were kept in secret room after fake eviction for one week and they were both allowed in the Bigg Boss house.
Similarly in Kannada Bigg Boss season 5, firstly Jaya Srinivasan and Sameer Acharya were put into the secret room after fake eviction for one week and then Sameer Acharya was allowed into the house but Jaya Srinivasan was evicted from the secret room itself. In the same season, the runner up Divakar was put into the secret room after fake eviction for one week.
Coaches
The fourteenth US season had four house guests from past seasons return to coach twelve new house guests, playing for a separate prize of $100,000. However, in a reset twist, they opted to join the normal game alongside the other house guests.
Red button
The seventh Argentine series incorporated a red button into the Confession Room, which would sound an alarm throughout the house. This button was to be used when a contestant wanted to leave the house voluntarily, and the contestant would be given five minutes to leave the house. A red button is also used in Secret Story series, however, in this case whoever presses the button will try to guess someone's secret.
Legacy rewards or penalties
In Celebrity Hijack UK, evicted housemates were given the opportunity to choose if a "ninja" delivered good or bad gifts to the house. Later that year, the eighth Australian series introduced the Housemate Hand Grenade, where an evicted housemate decided which remaining housemate received a penalty. A similar punishment used on Big Brother Africa was called the Molotov Cocktail, Dagger or Fuse.
Most valuable player
The fifteenth US season allowed viewers to vote for a house guest to be made M.V.P., who then secretly nominates a third houseguest for eviction (in addition to the two selected by the Head of Household).
In a further twist introduced part-way through the MVP twist, the viewers themselves decided who the third nominee would be, with the HouseGuests still thinking one of their own is the MVP. Like many such twists, this was ended halfway into the season as the pool of contestants shrank.
Multiple heads of household
The sixteenth and seventeenth US seasons featured two Heads of Household every week and had four houseguests nominated for eviction. There was also a "Battle of the Block" competition where the two sets of nominees competed to save themselves; the winning pair not only saved themselves but dethroned the Head of Household who nominated them, who was then vulnerable as a replacement nominee if a veto was used. It is also used in specific weeks in Brazil since Big Brother Brasil 16 where the HOH's have to choose which HoH will get R$10,000 and who is the one that will win immunity.
America's Favorite HouseGuest
In the US version, each season there are three cash prizes: $750,000 for the winner, $75,000 for second, and $50,000 for who was voted by the viewers to be America's Favorite HouseGuest.
Multiple winners
In 2011, Big Brother Africa (season 6) was the first season of Big Brother to have two winners, each getting US$200,000.
In 2015, the sixth Philippine season, also had two winners; one from the teens and one from the regular adults. Each of which received PHP1,000,000.
Bigg Boss 8 (India) ended with a twist, where the top five contestants were crowned 'champions'. The season was extended by 35 days (total 135) as a spin-off called Bigg Boss Halla Bol, where ex-contestants from previous seasons entered the house to compete with the five champions.
Reserve housemates
The fourth Philippine season introduced the concept of having reserved housemates, those of whom are short-listed auditioners who were given a chance to be a housemate by completing tasks assigned by Big Brother. It was eventually done also in the eighth Philippine season where the reserved housemates were placed in a camp (a separate House but is just adjacent to the Main House) and that reserved housemate must compete amongst other reserved housemates while gaining points by participating in various tasks, including those that required the participation of doing such tasks outside of the Big Brother House premises. As the eviction was done weekly, once an official housemate is evicted from the Main House, the with the most points earned for that particular week crossovers to the Main House and becomes an official housemate.
This reserved housemates twist was also used in Argentina's seventh season and Brazil's ninth season.
Big Brother Zoom
In 2020, due to the COVID-19 pandemic, the Big Brother Portugal revival started with a twist, where all the contestants were isolated in different apartments for 14 days, in line with World Health Organisation (WHO) recommendations. Cameras were filming them 24 hours a day as usual, and they were able to communicate with each other and host Cláudio Ramos using tablets.
Twists involving multiple franchises
Housemate exchanges
In 2002, the Mexican and Spanish editions (BBM1 and GH3) made temporary housemate exchanges. Mexico's Eduardo Orozco swapped with Spain's Andrés Barreiro for 7 days. In 2010, the first 2-housemate exchange was held by Spain and Italy (GH11 and GF10). Gerardo Prager and Saray Pereira from Spain were swapped with Carmela Gualtieri and Massimo Scattarella of Italy for 7 days.
In later years, several housemate exchanges were done around the world: Argentina (GH3) and Spain (GH4), Ecuador (GH1) and Mexico (BBM2), and Africa (BBA1) and United Kingdom (BB4) in 2003; Scandinavia (BB2) and Thailand (BBT2) in 2006; Philippines (PBB2) and Slovenia (BB1), and Argentina (GH5) and Spain (GH9) in 2007; Africa (BBA3) and Finland (BB4) in 2008; Finland (BB5) and Philippines (PBB3) in 2009; Finland (BB6) and Slovenia (BBS1) in 2010; Spain (GH12) and Israel (HH3) in 2010–11; Finland (BB7) and Norway (BB4) in 2011; Argentina (GH7) and Israel (HH4) in 2012; Mexico (BB4) and Spain (GH16) in 2015; and Spain (GHVIP5) and Brazil (BBB17) in 2017.
Evicted housemate exchanges
In 2003, Mexico's Isabel Madow (BB VIP2) and Spain's Aída Nízar (GH5) were swapped for 7 days. This twist was also done between Russia (BBR1) and Pacific (GHP1) in 2005, and Argentina (GH4) and Brazil (BBB7) in 2007.
Other exchanges
In 2009, as part of the casting process for Italy's GF9, Doroti Polito and Leonia Coccia visited Spain's GH10.
In 2012, four contestants from Denmark's BB4 visited Sweden's BB6 and competed in a Viking-themed challenge. The Danish team won and 'kidnapped' Swedish contestant Annica Englund to the Denmark house for the following week.
In 2012, evicted housemate Laisa Portella of Brazil (from BBB12) was a guest on Spain's Gran Hermano 13 for a week; the following week, non-evicted Noemí Merino of GH13 stayed in the Brazilian Big Brother house for 5 days.
In 2016, Big Brother UK housemate Nikki Grahame and Big Brother Australia housemate Tim Dormer were voted in by Canada to be houseguests on the 4th season of Big Brother Canada. Similarly, Big Brother UK housemate Jade Goody appeared as a housemate on Bigg Boss India.
Big Brother Australia (2015) contestant Priya Malik joined Bigg Boss 9 (India) the same year as a wild card.
In 2017, GHVIP5 contestant Elettra Lamborghini visited Brazil's BBB17.
In 2019, the winner of Italy's GF15, Alberto Mezzetti visited Brazil's BBB19.
In 2022, Bindhu Madhavi, 4th Runner-up of Bigg Boss Tamil 2017 made her entry as a contestant in a Telugu back to win spin-off named Bigg Boss Non-Stop and emerged as the winner of that show respectively.
After winning the debut season of Bigg Boss Marathi (regional version of Big Brother), winner Megha Dhade made her entry in Bigg Boss season 12 as a wild card contestant.
After winning Season 2 of Bigg Boss Marathi (regional version of Big Brother), winner Shiv Thakare made her entry in Bigg Boss 16.
Evicted housemate visits
Anouska Golebiewski, an evicted housemate from the United Kingdom (housemate from BB4) visited Australia (BB3) in 2003. In 2005, United Kingdom (Nadia Almada of BB5) visited Australia (BB5) again. In 2006, United Kingdom (Chantelle Houghton of CBB4) visited Germany (BBG6). This twist was used in later years by other countries: Africa (Ricardo Ferreira of BBA3) visited Brazil (BBB9) in 2009; Germany (Annina Ucatis and Sascha Schwan of BBG9) visited the Philippines (PBB3), and Italy (George Leonard and Veronica Ciardi of GF10) visited Albania (BB3) in 2010; Sweden (Martin Granetoft and Peter OrrmyrSara Jonsson of BB5) visited Norway (BB4) in 2011; Brazil (Rafael Cordeiro of BBB12) visited Spain (GH12), and Argentina (Agustín Belforte of GH4) visited Colombia (GH2) in 2012; United States (Dan Gheesling of BB10/BB14) visited Canada (BB1 and the BB2 Jury) in 2013; Canada (Emmett Blois of BB1) visited South Africa (BBM3) in 2014; and Spain (Paula Gonzalez of GH 15) visited Mexico (BBM4) in 2015.
A similar event took place between the United States and Canada in 2014 wherein Rachel Reilly (from BB12/BB13) made a video chat to Canada (BB2). Rachel Reilly also appeared on Big Brother Canadas side show, which airs after the eviction episode.
Housemates competing in another country
There were occasions that a former housemate from one franchise participated and competed in a different franchise: Daniela Martins of France (SS3) competed in Portugal (SS1); Daniel Mkongo of France (SS5) competed in Italy (GF12); Brigitte Nielsen of Denmark (BB VIP) competed in the United Kingdom (CBB3); Jade Goody of the United Kingdom (BB3, BB Panto, and CBB5) competed in India (BB2); Sava Radović of Germany (BB4) competed in the Balkan States (VB1); Nikola Nasteski of the Balkan States (VB4) competed in Bulgaria (BB All-Stars 1); Žarko Stojanović of France (SS5) competed in the Balkan States (VB VIP5); Željko Stojanović of France (SS5) competed in the Balkan States (VB VIP5); Kelly Baron of Brazil (BBB13) competed in Portugal (BB VIP); Lucy Diakovska of Bulgaria (VIP B4) competed in Germany (PBB1); Leila Ben Khalifa of Italy (GF6) competed in France (SS8); Priya Malik of Australia (BB11) competed in India (BB9); Tim Dormer of Australia (BB10) and Nikki Grahame of the United Kingdom (BB7, UBB) competed in Canada (BB4) after beating Jase Wirey of the United States (BB5, BB7) and Veronica Graf of Italy (GF13) in a public vote; Leonel Estevao-Luto of Africa (BB4) competed in Angola & Mozambique (BB3); Frankie Grande of the United States (BB16) competed in the United Kingdom (CBB18); Fanny Rodrigues of Portugal (SS2) competed in France (SS10); and Tucha Anita of Angola (BB3); Amor Romeira of Spain (GH9) competed in Portugal (SS6) and Alain Rochette of Spain (GH17) competed in France (SS11); Despite being American, Brandi Glanville competed first in the United Kingdom (CBB20) then later competed in first Celebrity series in the United States (CBB1); Aída Nizar of Spain (GH5 and GHVIP5) competed in Italy (GF15); Ivana Icardi of Argentina (GH9) competed in Italy (GF16); Gianmarco Onestini of Italy (GF16) competed in Spain (GHVIP7).
Multiple-franchise competitions
Eurovision Song Contest
Special editions
Celebrity and VIP Big Brother
The Big Brother format has been adopted in some countries; the housemates are local celebrities, and the shows are called Celebrity Big Brother or Big Brother VIP. In some countries, the prize money normally awarded to the winning housemate is donated to a charity, and all celebrities are paid to appear in the show as long as they do not voluntarily leave before their eviction or the end of the series. The rest of the rules are nearly the same as those of the original version.
Variations
The 2006 Netherlands series was entitled Hotel Big Brother. This variation introduced a group of celebrity hoteliers and a Big Boss, who run a hotel and collect money for charity without nominations, evictions or a winner.
Another variation appeared in the UK in early 2008, entitled Big Brother: Celebrity Hijack. Instead of being housemates the celebrities became Big Brother himself, creating tasks and holding nominations with the help of Big Brother. The housemates were considered by the producers "Britain's most exceptional and extraordinary" 18- to 21-year-olds. The prize for the winner of the series was £50,000.
In 2009, VIP Brother 3 Bulgaria introduced the concept of celebrities competing for charitable causes, which changed each week. Housemates were sometimes allowed to leave the house to raise money for the charity. Ten out of Thirteen seasons of Bigg Boss (the Indian version of Big Brother) have been celebrity-only seasons. The 10th season of Big Boss had celebrities put up against commoners, where a commoner ultimately won.
American format
The US and Canadian versions of Big Brother differ from most global versions of the series. The US series began in 2000 with the original Dutch format—i.e., housemates, or HouseGuests, as they are styled in the US, nominating each other for eviction and the public voting on evictions and the eventual winner. But due to both poor ratings and the concurrent popularity of Survivor, a gameplay-oriented format was introduced in the second season, with HouseGuests allowed to strategize, politic and collude to survive eviction, with the entire nomination and eviction process being determined by the HouseGuest themselves.
Each week the HouseGuests compete in several competitions in order to win power and safety inside the house, before voting off one of the HouseGuests during the eviction. The main elements of the format are as follows:
Head of Household (HoH): At the start of each week in the house, the HouseGuests compete for the title of Head of Household, often shortened to simply HoH. The Head of Household for each week is given luxuries such as their own personal bedroom and the use of an MP3 player but is responsible for nominating two of their fellow HouseGuests for eviction. The Head of Household would not be able to compete in the following week's Head of Household competition; this excludes the final Head of Household competition of the season.
Power of Veto (PoV): After the nominees are determined, the Power of Veto competition is played, with the winner receiving the Power of Veto. If a HouseGuest chooses to exercise the Power of Veto, the Head of Household is responsible for naming a replacement nominee. The holder of the Power of Veto is saved from being nominated as the replacement nominee. Only six of the HouseGuests compete for the Power of Veto each week; the Head of Household and both nominations compete, as well as three others selected by a random draw. The PoV was introduced in the third American season
Eviction: On eviction night, all HouseGuests must vote to evict one of the nominees, with the exception of the nominees and the Head of Household. The eviction vote is by secret ballot, with HouseGuests casting their votes orally in the Diary Room. In the event of a tied vote, the Head of Household will cast a tie-breaking vote publicly. The nominee with the majority of the votes is evicted from the house.
Before the sixteenth US season, HouseGuests competed in a Have/Have-Not challenge similar to the shopping tasks on Big Brother UK and other international editions. The winners become Haves and enjoy a full pantry of food, while Have-Nots, will be left with a staple diet of "slop" (fortified oatmeal), sleep in designated uncomfortable beds and take cold showers. In later seasons, the Haves & Have-Nots are determined either by the HoH themself or by the results of the HoH Competition.
When only two contestants remain, a jury formed of the most recently evicted HouseGuests (generally seven or nine) votes which of the two finalists wins the grand prize. Beginning in the fourth (2003) US season, jury members were sequestered off-site so that they would not be privy to the day-to-day goings-on in the house. (Celebrity Big Brother US does not sequester its jury members—all evicted celebrity HouseGuests vote on the winner.). The final Head of Household competition is split into three parts; the winners of the first two rounds compete in the third and final round. Once only two HouseGuests remain, the members of the jury cast their votes for who should win the series.
In addition, US and Canadian Big Brother do not air a live launch show, as is customary in international editions—by the time the network show and live online feeds begin airing, it is not uncommon for at least one HouseGuest to already have been evicted. Also, the North American editions currently air only three times a week, compared with daily or six days a week for the recently rebooted UK franchise. As a result, the TV episodes focus primarily on the main events regarding the gameplay and house politics versus the day-to-day goings-on in the house; to see the latter, watching the live feeds is necessary.
In 2013, English-speaking Canada introduced its own version of the show on the cable channel Slice; the series moved to Global TV for its third (2015) season. The show followed the US format but with more elaborate twists and greater viewer participation in the game. Secret tasks were introduced, usually presented by the show's mascot, "Marsha the Moose"; also, as in most global franchises, Big Brother was a distinct character who interacted with the HouseGuests. The French Canadian version mostly followed the US/Anglophone Canadian format, but the public could evict a housemate on some occasions and decided the winner.
The 2020 revival of the Big Brother Australia series adopted a slightly altered version of the American format (having previously used the international format) while pre-recording the series months in advance. A "Nomination Challenge" is held to determine who holds the power to nominate for that round, with the winner naming three Nominations for Eviction. During each eviction, all Housemates (excluding the Nominating Housemate) vote to evict. There is no rule prohibiting individuals holding Nomination Power in consecutively between weeks and no Power of Veto is held. Additionally, the Australian public still decided the winner between the final 3.
Big Brother Brasil combines the US/Canada and international formats. Brazil votes on evictions and the winner, but housemates compete for HoH, Power of Immunity, and Power of Veto; there is also a weekly shopping competition. HoH nominates one housemate for eviction, while the rest of the house nominates a second housemate. The winner of the Power of Immunity competition gets to choose someone to be safe from nomination.
The pilot for Big Brother China, which premiered exclusively online in 2015, had housemates voting on evictions but the public voting for the winner. A similar format was used for Big Brother: Over the Top, an online-only spin-off of the US series that ran in 2016.
The nineteenth series of Big Brother UK saw the adaption of the "Game Changer" competition which is very similar to the Power of Veto competition. The winner of this competition has the opportunity to save a nominee from eviction. Like the PoV, there are six people that play in the "Game Changer" competition. The process of how the contestants are chosen is different as the people who have been nominated play in the competition along with the richest housemate. If there are empty left in the competition, then the richest housemate hand picks who will playing in that weeks "Game Changer" competition. The winner of the competition, like the PoV, has the option to save housemate from eviction for the week or not use the power at all. Unlike the PoV however, if the winner does save someone then no replacement nominee was named leaving the remaining nominees up for eviction and facing the public vote.
Other editions
The Big Brother format has been otherwise modified in some countries:
Big Brother: All-Stars (Belgium, 21 days; Bulgaria: Season 1–5, 27–29 days; United States, 72 days; United Kingdom, 18 days; French Canada, 64 days; Africa, 91 days; Spain, 56 days; Portugal Secret Story: Season 1–4, 22–50 days): Previous housemates from previous seasons compete. Belgium was the first country to have an All-Stars season (2003). Bulgaria was the first country to complete 3 All-Stars seasons (2014). Portugal was the first country to complete 4 All-Stars seasons (2015). Portugal was the first country to complete 5 All-Stars seasons (2017). Portugal was the first country to complete 6 All-Stars seasons (2018).
Big Brother: Reality All-Stars (Sweden, 6 days; Denmark, 32 days; Spain, 56 days): Contestants from different reality shows, including Big Brother, compete.
Big Brother: You Decide / Big Brother: Back in the House / Big Brother: Try Out (Poland: Season 1–2, 7–13 days; Norway, 9 days; Serbia, 7 days): Housemates, new or old, compete for a spot in the next regular season without nominations or evictions.
Teen Big Brother (United Kingdom, 10 days; Philippines: Season 1–4, 42–91 days): Teenagers 13 and older compete.
Big Brother: All In (Philippines: Season 11, 13): A mix of teenagers, regular adults, and celebrities compete in one season. A variation, Big Brother: Lucky 7 and Big Brother: Otso, has three to four batches of housemates stay inside until a number for each batch is left and is joined by other members of other batches to form one new batch.
Secret Story (France, Lithuania, Portugal, Netherlands, Peru, Albania and Spain): Each housemate has a secret.
Big Brother Panto (United Kingdom, 11 days): Housemates from the previous series spent time in the Big Brother House to perform a pantomime at the series' end.
Big Brother – The Village (Germany: Season 6, 363 days): The village had a class system of bosses, assistants and servants, living in separate houses, who competed in mixed teams; winning bosses could promote employees, while losing bosses became servants. Cash prizes were awarded weekly in an ongoing contest.
Big Brother Family (Bulgaria: 81 days): Whole families entered the house with their spouses, children and relatives. They received a salary for their stay and the winning family received a cash prize, a car and an apartment.
There are also "test runs", with a group of celebrities (or journalists) living in the house for several days to test it. There are occasions where people who have auditioned for the show are also put in the house, most notably in the British edition, where many housemates claim to have met before. These series have been televised in Argentina, Bulgaria, Czech Republic, Germany, Mexico, the Pacific region, the Philippines and Spain. In some cases, it is not broadcast, but in others, such as the US edition, it is used as a promotional tool.
Versions
As of , Big Brother has produced 508 winners in over 63 franchises.
: Currently airing (8)
An upcoming season (13)
Status unknown (16)
No longer airing (32)
Big Brother: The Game
On 5 May 2020, Endemol Shine Group announced that an official Big Brother mobile game named Big Brother: The Game was being developed by Irish gaming company 9th Impact, with a worldwide release expected later that year. The game uses the US format, with competitions determining the Head of Household and Power of Veto holders, with an eviction cycle occurring each day. Players must form alliances with one another to stay in the game and advance to the next tier. Other users may spectate other games, but outside interference is strictly forbidden. Players were able to win up to $1,000,000 in prizes.
A trial season took place in the Republic of Ireland during the summer of 2020. The player Aoife Cheung won a €5000 prize after surviving four evictions. The game was officially launched on 15 October 2020 worldwide for both iOS, Android devices and PC platforms.
The first season concluded on 29 July 2021 and was won by Amy Elizabeth, a 31-year-old special education teacher from Delaware who won a grand prize of $33,270.
On March 7, 2023, a third season of the game was announced to launch later that year on mobile and PC platforms, including Steam. The grand prize was stated to be for up to $1,000,000, with new features being added in response to fan feedback. However, no global third season took place, with a special UK and Ireland-only version launching to coincide with the show returning to ITV2 and ITVX, in an official partnership with the broadcaster. This version featured overhauled graphics, with Banijay announcing that previous games had reached 500K players.
Controversies
Legal
In April 2000, Castaway, an independent production company, filed a lawsuit against John de Mol and Endemol for stealing the concepts of their own show called Survive!, a reality television show where contestants are placed on a deserted island and have to take care of themselves alone. These contestants were also filmed by cameras around them. The court later dismissed the lawsuit filed by Castaway against de Mol and Endemol. The Survive! reality television format was later turned into Survivor.
In 2000, the estate of George Orwell sued CBS Television and Endemol for copyright and trademark infringement, claiming that the program infringed on the Orwell novel 1984 and its trademarks. After a series of court rulings adverse to the defendants (CBS and Endemol), the case was settled for an undisclosed amount of money on the evening of the trial.
Sexual assault
There have been three documented occurrences of possible rape happening during the show. In Big Brother South Africa, a male housemate was accused of assaulting a fellow housemate while she was asleep. The pair were filmed kissing and cuddling in bed before the cameras moved away and the male housemate reportedly claimed to housemates the next day that he had intercourse with the contestant. However, the female housemate was apparently shocked by the claims and informed female housemates that she had not consented to have sex with him (under South African law, this act would be constituted as rape). This male housemate was expelled immediately after the allegations surfaced and was later arrested pending investigation, while the female housemate was removed from the house for her own protection and counselling. After this incident, the other housemates were warned not to attempt any further obscene actions, or they would be subject to a penalty of 43 years in prison and immediate expulsion from the house.
In Big Brother Brasil, many viewers reported that they watched a male housemate allegedly force himself on a female housemate while she was passed-out drunk after a "boozy party". Soon after, the Polícia Federal entered the house and arrested the offending housemate, who was later banned from ever appearing on the show again.
Additionally, an incident of sexual assault occurred in the Australian Big Brother house in 2006, during the show's sixth season. Contestant Michael "John" Bric held down fellow contestant Camilla Severi in her bed while a second man, Michael "Ashley" Cox, "slapped" her in the face with his penis, an indecent act illegal under Australian law. The incident was shown on the 'Adults-only' late-night segment, Big Brother: Adults Only, leading to the show's cancellation. Both men involved in the incident were removed from the house.
References
Bibliography
External links
Banijay franchises
Reality television series franchises | 6 |
Bioterrorism is terrorism involving the intentional release or dissemination of biological agents. These agents include bacteria, viruses, insects, fungi, and/or toxins, and may be in a naturally occurring or a human-modified form, in much the same way as in biological warfare. Further, modern agribusiness is vulnerable to anti-agricultural attacks by terrorists, and such attacks can seriously damage economy as well as consumer confidence. The latter destructive activity is called agrobioterrorism and is a subtype of agro-terrorism.
Definition
Bioterrorism is the deliberate release of viruses, bacteria, toxins, or other harmful agents to cause illness or death in people, animals, or plants. These agents are typically found in nature, but could be mutated or altered to increase their ability to cause disease, make them resistant to current medicines, or to increase their ability to be spread into the environment. Biological agents can be spread through the air, water, or in food. Biological agents are attractive to terrorists because they are extremely difficult to detect and do not cause illness for several hours to several days. Some bioterrorism agents, like the smallpox virus, can be spread from person to person and some, like anthrax, cannot. Bioterrorism may be favored because biological agents are relatively easy and inexpensive to obtain, can be easily disseminated, and can cause widespread fear and panic beyond the actual physical damage. Military leaders, however, have learned that, as a military asset, bioterrorism has some important limitations; it is difficult to use a bioweapon in a way that only affects the enemy and not friendly forces. A biological weapon is useful to terrorists mainly as a method of creating mass panic and disruption to a state or a country. However, technologists such as Bill Joy have warned of the potential power which genetic engineering might place in the hands of future bio-terrorists.
The use of agents that do not cause harm to humans, but disrupt the economy, have also been discussed. One such pathogen is the foot-and-mouth disease (FMD) virus, which is capable of causing widespread economic damage and public concern (as witnessed in the 2001 and 2007 FMD outbreaks in the UK), while having almost no capacity to infect humans.
History
By the time World War I began, attempts to use anthrax were directed at animal populations. This generally proved to be ineffective.
Shortly after the start of World War I, Germany launched a biological sabotage campaign in the United States, Russia, Romania, and France. At that time, Anton Dilger lived in Germany, but in 1915 he was sent to the United States carrying cultures of glanders, a virulent disease of horses and mules. Dilger set up a laboratory in his home in Chevy Chase, Maryland. He used stevedores working the docks in Baltimore to infect horses with glanders while they were waiting to be shipped to Britain. Dilger was under suspicion as being a German agent, but was never arrested. Dilger eventually fled to Madrid, Spain, where he died during the Influenza Pandemic of 1918. In 1916, the Russians arrested a German agent with similar intentions. Germany and its allies infected French cavalry horses and many of Russia's mules and horses on the Eastern Front. These actions hindered artillery and troop movements, as well as supply convoys.
In 1972, police in Chicago arrested two college students, Allen Schwander and Stephen Pera, who had planned to poison the city's water supply with typhoid and other bacteria. Schwander had founded a terrorist group, "R.I.S.E.", while Pera collected and grew cultures from the hospital where he worked. The two men fled to Cuba after being released on bail. Schwander died of natural causes in 1974, while Pera returned to the U.S. in 1975 and was put on probation.
In 1980, the World Health Organization (WHO) announced the eradication of smallpox, a highly contagious and incurable disease. Although the disease has been eliminated in the wild, frozen stocks of smallpox virus are still maintained by the governments of the United States and Russia. Disastrous consequences are feared if rogue politicians or terrorists were to get hold of the smallpox strains. Since vaccination programs are now terminated, the world population is more susceptible to smallpox than ever before.
In Oregon in 1984, followers of the Bhagwan Shree Rajneesh attempted to control a local election by incapacitating the local population. They infected salad bars in 11 restaurants, produce in grocery stores, doorknobs, and other public domains with Salmonella typhimurium bacteria in the city of The Dalles, Oregon. The attack infected 751 people with severe food poisoning. There were no fatalities. This incident was the first known bioterrorist attack in the United States in the 20th century. It was also the single largest bioterrorism attack on U.S. soil.
In June 1993, the religious group Aum Shinrikyo released anthrax in Tokyo. Eyewitnesses reported a foul odor. The attack was a failure, because it did not infect a single person. The reason for this is due to the fact that the group used the vaccine strain of the bacterium. The spores which were recovered from the site of the attack showed that they were identical to an anthrax vaccine strain that was given to animals at the time. These vaccine strains are missing the genes that cause a symptomatic response.
In September and October 2001, several cases of anthrax broke out in the United States, apparently deliberately caused. Letters laced with infectious anthrax were concurrently delivered to news media offices and the U.S. Congress, alongside an ambiguously related case in Chile. The letters killed five people.
Scenarios
There are multiple considerable scenarios, how terrorists might employ biological agents. In 2000, tests conducted by various US agencies showed that indoor attacks in densely populated spaces are much more serious than outdoor attacks. Such enclosed spaces are large buildings, trains, indoor arenas, theaters, malls, tunnels and similar. Contra-measures against such scenarios are building architecture and ventilation systems engineering. In 1993, sewage was spilled out into a river, subsequently drawn into the water system and affected 400,000 people in Milwaukee, Wisconsin. The disease-causing organism was cryptosporidium parvum. This man-made disaster can be a template for a terrorist scenario. Nevertheless, terrorist scenarios are considered more likely near the points of delivery than at the water sources before the water treatment. Release of biological agents is more likely for a single building or a neighborhood. Counter-measures against this scenario include the further limitation of access to the water supply systems, tunnels, and infrastructure. Agricultural crop-duster flights might be misused as delivery devices for biological agents as well. Counter-measures against this scenario are background checks of employees of crop-dusting companies and surveillance procedures.
In the most common hoax scenario, no biological agents are employed. For instance, an envelope with powder in it that says, “You've just been exposed to anthrax.” Such hoaxes have been shown to have a large psychological impact on the population.
Anti-agriculture attacks are considered to require relatively little expertise and technology. Biological agents that attack livestock, fish, vegetation, and crops are mostly not contagious to humans and are therefore easier for attackers to handle. Even a few cases of infection can disrupt a country's agricultural production and exports for months, as evidenced by FMD outbreaks.
Types of agents
Under current United States law, bio-agents which have been declared by the U.S. Department of Health and Human Services or the U.S. Department of Agriculture to have the "potential to pose a severe threat to public health and safety" are officially defined as "select agents." The CDC categorizes these agents (A, B or C) and administers the Select Agent Program, which regulates the laboratories which may possess, use, or transfer select agents within the United States. As with US attempts to categorize harmful recreational drugs, designer viruses are not yet categorized and avian H5N1 has been shown to achieve high mortality and human-communication in a laboratory setting.
Category A
These high-priority agents pose a risk to national security, can be easily transmitted and disseminated, result in high mortality, have potential major public health impact, may cause public panic, or require special action for public health preparedness.
SARS and COVID-19, though not as lethal as other diseases, was concerning to scientists and policymakers for its social and economic disruption potential. After the global containment of the pandemic, the United States President George W. Bush stated "...A global influenza pandemic that infects millions and lasts from one to three years could be far worse."
Tularemia or "rabbit fever": Tularemia has a very low fatality rate if treated, but can severely incapacitate. The disease is caused by the Francisella tularensis bacterium, and can be contracted through contact with fur, inhalation, ingestion of contaminated water or insect bites. Francisella tularensis is very infectious. A small number of organisms (10–50 or so) can cause disease. If F. tularensis were used as a weapon, the bacteria would likely be made airborne for exposure by inhalation. People who inhale an infectious aerosol would generally experience severe respiratory illness, including life-threatening pneumonia and systemic infection, if they are not treated. The bacteria that cause tularemia occur widely in nature and could be isolated and grown in quantity in a laboratory, although manufacturing an effective aerosol weapon would require considerable sophistication.
Anthrax: Anthrax is a non-contagious disease caused by the spore-forming bacterium Bacillus anthracis. The ability of Anthrax to produce within small spores, or bacilli bacterium, makes it readily permeable to porous skin and can cause abrupt symptoms within 24 hours of exposure. The dispersal of this pathogen among densely populated areas is said to carry less than one percent mortality rate, for cutaneous exposure, to a ninety percent or higher mortality for untreated inhalational infections. An anthrax vaccine does exist but requires many injections for stable use. When discovered early, anthrax can be cured by administering antibiotics (such as ciprofloxacin). Its first modern incidence in biological warfare were when Scandinavian "freedom fighters" supplied by the German General Staff used anthrax with unknown results against the Imperial Russian Army in Finland in 1916. In 1993, the Aum Shinrikyo used anthrax in an unsuccessful attempt in Tokyo with zero fatalities. Anthrax was used in a series of attacks by a microbiologist at the US Army Medical Research Institute of Infection Disease on the offices of several United States Senators in late 2001. The anthrax was in a powder form and it was delivered by the mail. This bioterrorist attack inevitably prompted seven cases of cutaneous anthrax and eleven cases of inhalation anthrax, with five leading to deaths. Additionally, an estimated 10 to 26 cases had prevented fatality through treatment supplied to over 30,000 individuals. Anthrax is one of the few biological agents that federal employees have been vaccinated for. In the US an anthrax vaccine, Anthrax Vaccine Adsorbed (AVA) exists and requires five injections for stable use. Other anthrax vaccines also exist. The strain used in the 2001 anthrax attacks was identical to the strain used by the USAMRIID.
Smallpox: Smallpox is a highly contagious virus. It is transmitted easily through the atmosphere and has a high mortality rate (20–40%). Smallpox was eradicated in the world in the 1970s, thanks to a worldwide vaccination program. However, some virus samples are still available in Russian and American laboratories. Some believe that after the collapse of the Soviet Union, cultures of smallpox have become available in other countries. Although people born pre-1970 will have been vaccinated for smallpox under the WHO program, the effectiveness of vaccination is limited since the vaccine provides high level of immunity for only 3 to 5 years. Revaccination's protection lasts longer. As a biological weapon smallpox is dangerous because of the highly contagious nature of both the infected and their pox. Also, the infrequency with which vaccines are administered among the general population since the eradication of the disease would leave most people unprotected in the event of an outbreak. Smallpox occurs only in humans, and has no external hosts or vectors.
Botulinum toxin: The neurotoxin Botulinum is the deadliest toxin known to man, and is produced by the bacterium Clostridium botulinum. Botulism causes death by respiratory failure and paralysis. Furthermore, the toxin is readily available worldwide due to its cosmetic applications in injections.
Bubonic plague: Plague is a disease caused by the Yersinia pestis bacterium. Rodents are the normal host of plague, and the disease is transmitted to humans by flea bites and occasionally by aerosol in the form of pneumonic plague. The disease has a history of use in biological warfare dating back many centuries, and is considered a threat due to its ease of culture and ability to remain in circulation among local rodents for a long period of time. The weaponized threat comes mainly in the form of pneumonic plague (infection by inhalation) It was the disease that caused the Black Death in Medieval Europe.
Viral hemorrhagic fevers: This includes hemorrhagic fevers caused by members of the family Filoviridae (Marburg virus and Ebola virus), and by the family Arenaviridae (for example Lassa virus and Machupo virus). Ebola virus disease, in particular, has caused high fatality rates ranging from 25 to 90% with a 50% average. No cure currently exists, although vaccines are in development. The Soviet Union investigated the use of filoviruses for biological warfare, and the Aum Shinrikyo group unsuccessfully attempted to obtain cultures of Ebola virus. Death from Ebola virus disease is commonly due to multiple organ failure and hypovolemic shock. Marburg virus was first discovered in Marburg, Germany. No treatments currently exist aside from supportive care. The arenaviruses have a somewhat reduced case-fatality rate compared to disease caused by filoviruses, but are more widely distributed, chiefly in central Africa and South America.
Category B
Category B agents are moderately easy to disseminate and have low mortality rates.
Brucellosis (Brucella species)
Epsilon toxin of Clostridium perfringens
Food safety threats (for example, Salmonella species, E coli O157:H7, Shigella, Staphylococcus aureus)
Glanders (Burkholderia mallei)
Melioidosis (Burkholderia pseudomallei)
Psittacosis (Chlamydia psittaci)
Q fever (Coxiella burnetii)
Ricin toxin from Ricinus communis (castor beans)
Abrin toxin from Abrus precatorius (Rosary peas)
Staphylococcal enterotoxin B
Typhus (Rickettsia prowazekii)
Viral encephalitis (alphaviruses, for example,: Venezuelan equine encephalitis, eastern equine encephalitis, western equine encephalitis)
Water supply threats (for example, Vibrio cholerae, Cryptosporidium parvum)
Category C
Category C agents are emerging pathogens that might be engineered for mass dissemination because of their availability, ease of production and dissemination, high mortality rate, or ability to cause a major health impact.
Nipah virus
Hantavirus
Planning and response
Planning may involve the development of biological identification systems. Until recently in the United States, most biological defense strategies have been geared to protecting soldiers on the battlefield rather than ordinary people in cities. Financial cutbacks have limited the tracking of disease outbreaks. Some outbreaks, such as food poisoning due to E. coli or Salmonella, could be of either natural or deliberate origin.
Preparedness
Export controls on biological agents are not applied uniformly, providing terrorists a route for acquisition. Laboratories are working on advanced detection systems to provide early warning, identify contaminated areas and populations at risk, and to facilitate prompt treatment. Methods for predicting the use of biological agents in urban areas as well as assessing the area for the hazards associated with a biological attack are being established in major cities. In addition, forensic technologies are working on identifying biological agents, their geographical origins and/or their initial source. Efforts include decontamination technologies to restore facilities without causing additional environmental concerns.
Early detection and rapid response to bioterrorism depend on close cooperation between public health authorities and law enforcement; however, such cooperation is lacking. National detection assets and vaccine stockpiles are not useful if local and state officials do not have access to them.
Aspects of protection against bioterrorism in the United States include:
Detection and resilience strategies in combating bioterrorism. This occurs primarily through the efforts of the Office of Health Affairs (OHA), a part of the Department of Homeland Security (DHS), whose role is to prepare for an emergency situation that impacts the health of the American populace. Detection has two primary technological factors. First there is OHA's BioWatch program in which collection devices are disseminated to thirty high risk areas throughout the country to detect the presence of aerosolized biological agents before symptoms present in patients. This is significant primarily because it allows a more proactive response to a disease outbreak rather than the more passive treatment of the past.
Implementation of the Generation-3 automated detection system. This advancement is significant simply because it enables action to be taken in four to six hours due to its automatic response system, whereas the previous system required aerosol detectors to be manually transported to laboratories. Resilience is a multifaceted issue as well, as addressed by OHA. One way in which this is ensured is through exercises that establish preparedness; programs like the Anthrax Response Exercise Series exist to ensure that, regardless of the incident, all emergency personnel will be aware of the role they must fill. Moreover, by providing information and education to public leaders, emergency medical services and all employees of the DHS, OHS suggests it can significantly decrease the impact of bioterrorism.
Enhancing the technological capabilities of first responders is accomplished through numerous strategies. The first of these strategies was developed by the Science and Technology Directorate (S&T) of DHS to ensure that the danger of suspicious powders could be effectively assessed, (as many dangerous biological agents such as anthrax exist as a white powder). By testing the accuracy and specificity of commercially available systems used by first responders, the hope is that all biologically harmful powders can be rendered ineffective.
Enhanced equipment for first responders. One recent advancement is the commercialization of a new form of Tyvex™ armor which protects first responders and patients from chemical and biological contaminants. There has also been a new generation of Self-Contained Breathing Apparatuses (SCBA) which has been recently made more robust against bioterrorism agents. All of these technologies combine to form what seems like a relatively strong deterrent to bioterrorism. However, New York City as an entity has numerous organizations and strategies that effectively serve to deter and respond to bioterrorism as it comes. From here the logical progression is into the realm of New York City's specific strategies to prevent bioterrorism.
Excelsior Challenge. In the second week of September 2016, the state of New York held a large emergency response training exercise called the Excelsior Challenge, with over 100 emergency responders participating. According to WKTV, "This is the fourth year of the Excelsior Challenge, a training exercise designed for police and first responders to become familiar with techniques and practices should a real incident occur." The event was held over three days and hosted by the State Preparedness Training Center in Oriskany, New York. Participants included bomb squads, canine handlers, tactical team officers and emergency medical services. In an interview with Homeland Preparedness News, Bob Stallman, assistant director at the New York State Preparedness Training Center, said, "We're constantly seeing what’s happening around the world and we tailor our training courses and events for those types of real-world events." For the first time, the 2016 training program implemented New York's new electronic system. The system, called NY Responds, electronically connects every county in New York to aid in disaster response and recovery. As a result, "counties have access to a new technology known as Mutualink, which improves interoperability by integrating telephone, radio, video, and file-sharing into one application to allow local emergency staff to share real-time information with the state and other counties." The State Preparedness Training Center in Oriskany was designed by the State Division of Homeland Security, and Emergency Services (DHSES) in 2006. It cost $42 million to construct on over 1100 acres and is available for training 360 days a year. Students from SUNY Albany's College of Emergency Preparedness, Homeland Security and Cybersecurity, were able to participate in this year's exercise and learn how "DHSES supports law enforcement specialty teams."
Project BioShield. The accrual of vaccines and treatments for potential biological threats, also known as medical countermeasures has been an important aspect in preparing for a potential bioterrorist attack; this took the form of a program beginning in 2004, referred to as Project BioShield. The significance of this program should not be overlooked as “there is currently enough smallpox vaccine to inoculate every United States citizen… and a variety of therapeutic drugs to treat the infected.” The Department of Defense also has a variety of laboratories currently working to increase the quantity and efficacy of countermeasures that comprise the national stockpile. Efforts have also been taken to ensure that these medical countermeasures can be disseminated effectively in the event of a bioterrorist attack. The National Association of Chain Drug Stores championed this cause by encouraging the participation of the private sector in improving the distribution of such countermeasures if required.
On a CNN news broadcast in 2011, the CNN chief medical correspondent, Dr. Sanjay Gupta, weighed in on the American government's recent approach to bioterrorist threats. He explains how, even though the United States would be better fending off bioterrorist attacks now than they would be a decade ago, the amount of money available to fight bioterrorism over the last three years has begun to decrease. Looking at a detailed report that examined the funding decrease for bioterrorism in fifty-one American cities, Dr. Gupta stated that the cities "wouldn’t be able to distribute vaccines as well" and "wouldn't be able to track viruses." He also said that film portrayals of global pandemics, such as Contagion, were actually quite possible and may occur in the United States under the right conditions.
A news broadcast by MSNBC in 2010 also stressed the low levels of bioterrorism preparedness in the United States. The broadcast stated that a bipartisan report gave the Obama administration a failing grade for its efforts to respond to a bioterrorist attack. The news broadcast invited the former New York City police commissioner, Howard Safir, to explain how the government would fare in combating such an attack. He said how "biological and chemical weapons are probable and relatively easy to disperse." Furthermore, Safir thought that efficiency in bioterrorism preparedness is not necessarily a question of money, but is instead dependent on putting resources in the right places. The broadcast suggested that the nation was not ready for something more serious.
In a September 2016 interview conducted by Homeland Preparedness News, Daniel Gerstein, a senior policy researcher for the RAND Corporation, stresses the importance in preparing for potential bioterrorist attacks on the nation. He implored the U.S. government to take the proper and necessary actions to implement a strategic plan of action to save as many lives as possible and to safeguard against potential chaos and confusion. He believes that because there have been no significant instances of bioterrorism since the anthrax attacks in 2001, the government has allowed itself to become complacent making the country that much more vulnerable to unsuspecting attacks, thereby further endangering the lives of U.S. citizens.
Gerstein formerly served in the Science and Technology Directorate of the Department of Homeland Security from 2011 to 2014. He claims there has not been a serious plan of action since 2004 during George W. Bush's presidency, in which he issued a Homeland Security directive delegating responsibilities among various federal agencies. He also stated that the blatant mishandling of the Ebola virus outbreak in 2014 attested to the government's lack of preparation. This past May, legislation that would create a national defense strategy was introduced in the Senate, coinciding with the timing of ISIS-affiliated terrorist groups get closer to weaponizing biological agents. In May 2016, Kenyan officials apprehended two members of an Islamic extremist group in motion to set off a biological bomb containing anthrax. Mohammed Abdi Ali, the believed leader of the group, who was a medical intern, was arrested along with his wife, a medical student. The two were caught just before carrying out their plan. The Blue Ribbon Study Panel on Biodefense, which comprises a group of experts on national security and government officials, in which Gerstein had previously testified to, submitted its National Blueprint for Biodefense to Congress in October 2015 listing their recommendations for devising an effective plan.
Bill Gates said in a February 18, 2017 Business Insider op-ed (published near the time of his Munich Security Conference speech) that it is possible for an airborne pathogen to kill at least 30 million people over the course of a year. In a New York Times report, the Gates Foundation predicted that a modern outbreak similar to the Spanish Influenza pandemic (which killed between 50 million and 100 million people) could end up killing more than 360 million people worldwide, even considering widespread availability of vaccines and other healthcare tools. The report cited increased globalization, rapid international air travel, and urbanization as increased reasons for concern. In a March 9, 2017, interview with CNBC, former U.S. Senator Joe Lieberman, who was co-chair of the bipartisan Blue Ribbon Study Panel on Biodefense, said a worldwide pandemic could end the lives of more people than a nuclear war. Lieberman also expressed worry that a terrorist group like ISIS could develop a synthetic influenza strain and introduce it to the world to kill civilians. In July 2017, Robert C. Hutchinson, former agent at the Department of Homeland Security, called for a "whole-of-government" response to the next global health threat, which he described as including strict security procedures at our borders and proper execution of government preparedness plans.
Also, novel approaches in biotechnology, such as synthetic biology, could be used in the future to design new types of biological warfare agents. Special attention has to be laid on future experiments (of concern) that:
Would demonstrate how to render a vaccine ineffective;
Would confer resistance to therapeutically useful antibiotics or antiviral agents;
Would enhance the virulence of a pathogen or render a nonpathogen virulent;
Would increase transmissibility of a pathogen;
Would alter the host range of a pathogen;
Would enable the evasion of diagnostic/detection tools;
Would enable the weaponization of a biological agent or toxin
Most of the biosecurity concerns in synthetic biology, however, are focused on the role of DNA synthesis and the risk of producing genetic material of lethal viruses (e.g. 1918 Spanish flu, polio) in the lab. The CRISPR/Cas system has emerged as a promising technique for gene editing. It was hailed by The Washington Post as "the most important innovation in the synthetic biology space in nearly 30 years." While other methods take months or years to edit gene sequences, CRISPR speeds that time up to weeks. However, due to its ease of use and accessibility, it has raised a number of ethical concerns, especially surrounding its use in the biohacking space.
Biosurveillance
In 1999, the University of Pittsburgh's Center for Biomedical Informatics deployed the first automated bioterrorism detection system, called RODS (Real-Time Outbreak Disease Surveillance). RODS is designed to collect data from many data sources and use them to perform signal detection, that is, to detect a possible bioterrorism event at the earliest possible moment. RODS, and other systems like it, collect data from sources including clinic data, laboratory data, and data from over-the-counter drug sales. In 2000, Michael Wagner, the codirector of the RODS laboratory, and Ron Aryel, a subcontractor, conceived the idea of obtaining live data feeds from "non-traditional" (non-health-care) data sources. The RODS laboratory's first efforts eventually led to the establishment of the National Retail Data Monitor, a system which collects data from 20,000 retail locations nationwide.
On February 5, 2002, George W. Bush visited the RODS laboratory and used it as a model for a $300 million spending proposal to equip all 50 states with biosurveillance systems. In a speech delivered at the nearby Masonic temple, Bush compared the RODS system to a modern "DEW" line (referring to the Cold War ballistic missile early warning system).
The principles and practices of biosurveillance, a new interdisciplinary science, were defined and described in the Handbook of Biosurveillance, edited by Michael Wagner, Andrew Moore and Ron Aryel, and published in 2006. Biosurveillance is the science of real-time disease outbreak detection. Its principles apply to both natural and man-made epidemics (bioterrorism).
Data which potentially could assist in early detection of a bioterrorism event include many categories of information. Health-related data such as that from hospital computer systems, clinical laboratories, electronic health record systems, medical examiner record-keeping systems, 911 call center computers, and veterinary medical record systems could be of help; researchers are also considering the utility of data generated by ranching and feedlot operations, food processors, drinking water systems, school attendance recording, and physiologic monitors, among others.
In Europe, disease surveillance is beginning to be organized on the continent-wide scale needed to track a biological emergency. The system not only monitors infected persons, but attempts to discern the origin of the outbreak.
Researchers have experimented with devices to detect the existence of a threat:
Tiny electronic chips that would contain living nerve cells to warn of the presence of bacterial toxins (identification of broad range toxins)
Fiber-optic tubes lined with antibodies coupled to light-emitting molecules (identification of specific pathogens, such as anthrax, botulinum, ricin)
Some research shows that ultraviolet avalanche photodiodes offer the high gain, reliability and robustness needed to detect anthrax and other bioterrorism agents in the air. The fabrication methods and device characteristics were described at the 50th Electronic Materials Conference in Santa Barbara on June 25, 2008. Details of the photodiodes were also published in the February 14, 2008, issue of the journal Electronics Letters and the November 2007 issue of the journal IEEE Photonics Technology Letters.
The United States Department of Defense conducts global biosurveillance through several programs, including the Global Emerging Infections Surveillance and Response System.
Another powerful tool developed within New York City for use in countering bioterrorism is the development of the New York City Syndromic Surveillance System. This system is essentially a way of tracking disease progression throughout New York City, and was developed by the New York City Department of Health and Mental Hygiene (NYC DOHMH) in the wake of the 9/11 attacks. The system works by tracking the symptoms of those taken into the emergency department—based on the location of the hospital to which they are taken and their home address—and assessing any patterns in symptoms. These established trends can then be observed by medical epidemiologists to determine if there are any disease outbreaks in any particular locales; maps of disease prevalence can then be created rather easily. This is an obviously beneficial tool in fighting bioterrorism as it provides a means through which such attacks could be discovered in their nascence; assuming bioterrorist attacks result in similar symptoms across the board, this strategy allows New York City to respond immediately to any bioterrorist threats that they may face with some level of alacrity.
Response to bioterrorism incident or threat
Government agencies which would be called on to respond to a bioterrorism incident would include law enforcement, hazardous materials and decontamination units, and emergency medical units, if available.
The US military has specialized units, which can respond to a bioterrorism event; among them are the United States Marine Corps' Chemical Biological Incident Response Force and the U.S. Army's 20th Support Command (CBRNE), which can detect, identify, and neutralize threats, and decontaminate victims exposed to bioterror agents. US response would include the Centers for Disease Control.
Historically, governments and authorities have relied on quarantines to protect their populations. International bodies such as the World Health Organization already devote some of their resources to monitoring epidemics and have served clearing-house roles in historical epidemics.
Media attention toward the seriousness of biological attacks increased in 2013 to 2014. In July 2013, Forbes published an article with the title "Bioterrorism: A Dirty Little Threat With Huge Potential Consequences." In November 2013, Fox News reported on a new strain of botulism, saying that the Centers for Disease and Control lists botulism as one of two agents that have "the highest risks of mortality and morbidity", noting that there is no antidote for botulism. USA Today reported that the U.S. military in November was trying to develop a vaccine for troops from the bacteria that cause the disease Q fever, an agent the military once used as a biological weapon. In February 2014, the former special assistant and senior director for biodefense policy to President George W. Bush called the bioterrorism risk imminent and uncertain and Congressman Bill Pascrell called for increasing federal measures against bioterrorism as a "matter of life or death." The New York Times wrote a story saying the United States would spend $40 million to help certain low and middle-income countries deal with the threats of bioterrorism and infectious diseases.
Bill Gates has warned that bioterrorism could kill more people than nuclear war.
In February 2018, a CNN employee discovered on an airplane a "sensitive, top-secret document in the seatback pouch explaining how the Department of Homeland Security would respond to a bioterrorism attack at the Super Bowl."
2017 U.S. budget proposal affecting bioterrorism programs
President Donald Trump promoted his first budget around keeping America safe. However, one aspect of defense would receive less money: "protecting the nation from deadly pathogens, man-made or natural," according to The New York Times. Agencies tasked with biosecurity get a decrease in funding under the Administration's budget proposal.
For example:
The Office of Public Health Preparedness and Response would be cut by $136 million, or 9.7 percent. The office tracks outbreaks of disease.
The National Center for Emerging and Zoonotic Infectious Diseases would be cut by $65 million, or 11 percent. The center is a branch of the Centers for Disease Control and Prevention that fights threats like anthrax and the Ebola virus, and additionally towards research on HIV/AIDS vaccines.
Within the National Institutes of Health, the National Institute of Allergy and Infectious Diseases (NIAID) would lose 18 percent of its budget. NIAID oversees responses to Zika, Ebola and HIV/AIDS vaccine research.
"The next weapon of mass destruction may not be a bomb," Lawrence O. Gostin, the director of the World Health Organization's Collaborating Center on Public Health Law and Human Rights, told The New York Times. "It may be a tiny pathogen that you can't see, smell or taste, and by the time we discover it, it'll be too late."
Lack of international standards on public health experiments
Tom Inglesy, the CEO and director of the Center for Health Security at the Johns Hopkins Bloomberg School of Public Health and an internationally recognized expert on public health preparedness, pandemic and emerging infectious disease said in 2017 that the lack of an internationally standardized approval process that could be used to guide countries in conducting public health experiments for resurrecting a disease that has already been eradicated increases the risk that the disease could be used in bioterrorism. This was in reference to the lab synthesis of horsepox in 2017 by researchers at the University of Alberta. The researchers recreated horsepox, an extinct cousin of the smallpox virus, in order to research new ways to treat cancer.
In popular culture
Incidents
See also
Biodefence
Biological Weapons Convention
Biorisk
Biosecurity
Project Bacchus
Select agent
References
Bibliography
Further reading
Resolution 1540 "affirms that the proliferation of nuclear, chemical and biological weapons and their means of delivery constitutes a threat to international peace and security. The resolution obliges States, inter alia, to refrain from supporting by any means non-State actors from developing, acquiring, manufacturing, possessing, transporting, transferring or using nuclear, chemical or biological weapons and their means of delivery".
NOVA: Bioterror
Carus, W. Seth Working Paper: Bioterrorism and Biocrimes. The Illicit Use of Biological Agents Since 1900, Feb 2001 revision. (Final published version: )
United States
Recommended Policy Guidance for Departmental Development of Review Mechanisms for Potential Pandemic Pathogen Care and Oversight (P3CO). Obama Administration. January 9, 2017.
Terrorism by method | 16 |
The Northrop Grumman B-2 Spirit, also known as the Stealth Bomber, is an American heavy strategic bomber, featuring low-observable stealth technology designed to penetrate dense anti-aircraft defenses. A subsonic flying wing with a crew of two, the plane was designed by Northrop (later Northrop Grumman) and produced from 1987 to 2000. The bomber can drop conventional and thermonuclear weapons, such as up to eighty Mk 82 JDAM GPS-guided bombs, or sixteen B83 nuclear bombs. The B-2 is the only acknowledged in-service aircraft that can carry large air-to-surface standoff weapons in a stealth configuration.
Development began under the Advanced Technology Bomber (ATB) project during the Carter administration, which cancelled the Mach 2-capable B-1A bomber in part because the ATB showed such promise. But development difficulties delayed progress and drove up costs. Ultimately, the program produced 21 B-2s at an average cost of $2.13 billion (in 1997 dollars), including development, engineering, testing, production, and procurement. Building each aircraft cost an average of US$737 million, while total procurement costs (including production, spare parts, equipment, retrofitting, and software support) averaged $929 million (~$ in ) per plane.
The project's considerable capital and operating costs made it controversial in the U.S. Congress even before the winding-down of the Cold War dramatically reduced the need for a stealth aircraft designed to strike deep in Soviet territory. Consequently, in the late 1980s and 1990s lawmakers shrank the planned purchase of 132 bombers to 21.
As of 2015, twenty B-2s were in service with the United States Air Force, one having been destroyed in a 2008 crash. The Air Force plans to operate them until 2032, when the Northrop Grumman B-21 Raider is to replace them.
The B-2 can perform attack missions at altitudes of up to ; it has an unrefueled range of more than and can fly more than with one midair refueling. It entered service in 1997 as the second aircraft designed with advanced stealth technology, after the Lockheed F-117 Nighthawk attack aircraft. Primarily designed as a nuclear bomber, the B-2 was first used in combat to drop conventional, non-nuclear ordnance in the Kosovo War in 1999. It was later used in Iraq, Afghanistan, and Libya.
Development
Origins
By the mid-1970s, military aircraft designers had learned of a new method to avoid missiles and interceptors, known today as "stealth". The concept was to build an aircraft with an airframe that deflected or absorbed radar signals so that little was reflected back to the radar unit. An aircraft having radar stealth characteristics would be able to fly nearly undetected and could be attacked only by weapons and systems not relying on radar. Although other detection measures existed, such as human observation, infrared scanners, as well as acoustic locators, their relatively short detection range or poorly-developed technology allowed most aircraft to fly undetected, or at least untracked, especially at night.
In 1974, DARPA requested information from U.S. aviation firms about the largest radar cross-section of an aircraft that would remain effectively invisible to radars. Initially, Northrop and McDonnell Douglas were selected for further development. Lockheed had experience in this field with the development of the Lockheed A-12 and SR-71, which included several stealthy features, notably its canted vertical stabilizers, the use of composite materials in key locations, and the overall surface finish in radar-absorbing paint. A key improvement was the introduction of computer models used to predict the radar reflections from flat surfaces where collected data drove the design of a "faceted" aircraft. Development of the first such designs started in 1975 with the Have Blue, a model Lockheed built to test the concept.
Plans were well advanced by the summer of 1975, when DARPA started the Experimental Survivability Testbed project. Northrop and Lockheed were awarded contracts in the first round of testing. Lockheed received the sole award for the second test round in April 1976 leading to the Have Blue program and eventually the F-117 stealth attack aircraft. Northrop also had a classified technology demonstration aircraft, the Tacit Blue in development in 1979 at Area 51. It developed stealth technology, LO (low observables), fly-by-wire, curved surfaces, composite materials, electronic intelligence, and Battlefield Surveillance Aircraft Experimental. The stealth technology developed from the program was later incorporated into other operational aircraft designs, including the B-2 stealth bomber.
ATB program
By 1976, these programs had progressed to a position in which a long-range strategic stealth bomber appeared viable. President Jimmy Carter became aware of these developments during 1977, and it appears to have been one of the major reasons the B-1 was canceled. Further studies were ordered in early 1978, by which point the Have Blue platform had flown and proven the concepts. During the 1980 presidential election campaign in 1979, Ronald Reagan repeatedly stated that Carter was weak on defense and used the B-1 as a prime example. In response, on 22 August 1980 the Carter administration publicly disclosed that the United States Department of Defense was working to develop stealth aircraft, including a bomber.
The Advanced Technology Bomber (ATB) program began in 1979. Full development of the black project followed, funded under the code name "Aurora". After the evaluations of the companies' proposals, the ATB competition was narrowed to the Northrop/Boeing and Lockheed/Rockwell teams with each receiving a study contract for further work. Both teams used flying wing designs. The Northrop proposal was code named "Senior Ice", and the Lockheed proposal code named "Senior Peg". Northrop had prior experience developing the YB-35 and YB-49 flying wing aircraft. The Northrop design was larger while the Lockheed design included a small tail. In 1979, designer Hal Markarian produced a sketch of the aircraft that bore considerable similarities to the final design. The USAF originally planned to procure 165 ATB bombers.
The Northrop team's ATB design was selected over the Lockheed/Rockwell design on 20 October 1981. The Northrop design received the designation B-2 and the name "Spirit". The bomber's design was changed in the mid-1980s when the mission profile was changed from high-altitude to low-altitude, terrain-following. The redesign delayed the B-2's first flight by two years and added about US$1 billion to the program's cost. An estimated US$23 billion was secretly spent for research and development on the B-2 by 1989. MIT engineers and scientists helped assess the mission effectiveness of the aircraft under a five-year classified contract during the 1980s. Northrop was the B-2's prime contractor; major subcontractors included Boeing, Hughes Aircraft (now Raytheon), GE, and Vought Aircraft.
Secrecy and espionage
During its design and development, the Northrop B-2 program was a black project; all program personnel needed a secret clearance. Still, it was less closely held than the Lockheed F-117 program; more people in the federal government knew about the B-2, and more information about the project was available. Both during development and in service, considerable effort has been devoted to maintaining the security of the B-2's design and technologies. Staff working on the B-2 in most, if not all, capacities need a level of special-access clearance and undergo extensive background checks carried out by a special branch of the USAF.
A former Ford automobile assembly plant in Pico Rivera, California, was acquired and heavily rebuilt; the plant's employees were sworn to secrecy. To avoid suspicion, components were typically purchased through front companies, military officials would visit out of uniform, and staff members were routinely subjected to polygraph examinations. Nearly all information on the program was kept from the Government Accountability Office (GAO) and members of Congress until the mid-1980s.
The B-2 was first publicly displayed on 22 November 1988 at United States Air Force Plant 42 in Palmdale, California, where it was assembled. This viewing was heavily restricted, and guests were not allowed to see the rear of the B-2. However, Aviation Week editors found that there were no airspace restrictions above the presentation area and took aerial photographs of the aircraft's secret rear section with suppressed engine exhausts. The B-2's (s/n 82-1066 / AV-1) first public flight was on 17 July 1989 from Palmdale to Edwards Air Force Base.
In 1984, Northrop employee Thomas Patrick Cavanagh was arrested for attempting to sell classified information from the Pico Rivera factory to the Soviet Union. Cavanagh was sentenced to life in prison in 1985 but released on parole in 2001. In October 2005, Noshir Gowadia, a design engineer who worked on the B-2's propulsion system, was arrested for selling classified information to China. Gowadia was convicted and sentenced to 32 years in prison.
Program costs and procurement
A procurement of 132 aircraft was planned in the mid-1980s but was later reduced to 75. By the early 1990s the Soviet Union dissolved, effectively eliminating the Spirit's primary Cold War mission. Under budgetary pressures and Congressional opposition, in his 1992 State of the Union address, President George H. W. Bush announced B-2 production would be limited to 20 aircraft. In 1996, however, the Clinton administration, though originally committed to ending production of the bombers at 20 aircraft, authorized the conversion of a 21st bomber, a prototype test model, to Block 30 fully operational status at a cost of nearly $500 million (~$ in ). In 1995, Northrop made a proposal to the USAF to build 20 additional aircraft with a flyaway cost of $566 million each.
The program was the subject of public controversy for its cost to American taxpayers. In 1996, the GAO disclosed that the USAF's B-2 bombers "will be, by far, the most costly bombers to operate on a per aircraft basis", costing over three times as much as the B-1B (US$9.6 million annually) and over four times as much as the B-52H (US$6.8 million annually). In September 1997, each hour of B-2 flight necessitated 119 hours of maintenance. Comparable maintenance needs for the B-52 and the B-1B are 53 and 60 hours, respectively, for each hour of flight. A key reason for this cost is the provision of air-conditioned hangars large enough for the bomber's wingspan, which are needed to maintain the aircraft's stealth properties, particularly its "low-observable" stealth skins. Maintenance costs are about $3.4 million per month for each aircraft. An August 1995 GAO report disclosed that the B-2 had trouble operating in heavy rain, as rain could damage the aircraft's stealth coating, causing procurement delays until an adequate protective coating could be found. In addition, the B-2's terrain-following/terrain-avoidance radar had difficulty distinguishing rain from other obstacles, rendering the subsystem inoperable during rain. However a subsequent report in October 1996 noted that the USAF had made some progress in resolving the issues with the radar via software fixes and hoped to have these fixes undergoing tests by the spring of 1997.
The total "military construction" cost related to the program was projected to be US$553.6 million in 1997 dollars. The cost to procure each B-2 was US$737 million in 1997 dollars (equivalent to US$ million in 2021), based only on a fleet cost of US$15.48 billion. The procurement cost per aircraft, as detailed in GAO reports, which include spare parts and software support, was $929 million per aircraft in 1997 dollars.
The total program cost projected through 2004 was US$44.75 billion in 1997 dollars (equivalent to US$ billion in 2021). This includes development, procurement, facilities, construction, and spare parts. The total program cost averaged US$2.13 billion per aircraft. The B-2 may cost up to $135,000 per flight hour to operate in 2010, which is about twice that of the B-52 and B-1.
Opposition
In its consideration of the fiscal year 1990 defense budget, the House Armed Services Committee trimmed $800 million from the B-2 research and development budget, while at the same time staving off a motion to end the project. Opposition in committee and in Congress was mostly broad and bipartisan, with Congressmen Ron Dellums (D-CA), John Kasich (R-OH), and John G. Rowland (R-CT) authorizing the motion to end the project—as well as others in the Senate, including Jim Exon (D-NE) and John McCain (R-AZ) also opposing the project. Dellums and Kasich, in particular, worked together from 1989 through the early 1990s to limit production to 21 aircraft and were ultimately successful.
The escalating cost of the B-2 program and evidence of flaws in the aircraft's ability to elude detection by radar were among factors that drove opposition to continue the program. At the peak production period specified in 1989, the schedule called for spending US$7 billion to $8 billion per year in 1989 dollars, something Committee Chair Les Aspin (D-WI) said "won't fly financially". In 1990, the Department of Defense accused Northrop of using faulty components in the flight control system; it was also found that redesign work was required to reduce the risk of damage to engine fan blades by bird ingestion.
In time, several prominent members of Congress began to oppose the program's expansion, including Senator John Kerry (D-MA), who cast votes against the B-2 in 1989, 1991, and 1992. By 1992, Bush had called for the cancellation of the B-2 and promised to cut military spending by 30% in the wake of the collapse of the Soviet Union. In October 1995, former Chief of Staff of the United States Air Force, General Mike Ryan, and former Chairman of the Joint Chiefs of Staff, General John Shalikashvili, strongly recommended against Congressional action to fund the purchase of any additional B-2s, arguing that to do so would require unacceptable cuts in existing conventional and nuclear-capable aircraft, and that the military had greater priorities in spending a limited budget.
Some B-2 advocates argued that procuring twenty additional aircraft would save money because B-2s would be able to deeply penetrate anti-aircraft defenses and use low-cost, short-range attack weapons rather than expensive standoff weapons. However, in 1995, the Congressional Budget Office (CBO) and its Director of National Security Analysis found that additional B-2s would reduce the cost of expended munitions by less than US$2 billion in 1995 dollars during the first two weeks of a conflict, in which the USAF predicted bombers would make their greatest contribution; this was a small fraction of the US$26.8 billion (in 1995 dollars) life cycle cost that the CBO projected for an additional 20 B-2s.
In 1997, as Ranking Member of the House Armed Services Committee and National Security Committee, Congressman Ron Dellums (D-CA), a long-time opponent of the bomber, cited five independent studies and offered an amendment to that year's defense authorization bill to cap production of the bombers to the existing 21 aircraft; the amendment was narrowly defeated. Nonetheless, Congress did not approve funding for additional B-2s.
Further developments
Several upgrade packages have been applied to the B-2. In July 2008, the B-2's onboard computing architecture was extensively redesigned; it now incorporates a new integrated processing unit that communicates with systems throughout the aircraft via a newly installed fiber optic network; a new version of the operational flight program software was also developed, with legacy code converted from the JOVIAL programming language to standard C. Updates were also made to the weapon control systems to enable strikes upon moving targets, such as ground vehicles.
On 29 December 2008, USAF officials awarded a US$468 million contract to Northrop Grumman to modernize the B-2 fleet's radars. Changing the radar's frequency was required as the United States Department of Commerce had sold that radio spectrum to another operator. In July 2009, it was reported that the B-2 had successfully passed a major USAF audit. In 2010, it was made public that the Air Force Research Laboratory had developed a new material to be used on the part of the wing trailing edge subject to engine exhaust, replacing existing material that quickly degraded.
In July 2010, political analyst Rebecca Grant speculated that when the B-2 becomes unable to reliably penetrate enemy defenses, the Lockheed Martin F-35 Lightning II may take on its strike/interdiction mission, carrying B61 nuclear bombs as a tactical bomber. However, in March 2012, The Pentagon announced that a $2 billion, 10-year-long modernization of the B-2 fleet was to begin. The main area of improvement would be replacement of outdated avionics and equipment. Continued modernization efforts likely have continued in secret, as alluded to by a B-2 commander from Whiteman Air Force Base in April 2021, possibly indicating offensive weapons capability against threatening air defenses and aircraft. He stated:
It was reported in 2011 that The Pentagon was evaluating an unmanned stealth bomber, characterized as a "mini-B-2", as a potential replacement in the near future. In 2012, USAF Chief of Staff General Norton Schwartz stated the B-2's 1980s-era stealth technologies would make it less survivable in future contested airspaces, so the USAF is to proceed with the Next-Generation Bomber despite overall budget cuts. In 2012 projections, it was estimated that the Next-Generation Bomber would have an overall cost of $55 billion.
In 2013, the USAF contracted for the Defensive Management System Modernization program to replace the antenna system and other electronics to increase the B-2's frequency awareness. The Common Very Low Frequency Receiver upgrade allows the B-2s to use the same very low frequency transmissions as the Ohio-class submarines so as to continue in the nuclear mission until the Mobile User Objective System is fielded. In 2014, the USAF outlined a series of upgrades including nuclear warfighting, a new integrated processing unit, the ability to carry cruise missiles, and threat warning improvements.
In 1998, a Congressional panel advised the USAF to refocus resources away from continued B-2 production and instead begin development of a new bomber, either a new build or a variant of the B-2. In its 1999 bomber roadmap the USAF eschewed the panel's recommendations, believing its current bomber fleet could be maintained until the 2030s. The service believed that development could begin in 2013, in time to replace aging B-2s, B-1s and B-52s around 2037.
Although the USAF previously planned to operate the B-2 until 2058, the FY 2019 budget moved up its retirement to "no later than 2032". It also moved the retirement of the B-1 to 2036 while extending the B-52's service life into the 2050s, because the B-52 has lower maintenance costs, versatile conventional payload, and the ability to carry nuclear cruise missiles (which the B-1 is treaty-prohibited from doing). The decision to retire the B-2 early was made because the small fleet of 20 is considered too expensive per plane to retain, with its position as a stealth bomber being taken over with the introduction of the B-21 Raider starting in the mid-2020s.
Design
Overview
The B-2 Spirit was developed to take over the USAF's vital penetration missions, allowing it to travel deep into enemy territory to deploy ordnance, which could include nuclear weapons. The B-2 is a flying wing aircraft, meaning that it has no fuselage or tail. It has significant advantages over previous bombers due to its blend of low-observable technologies with high aerodynamic efficiency and a large payload. Low observability provides greater freedom of action at high altitudes, thus increasing both range and field of view for onboard sensors. The USAF reports its range as approximately . At cruising altitude, the B-2 refuels every six hours, taking on up to of fuel at a time.
The development and construction of the B-2 required pioneering use of computer-aided design and manufacturing technologies due to its complex flight characteristics and design requirements to maintain very low visibility to multiple means of detection. The B-2 bears a resemblance to earlier Northrop aircraft; the YB-35 and YB-49 were both flying wing bombers that had been canceled in development in the early 1950s, allegedly for political reasons. The resemblance goes as far as B-2 and YB-49 having the same wingspan. The YB-49 also had a small radar cross-section.
Approximately 80 pilots fly the B-2. Each aircraft has a crew of two, a pilot in the left seat and mission commander in the right, and has provisions for a third crew member if needed. For comparison, the B-1B has a crew of four and the B-52 has a crew of five. The B-2 is highly automated, and one crew member can sleep in a camp bed, use a toilet, or prepare a hot meal while the other monitors the aircraft, unlike most two-seat aircraft. Extensive sleep cycle and fatigue research was conducted to improve crew performance on long sorties. Advanced training is conducted at the USAF Weapons School.
Armaments and equipment
In the envisaged Cold War scenario, the B-2 was to perform deep-penetrating nuclear strike missions, making use of its stealthy capabilities to avoid detection and interception throughout the missions. There are two internal bomb bays in which munitions are stored either on a rotary launcher or two bomb-racks; the carriage of the weapons loadouts internally results in less radar visibility than external mounting of munitions. The B-2 is capable of carrying of ordnance. Nuclear ordnance includes the B61 and B83 nuclear bombs; the AGM-129 ACM cruise missile was also intended for use on the B-2 platform.
In light of the dissolution of the Soviet Union, it was decided to equip the B-2 for conventional precision attacks as well as for the strategic role of nuclear-strike. The B-2 features a sophisticated GPS-Aided Targeting System (GATS) that uses the aircraft's APQ-181 synthetic aperture radar to map out targets prior to the deployment of GPS-aided bombs (GAMs), later superseded by the Joint Direct Attack Munition (JDAM). In the B-2's original configuration, up to 16 GAMs or JDAMs could be deployed; An upgrade program in 2004 raised the maximum carrier capacity to 80 JDAMs.
The B-2 has various conventional weapons in its arsenal, including Mark 82 and Mark 84 bombs, CBU-87 Combined Effects Munitions, GATOR mines, and the CBU-97 Sensor Fuzed Weapon. In July 2009, Northrop Grumman reported the B-2 was compatible with the equipment necessary to deploy the Massive Ordnance Penetrator (MOP), which is intended to attack reinforced bunkers; up to two MOPs could be equipped in the B-2's bomb bays with one per bay, the B-2 is the only platform compatible with the MOP as of 2012. As of 2011, the AGM-158 JASSM cruise missile is an upcoming standoff munition to be deployed on the B-2 and other platforms. This is to be followed by the Long Range Standoff Weapon, which may give the B-2 standoff nuclear capability for the first time.
Avionics and systems
To make the B-2 more effective than previous bombers, many advanced and modern avionics systems were integrated into its design; these have been modified and improved following a switch to conventional warfare missions. One system is the low probability of intercept AN/APQ-181 multi-mode radar, a fully digital navigation system that is integrated with terrain-following radar and Global Positioning System (GPS) guidance, NAS-26 astro-inertial navigation system (first such system tested on the Northrop SM-62 Snark cruise missile) and a Defensive Management System (DMS) to inform the flight crew of possible threats. The onboard DMS is capable of automatically assessing the detection capabilities of identified threats and indicated targets. The DMS will be upgraded by 2021 to detect radar emissions from air defenses to allow changes to the auto-router's mission planning information while in-flight so it can receive new data quickly to plan a route that minimizes exposure to dangers.
For safety and fault-detection purposes, an on-board test system is linked with the majority of avionics on the B-2 to continuously monitor the performance and status of thousands of components and consumables; it also provides post-mission servicing instructions for ground crews. In 2008, many of the 136 standalone distributed computers on board the B-2, including the primary flight management computer, were being replaced by a single integrated system. The avionics are controlled by 13 EMP-resistant MIL-STD-1750A computers, which are interconnected through 26 MIL-STD-1553B-busses; other system elements are connected via optical fiber.
In addition to periodic software upgrades and the introduction of new radar-absorbent materials across the fleet, the B-2 has had several major upgrades to its avionics and combat systems. For battlefield communications, both Link-16 and a high frequency satellite link have been installed, compatibility with various new munitions has been undertaken, and the AN/APQ-181 radar's operational frequency was shifted to avoid interference with other operators' equipment. The arrays of the upgraded radar features were entirely replaced to make the AN/APQ-181 into an active electronically scanned array (AESA) radar. Due to the B-2's composite structure, it is required to stay away from thunderstorms, to avoid static discharge and lightning strikes.
Flight controls
To address the inherent flight instability of a flying wing aircraft, the B-2 uses a complex quadruplex computer-controlled fly-by-wire flight control system that can automatically manipulate flight surfaces and settings without direct pilot inputs to maintain aircraft stability. The flight computer receives information on external conditions such as the aircraft's current air speed and angle of attack via pitot-static sensing plates, as opposed to traditional pitot tubes which would impair the aircraft's stealth capabilities. The flight actuation system incorporates both hydraulic and electrical servoactuated components, and it was designed with a high level of redundancy and fault-diagnostic capabilities.
Northrop had investigated several means of applying directional control that would infringe on the aircraft's radar profile as little as possible, eventually settling on a combination of split brake-rudders and differential thrust. Engine thrust became a key element of the B-2's aerodynamic design process early on; thrust not only affects drag and lift but pitching and rolling motions as well. Four pairs of control surfaces are located along the wing's trailing edge; while most surfaces are used throughout the aircraft's flight envelope, the inner elevons are normally only in use at slow speeds, such as landing. To avoid potential contact damage during takeoff and to provide a nose-down pitching attitude, all of the elevons remain drooped during takeoff until a high enough airspeed has been attained.
Stealth
The B-2's low-observable, or "stealth", characteristics enable the undetected penetration of sophisticated anti-aircraft defenses and to attack even heavily defended targets. This stealth comes from a combination of reduced acoustic, infrared, visual and radar signatures (multi-spectral camouflage) to evade the various detection systems that could be used to detect and be used to direct attacks against an aircraft. The B-2's stealth enables the reduction of supporting aircraft that are required to provide air cover, Suppression of Enemy Air Defenses and electronic countermeasures, making the bomber a "force multiplier". , there have been no instances of a missile being launched at a B-2.
To reduce optical visibility during daylight flights, the B-2 is painted in an anti-reflective paint. The undersides are dark because it flies at high altitudes (), and at that altitude a dark grey painting blends well into the sky. It is speculated to have an upward-facing light sensor which alerts the pilot to increase or reduce altitude to match the changing illuminance of the sky. The original design had tanks for a contrail-inhibiting chemical, but this was replaced in production aircraft by a contrail sensor that alerts the crew when they should change altitude. The B-2 is vulnerable to visual interception at ranges of or less. The B-2 is stored in a $5 million specialised air-conditioned hangar to maintain its stealth coating. Every seven years, this coating is carefully washed away with crystallised wheat starch so that the B-2's surfaces can be inspected for any dents or scratches.
Radar
Reportedly, the B-2 has a radar cross-section (RCS) of about . The bomber does not always fly stealthily; when nearing air defenses pilots "stealth up" the B-2, a maneuver whose details are secret. The aircraft is stealthy, except briefly when the bomb bay opens. The B-2's clean, low-drag flying wing configuration not only provides exceptional range but is also beneficial to reducing its radar profile. The flying wing design most closely resembles a so-called infinite flat plate (as vertical control surfaces dramatically increase RCS), the perfect stealth shape, as it would lack angles to reflect back radar waves (initially, the shape of the Northrop ATB concept was flatter; it gradually increased in volume according to specific military requirements). Without vertical surfaces to reflect radar laterally, side aspect radar cross section is also reduced. Radars operating at a lower frequency band (S or L band) are able to detect and track certain stealth aircraft that have multiple control surfaces, like canards or vertical stabilizers, where the frequency wavelength can exceed a certain threshold and cause a resonant effect.
RCS reduction as a result of shape had already been observed on the Royal Air Force's Avro Vulcan strategic bomber, and the USAF's F-117 Nighthawk. The F-117 used flat surfaces (faceting technique) for controlling radar returns as during its development (see Lockheed Have Blue) in the early 1970s, technology only allowed for the simulation of radar reflections on simple, flat surfaces; computing advances in the 1980s made it possible to simulate radar returns on more complex curved surfaces. The B-2 is composed of many curved and rounded surfaces across its exposed airframe to deflect radar beams. This technique, known as continuous curvature, was made possible by advances in computational fluid dynamics, and first tested on the Northrop Tacit Blue.
Infrared
Some analysts claim infra-red search and track systems (IRSTs) can be deployed against stealth aircraft, because any aircraft surface heats up due to air friction and with a two channel IRST is a (4.3 µm absorption maxima) detection possible, through difference comparing between the low and high channel.
Burying engines deep inside the fuselage also minimizes the thermal visibility or infrared signature of the exhaust. At the engine intake, cold air from the boundary layer below the main inlet enters the fuselage (boundary layer suction, first tested on the Northrop X-21) and is mixed with hot exhaust air just before the nozzles (similar to the Ryan AQM-91 Firefly). According to the Stefan–Boltzmann law, this results in less energy (thermal radiation in the infrared spectrum) being released and thus a reduced heat signature. The resulting cooler air is conducted over a surface composed of heat resistant carbon-fiber-reinforced polymer and titanium alloy elements, which disperse the air laterally, to accelerate its cooling. The B-2 lacks afterburners as the hot exhaust would increase the infrared signature; breaking the sound barrier would produce an obvious sonic boom as well as aerodynamic heating of the aircraft skin which would also increase the infrared signature.
Materials
According to the Huygens–Fresnel principle, even a very flat plate would still reflect radar waves, though much less than when a signal is bouncing at a right angle. Additional reduction in its radar signature was achieved by the use of various radar-absorbent materials (RAM) to absorb and neutralize radar beams. The majority of the B-2 is made out of a carbon-graphite composite material that is stronger than steel, lighter than aluminum, and absorbs a significant amount of radar energy.
The B-2 is assembled with unusually tight engineering tolerances to avoid leaks as they could increase its radar signature. Innovations such as alternate high frequency material (AHFM) and automated material application methods were also incorporated to improve the aircraft's radar-absorbent properties and reduce maintenance requirements. In early 2004, Northrop Grumman began applying a newly developed AHFM to operational B-2s. To protect the operational integrity of its sophisticated radar absorbent material and coatings, each B-2 is kept inside a climate-controlled hangar (Extra Large Deployable Aircraft Hangar System) large enough to accommodate its wingspan.
Shelter system
B-2s are supported by portable, environmentally-controlled hangars called B-2 Shelter Systems (B2SS). The hangars are built by American Spaceframe Fabricators Inc. and cost approximately US$5 million apiece. The need for specialized hangars arose in 1998 when it was found that B-2s passing through Andersen Air Force Base did not have the climate-controlled environment maintenance operations required. In 2003, the B2SS program was managed by the Combat Support System Program Office at Eglin Air Force Base. B2SS hangars are known to have been deployed to Naval Support Facility Diego Garcia and RAF Fairford.
Operational history
1990s
The first operational aircraft, christened Spirit of Missouri, was delivered to Whiteman Air Force Base, Missouri, where the fleet is based, on 17 December 1993. The B-2 reached initial operational capability (IOC) on 1 January 1997. Depot maintenance for the B-2 is accomplished by USAF contractor support and managed at Oklahoma City Air Logistics Center at Tinker Air Force Base. Originally designed to deliver nuclear weapons, modern usage has shifted towards a flexible role with conventional and nuclear capability.
The B-2's combat debut was in 1999, during the Kosovo War. It was responsible for destroying 33% of selected Serbian bombing targets in the first eight weeks of U.S. involvement in the War. During this war, six B-2s flew non-stop to Yugoslavia from their home base in Missouri and back, totaling 30 hours. Although the bombers accounted 50 sorties out of a total of 34,000 NATO sorties, they dropped 11 percent of all bombs. The B-2 was the first aircraft to deploy GPS satellite-guided JDAM "smart bombs" in combat use in Kosovo. The use of JDAMs and precision-guided munitions effectively replaced the controversial tactic of carpet-bombing, which had been harshly criticized due to it causing indiscriminate civilian casualties in prior conflicts, such as the 1991 Gulf War. On 7 May 1999, a B-2 dropped five JDAMs on the Chinese Embassy, killing several staff. By then, the B-2 had dropped 500 bombs in Yugoslavia.
2000s
The B-2 saw service in Afghanistan, striking ground targets in support of Operation Enduring Freedom. With aerial refueling support, the B-2 flew one of its longest missions to date from Whiteman Air Force Base in Missouri to Afghanistan and back. B-2s would be stationed in the Middle East as a part of a US military buildup in the region from 2003.
The B-2's combat use preceded a USAF declaration of "full operational capability" in December 2003. The Pentagon's Operational Test and Evaluation 2003 Annual Report noted that the B-2's serviceability for Fiscal Year 2003 was still inadequate, mainly due to the maintainability of the B-2's low observable coatings. The evaluation also noted that the Defensive Avionics suite had shortcomings with "pop-up threats".
During the Iraq War, B-2s operated from Diego Garcia and an undisclosed "forward operating location". Other sorties in Iraq have launched from Whiteman AFB. the longest combat mission has been 44.3 hours. "Forward operating locations" have been previously designated as Andersen Air Force Base in Guam and RAF Fairford in the United Kingdom, where new climate controlled hangars have been constructed. B-2s have conducted 27 sorties from Whiteman AFB and 22 sorties from a forward operating location, releasing more than of munitions, including 583 JDAM "smart bombs" in 2003.
2010s
In response to organizational issues and high-profile mistakes made within the USAF, all of the B-2s, along with the nuclear-capable B-52s and the USAF's intercontinental ballistic missiles (ICBMs), were transferred to the newly formed Air Force Global Strike Command on 1 February 2010.
In March 2011, B-2s were the first U.S. aircraft into action in Operation Odyssey Dawn, the UN mandated enforcement of the Libyan no-fly zone. Three B-2s dropped 40 bombs on a Libyan airfield in support of the UN no-fly zone. The B-2s flew directly from the U.S. mainland across the Atlantic Ocean to Libya; a B-2 was refueled by allied tanker aircraft four times during each round trip mission.
In August 2011, The New Yorker reported that prior to the May 2011 U.S. Special Operations raid into Abbottabad, Pakistan that resulted in the death of Osama bin Laden, U.S. officials had considered an airstrike by one or more B-2s as an alternative; the use of a bunker busting bomb was rejected due to potential damage to nearby civilian buildings. There were also concerns an airstrike would make it difficult to positively identify Bin Laden's remains, making it hard to confirm his death.
On 28 March 2013, two B-2s flew a round trip of from Whiteman Air Force base in Missouri to South Korea, dropping dummy ordnance on the Jik Do target range. The mission, part of the annual South Korean–United States military exercises, was the first time that B-2s overflew the Korean peninsula. Tensions between the Koreas were high; North Korea protested against the B-2's participation and made threats of retaliatory nuclear strikes against South Korea and the United States.
On 18 January 2017, two B-2s attacked an ISIS training camp southwest of Sirte, Libya, killing around 85 militants. The B-2s together dropped 108 precision-guided Joint Direct Attack Munition (JDAM) bombs. These strikes were followed by an MQ-9 Reaper unmanned aerial vehicle firing Hellfire missiles. Each B-2 flew a 33-hour, round-trip mission from Whiteman Air Force Base, Missouri with four or five (accounts differ) refuelings during the trip.
Operators
United States Air Force (20 aircraft in active inventory)
Air Force Global Strike Command
509th Bomb Wing – Whiteman Air Force Base, Missouri (19 B-2s)
13th Bomb Squadron 2005–present
325th Bomb Squadron 1998–2005
393rd Bomb Squadron 1993–present
394th Combat Training Squadron 1996–2018
Air Combat Command
53d Wing – Eglin Air Force Base, Florida
72nd Test and Evaluation Squadron (Whiteman AFB, Missouri) 1998–present
57th Wing – Nellis AFB, Nevada
325th Weapons Squadron – Whiteman AFB, Missouri 2005–present
715th Weapons Squadron 2003–2005
Air National Guard
131st Bomb Wing (Associate) – Whiteman AFB, Missouri 2009–present
110th Bomb Squadron
Air Force Materiel Command
412th Test Wing – Edwards Air Force Base, California (has one B-2)
419th Flight Test Squadron 1997–present
420th Flight Test Squadron 1992–1997
Air Force Systems Command
6510th Test Wing – Edwards AFB, California 1989–1992
6520th Flight Test Squadron
Accidents and incidents
On 23 February 2008, B-2 "AV-12" Spirit of Kansas crashed on the runway shortly after takeoff from Andersen Air Force Base in Guam. Spirit of Kansas had been operated by the 393rd Bomb Squadron, 509th Bomb Wing, Whiteman Air Force Base, Missouri, and had logged 5,176 flight hours. The two-person crew ejected safely from the aircraft. The aircraft was destroyed, a hull loss valued at US$1.4 billion. After the accident, the USAF took the B-2 fleet off operational status for 53 days, returning on 15 April 2008. The cause of the crash was later determined to be moisture in the aircraft's Port Transducer Units during air data calibration, which distorted the information being sent to the bomber's air data system. As a result, the flight control computers calculated an inaccurate airspeed, and a negative angle of attack, causing the aircraft to pitch upward 30 degrees during takeoff. This was the first crash of a B-2 and the only loss .
In February 2010, a serious incident involving a B-2 occurred at Andersen Air Force Base in Guam. The aircraft involved was AV-11 Spirit of Washington. The aircraft was severely damaged by fire while on the ground and underwent 18 months of repairs to enable it to fly back to the mainland U.S. for more comprehensive repairs. Spirit of Washington was repaired and returned to service in December 2013. At the time of the accident, the USAF had no training to deal with tailpipe fires on the B-2s.
On the night of 13–14 September 2021, the B-2 Spirit of Georgia made an emergency landing at Whiteman AFB. The aircraft landed and went off the runway into the grass and came to rest on its left side. The cause was later determined to be faulty landing gear springs and "microcracking" in hydraulic connections on the aircraft. The lock link springs in the left landing gear had likely not been replaced in at least a decade, and produced about 11% less tension than specified. The "microcracking" reduced hydraulic support to the landing gear. These problems allowed the landing gear to fold upon landing. The accident resulted in a minimum of $10.1 million in repair damages, but the final repair cost was still being determined in March 2022.
On 10 December 2022, an in-flight malfunction aboard a B-2 forced an emergency landing at Whiteman AFB. No personnel, including the flight crew, sustained injuries during the incident; there was a post-crash fire that was quickly put out. Subsequently, all B-2s were grounded. On 18 May 2023, Air Force officials lifted the grounding without disclosing any details about what caused the incident, or what steps had been taken return the aircraft to operation.
Aircraft on display
No operational B-2s have been retired by the Air Force to be put on display. B-2s have made occasional appearances on ground display at various air shows.
B-2 test article (s/n AT-1000), the second of two built without engines or instruments and used for static testing, was placed on display in 2004 at the National Museum of the United States Air Force near Dayton, Ohio. The test article passed all structural testing requirements before the airframe failed. The museum's restoration team spent over a year reassembling the fractured airframe. The display airframe is marked to resemble Spirit of Ohio (S/N 82-1070), the B-2 used to test the design's ability to withstand extreme heat and cold. The exhibit features Spirit of Ohios nose wheel door, with its Fire and Ice artwork, which was painted and signed by the technicians who performed the temperature testing. The restored test aircraft is on display in the museum's "Cold War Gallery".
Specifications (B-2A Block 30)
Individual aircraft
Sources: B-2 Spirit (Pace), Fas.org
Notable appearances in media
See also
Notes
References
Bibliography
"Air Force, Options to Retire or Restructure the Force Would Reduce Planned Spending, NSIAD-96-192." US General Accounting Office, September 1996.
Crickmore, Paul and Alison J. Crickmore, "Nighthawk F-117 Stealth Fighter". North Branch, Minnesota: Zenith Imprint, 2003. .
Croddy, Eric and James J. Wirtz. Weapons of Mass Destruction: An Encyclopedia of Worldwide Policy, Technology, and History, Volume 2. Santa Barbara, California: ABC-CLIO, 2005. .
Dawson, T.W.G., G.F. Kitchen and G.B. Glider. Measurements of the Radar Echoing Area of the Vulcan by the Optical Simulation Method. Farnborough, Hants, UK: Royal Aircraft Establishment, September 1957 National Archive Catalogue file, AVIA 6/20895
Eden, Paul. "Northrop Grumman B-2 Spirit". Encyclopedia of Modern Military Aircraft. New York: Amber Books, 2004. .
Goodall, James C. "The Northrop B-2A Stealth Bomber." America's Stealth Fighters and Bombers: B-2, F-117, YF-22, and YF-23. St. Paul, Minnesota: MBI Publishing Company, 1992. .
Pelletier, Alain J. "Towards the Ideal Aircraft: The Life and Times of the Flying Wing, Part Two". Air Enthusiast, No. 65, September–October 1996, pp. 8–19. .
Sweetman, Bill. "Inside the stealth bomber". Zenith Imprint, 1999. .
Further reading
Richardson, Doug. Northrop B-2 Spirit (Classic Warplanes). New York: Smithmark Publishers Inc., 1991. .
Sweetman, Bill. Inside the Stealth Bomber. St. Paul, Minnesota: MBI Publishing, 1999. .
Winchester, Jim, ed. "Northrop B-2 Spirit". Modern Military Aircraft (Aviation Factfile). Rochester, Kent, UK: Grange Books plc, 2004. .
The World's Great Stealth and Reconnaissance Aircraft. New York: Smithmark, 1991. .
External links
B-2 Spirit fact sheet and gallery on U.S. Air Force site
B-2 Spirit page on Northrop Grumman site
B-2 Stealth Bomber article on How It Works Daily
B-2 Spirit News Articles
B-02 Spirit
B-02 Spirit
1980s United States bomber aircraft
Flying wings
Stealth aircraft
Quadjets
Relaxed-stability aircraft
Aircraft first flown in 1989
High-altitude and long endurance aircraft
Strategic bombers | 32 |
Beavers (genus Castor) are large, semiaquatic rodents of the Northern Hemisphere. There are two existing species: the North American beaver (Castor canadensis) and the Eurasian beaver (C. fiber). Beavers are the second-largest living rodents, after capybaras, weighing up to . They have stout bodies with large heads, long chisel-like incisors, brown or gray fur, hand-like front feet, webbed back feet, and tails that are flat and scaly. The two species differ in skull and tail shape and fur color. Beavers can be found in a number of freshwater habitats, such as rivers, streams, lakes and ponds. They are herbivorous, consuming tree bark, aquatic plants, grasses and sedges.
Beavers build dams and lodges using tree branches, vegetation, rocks and mud; they chew down trees for building material. Dams restrict water flow, and lodges serve as shelters. Their infrastructure creates wetlands used by many other species, and because of their effect on other organisms in the ecosystem, beavers are considered a keystone species. Adult males and females live in monogamous pairs with their offspring. After their first year, the young help their parents repair dams and lodges; older siblings may also help raise newly-born offspring. Beavers hold territories and mark them using scent mounds made of mud, debris, and castoreum—a liquid substance excreted through the beaver's urethra-based castor sacs. Beavers can also recognize their kin by their anal gland secretions and are more likely to tolerate them as neighbors.
Historically, beavers have been hunted for their fur, meat, and castoreum. Castoreum has been used in medicine, perfume, and food flavoring; beaver pelts have been a major driver of the fur trade. Before protections began in the 19th and early 20th centuries, overhunting had nearly exterminated both species. Their populations have since rebounded, and they are listed as species of least concern by the IUCN Red List of mammals. In human culture, the beaver symbolizes industriousness, especially in connection with construction; it is the national animal of Canada.
Etymology
The English word beaver comes from the Old English word or and is connected to the German word and the Dutch word . The ultimate origin of the word is an Indo-European root for . The genus name Castor has its origin in the Greek and translates as . The name beaver is the source for several names of places in Europe including Beverley, Bièvres, Biberbach, Biebrich, Bibra, Bibern, Bibrka, Bobr, Bjurbäcker, Bjurfors, Bober, Bóbrka and Bjurlund.
Taxonomy
There are two extant species: the North American beaver (Castor canadensis) and the Eurasian beaver (C. fiber). The Eurasian beaver is slightly longer and has a more lengthened skull, triangular nasal cavities (as opposed to the square ones of the North American species), a lighter fur color, and a narrower tail.
Carl Linnaeus coined the genus Castor in 1758; he also coined the specific (species) epithet fiber. German zoologist Heinrich Kuhl coined C. canadensis in 1820. However, they were not confirmed to be separate species until the 1970s, when chromosomal evidence became available. (The Eurasian has 48 chromosomes, while the North American has 40.) Prior to that, many considered them the same species. The difference in chromosome numbers prevents them from interbreeding. Twenty-five subspecies have been classified for C. canadensis, and nine have been classified for C. fiber.
Evolution
Beavers belong to the rodent suborder Castorimorpha, along with Heteromyidae (kangaroo rats and kangaroo mice), and the gophers. Modern beavers are the only extant members of the family Castoridae. They originated in North America in the late Eocene and colonized Eurasia via the Bering Land Bridge in the early Oligocene, coinciding with the Grande Coupure, a time of significant changes in animal species around 33million years ago (myr).
The more basal castorids had several unique features: more complex occlusion between cheek teeth, parallel rows of upper teeth, premolars that were only slightly smaller than molars, the presence of a third set of premolars (P3), a hole in the stapes of the inner ear, a smooth palatine bone (with the palatine opening closer to the rear end of the bone), and a longer snout. More derived castorids have less complex occlusion, upper tooth rows that create a V-shape towards the back, larger second premolars compared to molars, absence of a third premolar set and stapes hole, a more grooved palatine (with the opening shifted towards the front), and reduced incisive foramen. Members of the subfamily Palaeocastorinae appeared in late-Oligocene North America. This group consisted primarily of smaller animals with relatively large front legs, a flattened skull, and a reduced tail—all features of a fossorial (burrowing) lifestyle.
In the early Miocene (about 24 mya), castorids evolved a semiaquatic lifestyle. Members of the subfamily Castoroidinae are considered to be a sister group to modern beavers, and included giants like Castoroides of North America and Trogontherium of Eurasia. Castoroides is estimated to have had a length of and a weight of . Fossils of one genus in Castoroidinae, Dipoides, have been found near piles of chewed wood, though Dipoides appears to have been an inferior woodcutter compared to Castor. Researchers suggest that modern beavers and Castoroidinae shared a bark-eating common ancestor. Dam and lodge-building likely developed from bark-eating, and allowed beavers to survive in the harsh winters of the subarctic. There is no conclusive evidence for this behavior occurring in non-Castor species.
The genus Castor likely originated in Eurasia. The earliest fossil remains appear to be C. neglectus, found in Germany and dated 12–10 mya. Mitochondrial DNA studies place the common ancestor of the two living species at around 8 mya. The ancestors of the North American beaver would have crossed the Bering Land Bridge around 7.5 mya. Castor may have competed with members of Castoroidinae, which led to niche differentiation. The fossil species C. praefiber was likely an ancestor of the Eurasian beaver. C. californicus from the Early Pleistocene of North America was similar to but larger than the extant North American beaver.
Characteristics
Beavers are the second-largest living rodents, after capybaras. They have a head–body length of , with a tail, a shoulder height of , and generally weigh , but can be as heavy as . Males and females are almost identical externally. Their bodies are streamlined like marine mammals and their robust build allows them to pull heavy loads. A beaver coat has 12,000–23,000 hairs/cm2 (77,000–148,000 hairs/in2) and functions to keep the animal warm, to help it float in water, and to protect it against predators. Guard hairs are long and typically reddish brown, but can range from yellowish brown to nearly black. The underfur is long and dark gray. Beavers molt every summer.
Beavers have large skulls with powerful chewing muscles. They have four chisel-shaped incisors that continue to grow throughout their lives. The incisors are covered in a thick enamel that is colored orange or reddish-brown by iron compounds. The lower incisors have roots that are almost as long as the entire lower jaw. Beavers have one premolar and three molars on all four sides of the jaws, adding up to 20 teeth. The molars have meandering ridges for grinding woody material. The eyes, ears and nostrils are arranged so that they can remain above water while the rest of the body is submerged. The nostrils and ears have valves that close underwater, while nictitating membranes cover the eyes. To protect the larynx and trachea from water flow, the epiglottis is contained within the nasal cavity instead of the throat. In addition, the back of the tongue can rise and create a waterproof seal. A beaver's lips can close behind the incisors, preventing water from entering their mouths as they cut and bite onto things while submerged.
The beaver's front feet are dexterous, allowing them to grasp and manipulate objects and food, as well as dig. The hind feet are larger and have webbing between the toes, and the second innermost toe has a "double nail" used for grooming. Beavers can swim at ; only their webbed hind feet are used to swim, while the front feet fold under the chest. On the surface, the hind limbs thrust one after the other; while underwater, they move at the same time. Beavers are awkward on land but can move quickly when they feel threatened. They can carry objects while walking on their hind legs.
The beaver's distinctive tail has a conical, muscular, hairy base; the remaining two-thirds of the appendage is flat and scaly. The tail has multiple functions: it provides support for the animal when it is upright (such as when chewing down a tree), acts as a rudder when it is swimming, and stores fat for winter. It also has a countercurrent blood vessel system which allows the animal to lose heat in warm temperatures and retain heat in cold temperatures.
The beaver's sex organs are inside the body, and the male's penis has a cartilaginous baculum. They have only one opening, a cloaca, which is used for reproduction, scent-marking, defecation, and urination. The cloaca evolved secondarily, as most mammals have lost this feature, and may reduce the area vulnerable to infection in dirty water. The beaver's intestine is six times longer than its body, and the caecum is double the volume of its stomach. Microorganisms in the caecum allow them to process around 30 percent of the cellulose they eat. A beaver defecates in the water, leaving behind balls of sawdust. Female beavers have four mammary glands; these produce milk with 19 percent fat, a higher fat content than other rodents. Beavers have two pairs of glands: castor sacs, which are part of the urethra, and anal glands. The castor sacs secrete castoreum, a liquid substance used mainly for marking territory. Anal glands produce an oily substance which the beaver uses as a waterproof ointment for its coat. The substance plays a role in individual and family recognition. Anal secretions are darker in females than males among Eurasian beavers, while the reverse is true for the North American species.
Compared to many other rodents, a beaver's brain has a hypothalamus that is much smaller than the cerebrum; this indicates a relatively advanced brain with higher intelligence. The cerebellum is large, allowing the animal to move within a three-dimensional space (such as underwater) similar to tree-climbing squirrels. The neocortex is devoted mainly to touch and hearing. Touch is more advanced in the lips and hands than the whiskers and tail. Vision in the beaver is relatively poor; the beaver eye cannot see as well underwater as an otter. Beavers have a good sense of smell, which they use for detecting land predators and for inspecting scent marks, food, and other individuals.
Beavers can hold their breath for as long as 15 minutes but typically remain underwater for no more than five or six minutes. Dives typically last less than 30 seconds and are usually no more than deep. When diving, their heart rate decreases to 60 beats per minute, half its normal pace, and blood flow is directed more towards the brain. A beaver's body also has a high tolerance for carbon dioxide. When surfacing, the animal can replace 75 percent of the air in its lungs in one breath, compared to 15 percent for a human.
Distribution and status
The IUCN Red List of mammals lists both beaver species as least concern. The North American beaver is widespread throughout most of the United States and Canada and can be found in northern Mexico. The species was introduced to Finland in 1937 (and then spread to northwestern Russia) and to Tierra del Fuego, Patagonia, in 1946. , the introduced population of North American beavers in Finland has been moving closer to the habitat of the Eurasian beaver. Historically, the North American beaver was trapped and nearly extirpated because its fur was highly sought after. Protections have allowed the beaver population on the continent to rebound to an estimated 6–12million by the late 20th century; still far lower than the originally estimated 60–400million North American beavers before the fur trade. The introduced population in Tierra del Fuego is estimated at 35,000–50,000 individuals .
The Eurasian beaver's range historically included much of Eurasia, but was decimated by hunting by the early 20th century. In Europe, beavers were reduced to fragmented populations, with combined population numbers being estimated at 1,200 individuals for the Rhône of France, the Elbe in Germany, southern Norway, the Neman river and Dnieper Basin in Belarus, and the Voronezh river in Russia. The beaver has since recolonized parts of its former range, aided by conservation policies and reintroductions. Beaver populations now range across western, central, and eastern Europe, and western Russia and the Scandinavian Peninsula. Beginning in 2009, beavers have been successfully reintroduced to parts of Great Britain. , the total Eurasian beaver population in Europe was estimated at over one million. Small native populations are also present in Mongolia and northwestern China; their numbers were estimated at 150 and 700, respectively, . Under New Zealand's Hazardous Substances and New Organisms Act 1996, beavers are classed as a "prohibited new organism" preventing them from being introduced into the country.
Ecology
Beavers live in freshwater ecosystems such as rivers, streams, lakes and ponds. Water is the most important part of beaver habitat; they swim and dive in it, and it provides them a refuge from land predators, restricts access to their homes and allows them to move building objects more easily. Beavers prefer slower moving streams, typically with a gradient (steepness) of one percent, though they have been recorded using streams with gradients as high as 15 percent. Beavers are found in wider streams more often than in narrower ones. They also prefer areas with no regular flooding and may abandon a location for years after a significant flood.
Beavers typically select flat landscapes with diverse vegetation close to the water. North American beavers prefer trees being or less from the water, but will roam several hundred meters to find more. Beavers have also been recorded in mountainous areas. Dispersing beavers will use certain habitats temporarily before finding their ideal home. These include small streams, temporary swamps, ditches, and backyards. These sites lack important resources, so the animals do not stay there permanently. Beavers have increasingly settled at or near human-made environments, including agricultural areas, suburbs, golf courses, and shopping malls.
Beavers have an herbivorous and a generalist diet. During the spring and summer, they mainly feed on herbaceous plant material such as leaves, roots, herbs, ferns, grasses, sedges, water lilies, water shields, rushes, and cattails. During the fall and winter, they eat more bark and cambium of woody plants; tree and shrub species consumed include aspen, birch, oak, dogwood, willow and alder. There is some disagreement about why beavers select specific woody plants; some research has shown that beavers more frequently select species which are more easily digested, while others suggest beavers principally forage based on stem size. Beavers may cache their food for the winter, piling wood in the deepest part of their pond where it cannot be reached by other browsers. This cache is known as a "raft"; when the top becomes frozen, it creates a "cap". The beaver accesses the raft by swimming under the ice. Many populations of Eurasian beaver do not make rafts, but forage on land during winter.
Beavers usually live up to 10 years. Felids, canids, and bears may prey upon them. Beavers are protected from predators when in their lodges, and prefer to stay near water. Parasites of the beaver include the bacteria Francisella tularensis, which causes tularemia; the protozoan Giardia duodenalis, which causes giardiasis (beaver fever); and the beaver beetle and mites of the genus Schizocarpus. They have also been recorded to be infected with the rabies virus.
Infrastructure
Beavers need trees and shrubs to use as building material for dams, which restrict flowing water to create a pond for them to live in, and for lodges, which act as shelters and refuges from predators and the elements. Without such material, beavers dig burrows into a bank to live. Dam construction begins in late summer or early fall, and they repair them whenever needed. Beavers can cut down trees up to wide in less than 50 minutes. Thicker trees, at wide or more, may not fall for hours. When chewing down a tree, beavers switch between biting with the left and right side of the mouth. Tree branches are then cut and carried to their destination with the powerful jaw and neck muscles. Other building materials, like mud and rocks, are held by the forelimbs and tucked between the chin and chest.
Beaver start building dams when they hear running water, and the sound of a leak in a dam triggers them to repair it. To build a dam, beavers stack up relatively long and thick logs between banks and in opposite directions. Heavy rocks keep them stable, and grass is packed between them. Beavers continue to pile on more material until the dam slopes in a direction facing upstream. Dams can range in height from to and can stretch from to several hundred meters long. Beaver dams are more effective in trapping and slowly leaking water than man-made concrete dams. Lake-dwelling beavers do not need to build dams.
Beavers make two types of lodges: bank lodges and open-water lodges. Bank lodges are burrows dug along the shore and covered in sticks. The more complex freestanding, open-water lodges are built over a platform of piled-up sticks. The lodge is mostly sealed with mud, except for a hole at the top which acts as an air vent. Both types are accessed by underwater entrances. The above-water space inside the lodge is known as the "living chamber", and a "dining area" may exist close to the water entrance. Families routinely clean out old plant material and bring in new material.
North American beavers build more open-water lodges than Eurasian beavers. Beaver lodges built by new settlers are typically small and sloppy. More experienced families can build structures with a height of and an above-water diameter of . A lodge sturdy enough to withstand the coming winter can be finished in just two nights. Both lodge types can be present at a beaver site. During the summer, beavers tend to use bank lodges to keep cool. They use open-water lodges during the winter. The air vent provides ventilation, and newly-added carbon dioxide can be cleared in an hour. The lodge remains consistent in oxygen and carbon dioxide levels from season to season.
Beavers in some areas will dig canals connected to their ponds. The canals fill with groundwater and give beavers access and easier transport of resources, as well as allow them to escape predators. These canals can stretch up to wide, deep, and over long. It has been hypothesized that beavers' canals are not only transportation routes but an extension of their "central place" around the lodge and/or food cache. As they drag wood across the land, beavers leave behind trails or "slides", which they reuse when moving new material.
Environmental effects
The beaver works as an ecosystem engineer and keystone species, as its activities can have a great impact on the landscape and biodiversity of an area. Aside from humans, few other extant animals appear to do more to shape their environment. When building dams, beavers alter the paths of streams and rivers, allowing for the creation of extensive wetland habitats. In one study, beavers were associated with large increases in open-water areas. When beavers returned to an area, 160% more open water was available during droughts than in previous years, when they were absent. Beaver dams also lead to higher water tables in mineral soil environments and in wetlands such as peatlands. In peatlands particularly, their dams stabilize the constantly changing water levels, leading to greater carbon storage.
Beaver ponds, and the wetlands that succeed them, remove sediments and pollutants from waterways, and can stop the loss of important soils. These ponds can increase the productivity of freshwater ecosystems by accumulating nitrogen in sediments. Beaver activity can affect the temperature of the water; in northern latitudes, ice thaws earlier in the warmer beaver-dammed waters. Beavers may contribute to climate change. In Arctic areas, the floods they create can cause permafrost to thaw, releasing methane into the atmosphere.
As wetlands are formed and riparian habitats are enlarged, aquatic plants colonize the newly-available watery habitat. One study in the Adirondacks found that beaver engineering lead to an increase of more than 33 percent in herbaceous plant diversity along the water's edge. Another study in semiarid eastern Oregon found that the width of riparian vegetation on stream banks increased several-fold as beaver dams watered previously dry terraces adjacent to the stream. Riparian ecosystems in arid areas appear to sustain more plant life when beaver dams are present. Beaver ponds act as a refuge for riverbank plants during wildfires, and provide them with enough moisture to resist such fires. Introduced beavers at Tierra del Fuego have been responsible for destroying the indigenous forest. Unlike trees in North America, many trees in South America cannot grow back after being cut down.
Beaver activity impacts communities of aquatic invertebrates. Damming typically leads to an increase of slow or motionless water species, like dragonflies, oligochaetes, snails, and mussels. This is to the detriment of rapid water species like black flies, stoneflies, and net-spinning caddisflies. Beaver floodings create more dead trees, providing more habitat for terrestrial invertebrates like Drosophila flies and bark beetles, which live and breed in dead wood. The presence of beavers can increase wild salmon and trout populations, and the average size of these fishes. These species use beaver habitats for spawning, overwintering, feeding, and as havens from changes in water flow. The positive effects of beaver dams on fish appear to outweigh the negative effects, such as blocking of migration. Beaver ponds have been shown to be beneficial to frog populations by protecting areas for larvae to mature in warm water. The stable waters of beaver ponds also provide ideal habitat for freshwater turtles.
Beavers help waterfowl by creating increased areas of water. The widening of the riparian zone associated with beaver dams has been shown to increase the abundance and diversity of birds favoring the water's edge, an impact that may be especially important in semi-arid climates. Fish-eating birds use beaver ponds for foraging, and in some areas, certain species appear more frequently at sites where beavers were active than at sites with no beaver activity. In a study of Wyoming streams and rivers, watercourses with beavers had 75 times as many ducks as those without. As trees are drowned by rising beaver impoundments, they become an ideal habitat for woodpeckers, which carve cavities that may be later used by other bird species. Beaver-caused ice thawing in northern latitudes allows Canada geese to nest earlier.
Other semi-aquatic mammals, such as water voles, muskrats, minks, and otters, will shelter in beaver lodges. Beaver modifications to streams in Poland create habitats favorable to bat species that forage at the water surface and "prefer moderate vegetation clutter". Large herbivores, such as some deer species, benefit from beaver activity as they can access vegetation from fallen trees and ponds.
Behavior
Beavers are mainly nocturnal and crepuscular, and spend the daytime in their shelters. In northern latitudes, beaver activity is decoupled from the 24-hour cycle during the winter, and may last as long as 29 hours. They do not hibernate during winter, and spend much of their time in their lodges.
Family life
The core of beaver social organization is the family, which is composed of an adult male and an adult female in a monogamous pair and their offspring. Beaver families can have as many as ten members; groups about this size require multiple lodges. Mutual grooming and play fighting maintain bonds between family members, and aggression between them is uncommon.
Adult beavers mate with their partners, though partner replacement appears to be common. A beaver that loses its partner will wait for another one to come by. Estrus cycles begin in late December and peak in mid-January. Females may have two to four estrus cycles per season, each lasting 12–24 hours. The pair typically mate in the water and to a lesser extent in the lodge, for half a minute to three minutes.
Up to four young, or kits, are born in spring and summer, after a three or four-month gestation. Newborn beavers are precocial with a full fur coat, and can open their eyes within days of birth. Their mother is the primary caretaker, while their father maintains the territory. Older siblings from a previous litter also play a role.
After they are born, the kits spend their first one to two months in the lodge. Kits suckle for as long as three months, but can eat solid food within their second week and rely on their parents and older siblings to bring it to them. Eventually, beaver kits explore outside the lodge and forage on their own, but may follow an older relative and hold onto their backs. After their first year, young beavers help their families with construction. Beavers sexually mature around 1.5–3 years. They become independent at two years old, but remain with their parents for an extra year or more during times of food shortage, high population density, or drought.
Territories and spacing
Beavers typically disperse from their parental colonies during the spring or when the winter snow melts. They often travel less than , but long-distance dispersals are not uncommon when previous colonizers have already exploited local resources. Beavers are able to travel greater distances when free-flowing water is available. Individuals may meet their mates during the dispersal stage, and the pair travel together. It may take them weeks or months to reach their final destination; longer distances may require several years. Beavers establish and defend territories along the banks of their ponds, which may be in length.
Beavers mark their territories by constructing scent mounds made of mud and vegetation, scented with castoreum. Those with many territorial neighbors create more scent mounds. Scent marking increases in spring, during the dispersal of yearlings, to deter interlopers. Beavers are generally intolerant of intruders and fights may result in deep bites to the sides, rump, and tail. They exhibit a behavior known as the "dear enemy effect"; a territory-holder will investigate and become familiar with the scents of its neighbors and react more aggressively to the scents of strangers passing by. Beavers are also more tolerant of individuals that are their kin. They recognize them by using their keen sense of smell to detect differences in the composition of anal gland secretions. Anal gland secretion profiles are more similar among relatives than unrelated individuals.
Communication
Beavers within a family greet each other with whines. Kits will attract the attention of adults with mews, squeaks, and cries. Defensive beavers produce a hissing growl and gnash their teeth. Tail slaps, which involve an animal hitting the water surface with its tail, serve as alarm signals warning other beavers of a potential threat. An adult's tail slap is more successful in alerting others, who will escape into the lodge or deeper water. Juveniles have not yet learned the proper use of a tail slap, and hence are normally ignored. Eurasian beavers have been recorded using a territorial "stick display", which involves individuals holding up a stick and bouncing in shallow water.
Interactions with humans
Beavers sometimes come into conflict with humans over land use; individual beavers may be labeled as "nuisance beavers". Beavers can damage crops, timber stocks, roads, ditches, gardens, and pastures via gnawing, eating, digging, and flooding. They occasionally attack humans and domestic pets, particularly when infected with rabies, in defense of their territory, or when they feel threatened. Some of these attacks have been fatal, including at least one human death. Beavers can spread giardiasis ('beaver fever') by infecting surface waters, though outbreaks are more commonly caused by human activity.
Flow devices, like beaver pipes, are used to manage beaver flooding, while fencing and hardware cloth protect trees and shrubs from beaver damage. If necessary, hand tools, heavy equipment, or explosives are used to remove dams. Hunting, trapping, and relocation may be permitted as forms of population control and for removal of individuals. The governments of Argentina and Chile have authorized the trapping of invasive beavers in hopes of eliminating them. The ecological importance of beavers has led to cities like Seattle designing their parks and green spaces to accommodate the animals. The Martinez beavers became famous in the mid-2000s for their role in improving the ecosystem of Alhambra Creek in Martinez, California.
Zoos have displayed beavers since at least the 19th century, though not commonly. In captivity, beavers have been used for entertainment, fur harvesting, and for reintroduction into the wild. Captive beavers require access to water, substrate for digging, and artificial shelters. Archibald Stansfeld "Grey Owl" Belaney pioneered beaver conservation in the early 20th century. Belaney wrote several books, and was first to professionally film beavers in their environment. In 1931, he moved to a log cabin in Prince Albert National Park, where he was the "caretaker of park animals" and raised a beaver pair and their four offspring.
Commercial use
Beavers have been hunted, trapped, and exploited for their fur, meat, and castoreum. Since the animals typically stayed in one place, trappers could easily find them and could kill entire families in a lodge. Many pre-modern people mistakenly thought that castoreum was produced by the testicles or that the castor sacs of the beaver were its testicles, and females were hermaphrodites. Aesop's Fables describes beavers chewing off their testicles to preserve themselves from hunters, which is impossible because a beaver's testicles are internal. This myth persisted for centuries, and was corrected by French physician Guillaume Rondelet in the 1500s. Beavers have historically been hunted and captured using deadfalls, snares, nets, bows and arrows, spears, clubs, firearms, and leg-hold traps. Castoreum was used to lure the animals.
Castoreum was used for a variety of medical purposes; Pliny the Elder promoted it as a treatment for stomach problems, flatulence, seizures, sciatica, vertigo, and epilepsy. He stated it could stop hiccups when mixed with vinegar, toothaches if mixed with oil (by administering into the ear opening on the same side as the tooth), and could be used as an antivenom. The substance has traditionally been prescribed to treat hysteria in women, which was believed to have been caused by a "toxic" womb. Castoreum's properties have been credited to the accumulation of salicylic acid from willow and aspen trees in the beaver's diet, and has a physiological effect comparable to aspirin. Today, the medical use of castoreum has declined and is limited mainly to homeopathy. The substance is also used as an ingredient in perfumes and tinctures, and as a flavouring in food and drinks.
Various Native American groups have historically hunted beavers for food. Beaver meat was advantageous, being more calorie-rich and fattened than other red meats, and the animals remained plump in winter, when they were most hunted. The bones were used to make tools. In medieval Europe, the Catholic Church considered the beaver to be part mammal and part fish, and allowed followers to eat the scaly, fishlike tail on meatless Fridays during Lent. Beaver tails were thus highly-prized in Europe; they were described by French naturalist Pierre Belon as tasting like a "nicely dressed eel".
Beaver pelts were used to make hats; felters would remove the guard hairs. The number of pelts needed depended on the type of hat, with Cavalier and Puritan hats requiring more fur than top hats. In the late 16th century, Europeans began to deal in North American furs due to the lack of taxes or tariffs on the continent and the decline of fur-bearers at home. Beaver pelts caused or contributed to the Beaver Wars, King William's War, and the French and Indian War; the trade made John Jacob Astor and the owners of the North West Company very wealthy. For Europeans in North America, the fur trade was a driver of the exploration and westward exploration on the continent and contact with native peoples, who traded with them. The fur trade peaked between 1860 and 1870, when over 150,000 beaver pelts were purchased annually by the Hudson's Bay Company and fur companies in the United States. The contemporary global fur trade is not as profitable due to conservation, anti-fur and animal rights campaigns.
In culture
The beaver has been used to represent productivity, trade, tradition, masculinity, and respectability. References to the beaver's skills are reflected in everyday language. The English verb "to beaver" means working with great effort and being "as busy as a beaver"; a "beaver intellect" refers to a way of thinking that is slow and honest. The word "beaver" can also be used as a sexual term for the human vulva.
Native American myths emphasize the beaver's skill and industriousness. In the mythology of the Haida, beavers are descended from the Beaver-Woman, who built a dam on a stream next to their cabin while her husband was out hunting and gave birth to the first beavers. In a Cree story, the Great Beaver and its dam caused a world flood. Other tales involve beavers using their tree chewing skills against an enemy. Beavers have been featured as companions in some stories, including a Lakota tale where a young woman flees from her evil husband with the aid of her pet beaver.
Europeans have traditionally thought of beavers as fantastical animals due to their amphibious nature. They depicted them with exaggerated tusk-like teeth, dog- or pig-like bodies, fish tails, and visible testicles. French cartographer Nicolas de Fer illustrated beavers building a dam at Niagara Falls, fantastically depicting them like human builders. Beavers have also appeared in literature such as Dante Alighieri's Divine Comedy and the writings of Athanasius Kircher, who wrote that on Noah's Ark the beavers were housed near a water-filled tub that was also used by mermaids and otters.
The beaver has long been associated with Canada, appearing on the first pictorial postage stamp issued in the Canadian colonies in 1851 as the so-called "Three-Penny Beaver". It was declared the national animal in 1975. The five-cent coin, the coat of arms of the Hudson's Bay Company, and the logos for Parks Canada and Roots Canada use its image. Frank and Gordon are two fictional beavers that appeared in Bell Canada's advertisements between 2005 and 2008. However, the beaver's status as a rodent has made it controversial, and it was not chosen to be on the Arms of Canada in 1921. The beaver has commonly been used to represent Canada in political cartoons, typically to signify it as a friendly but relatively weak nation. In the United States, the beaver is the state animal of New York and Oregon. It is also featured on the coat of arms of the London School of Economics.
See also
Beaver drop
References
Sources
Further reading
External links
Beaver Institute Charity that supports beavers
Beaver Tracks: How to identify beaver tracks in the wild
Holarctic fauna
Articles containing video clips
Extant Miocene first appearances
Taxa named by Carl Linnaeus
Semiaquatic mammals | 5 |
The bald eagle (Haliaeetus leucocephalus) is a bird of prey found in North America. A sea eagle, it has two known subspecies and forms a species pair with the white-tailed eagle (Haliaeetus albicilla), which occupies the same niche as the bald eagle in the Palearctic. Its range includes most of Canada and Alaska, all of the contiguous United States, and northern Mexico. It is found near large bodies of open water with an abundant food supply and old-growth trees for nesting.
The bald eagle is an opportunistic feeder which subsists mainly on fish, which it swoops down upon and snatches from the water with its talons. It builds the largest nest of any North American bird and the largest tree nests ever recorded for any animal species, up to deep, wide, and in weight. Sexual maturity is attained at the age of four to five years.
Bald eagles are not bald; the name derives from an older meaning of the word, "white headed". The adult is mainly brown with a white head and tail. The sexes are identical in plumage, but females are about 25 percent larger than males. The yellow beak is large and hooked. The plumage of the immature is brown.
The bald eagle is the national bird of the United States of America and appears on its seal. In the late 20th century it was on the brink of extirpation in the contiguous United States. Populations have since recovered, and the species's status was upgraded from "endangered" to "threatened" in 1995, and removed from the list altogether in 2007.
Taxonomy
The bald eagle is placed in the genus Haliaeetus (sea eagles), and gets both its common and specific scientific names from the distinctive appearance of the adult's head. Bald in the English name is from an older usage meaning "having white on the face or head" rather than "hairless", referring to the white head feathers contrasting with the darker body. The genus name is Neo-Latin: Haliaeetus (from the ), and the specific name, leucocephalus, is Latinized () and ().
The bald eagle was one of the many species originally described by Carl Linnaeus in his 18th-century work Systema Naturae, under the name Falco leucocephalus.
There are two recognized subspecies of bald eagle:
H. l. leucocephalus (Linnaeus, 1766) is the nominate subspecies. It is found in the southern United States and Baja California Peninsula.
H. l. washingtoniensis (Audubon, 1827), synonym H. l. alascanus Townsend, 1897, the northern subspecies, is larger than southern nominate leucocephalus. It is found in the northern United States, Canada and Alaska.
The bald eagle forms a species pair with the white-tailed eagle of Eurasia. This species pair consists of a white-headed and a tan-headed species of roughly equal size; the white-tailed eagle also has overall somewhat paler brown body plumage. The two species fill the same ecological niche in their respective ranges. The pair diverged from other sea eagles at the beginning of the Early Miocene (c. 10 Ma BP) at the latest, but possibly as early as the Early/Middle Oligocene, 28 Ma BP, if the most ancient fossil record is correctly assigned to this genus.
Description
The plumage of an adult bald eagle is evenly dark brown with a white head and tail. The tail is moderately long and slightly wedge-shaped. Males and females are identical in plumage coloration, but sexual dimorphism is evident in the species, in that females are 25% larger than males. The beak, feet and irises are bright yellow. The legs are feather-free, and the toes are short and powerful with large talons. The highly developed talon of the hind toe is used to pierce the vital areas of prey while it is held immobile by the front toes. The beak is large and hooked, with a yellow cere. The adult bald eagle is unmistakable in its native range. The closely related African fish eagle (Haliaeetus vocifer) (from far outside the bald eagle's range) also has a brown body (albeit of somewhat more rufous hue), white head and tail, but differs from the bald eagle in having a white chest and black tip to the bill.
The plumage of the immature is a dark brown overlaid with messy white streaking until the fifth (rarely fourth, very rarely third) year, when it reaches sexual maturity. Immature bald eagles are distinguishable from the golden eagle (Aquila chrysaetos), the only other very large, non-vulturine raptorial bird in North America, in that the former has a larger, more protruding head with a larger beak, straighter edged wings which are held flat (not slightly raised) and with a stiffer wing beat and feathers which do not completely cover the legs. When seen well, the golden eagle is distinctive in plumage with a more solid warm brown color than an immature bald eagle, with a reddish-golden patch to its nape and (in immature birds) a highly contrasting set of white squares on the wing.
The bald eagle has sometimes been considered the largest true raptor (accipitrid) in North America. The only larger species of raptor-like bird is the California condor (Gymnogyps californianus), a New World vulture which today is not generally considered a taxonomic ally of true accipitrids. However, the golden eagle, averaging and in wing chord length in its American race (Aquila chrysaetos canadensis), is merely lighter in mean body mass and exceeds the bald eagle in mean wing chord length by around . Additionally, the bald eagle's close cousins, the relatively longer-winged but shorter-tailed white-tailed eagle and the overall larger Steller's sea eagle (Haliaeetus pelagicus), may, rarely, wander to coastal Alaska from Asia.
The bald eagle has a body length of . Typical wingspan is between and mass is normally between . Females are about 25% larger than males, averaging as much as , and against the males' average weight of .
The size of the bird varies by location and generally corresponds with Bergmann's rule: the species increases in size further away from the equator and the tropics. For example, eagles from South Carolina average in mass and in wingspan, smaller than their northern counterparts. One field guide in Florida listed similarly small sizes for bald eagles there, at about . Of intermediate size, 117 migrant bald eagles in Glacier National Park were found to average but this was mostly (possibly post-dispersal) juvenile eagles, with 6 adults here averaging . Wintering eagles in Arizona (winter weights are usually the highest of the year since, like many raptors, they spend the highest percentage of time foraging during winter) were found to average .
The largest eagles are from Alaska, where large females may weigh more than and span across the wings. A survey of adult weights in Alaska showed that females there weighed on average , respectively, and males weighed against immatures which averaged and in the two sexes. An Alaskan adult female eagle that was considered outsized weighed some . R.S. Palmer listed a record from 1876 in Wyoming County, New York of an enormous adult bald eagle that was shot and reportedly scaled . Among standard linear measurements, the wing chord is , the tail is long, and the tarsus is . The culmen reportedly ranges from , while the measurement from the gape to the tip of the bill is . The bill size is unusually variable: Alaskan eagles can have up to twice the bill length of birds from the southern United States (Georgia, Louisiana, Florida), with means including both sexes of and in culmen length, respectively, from these two areas.
The call consists of weak staccato, chirping whistles, kleek kik ik ik ik, somewhat similar in cadence to a gull's call. The calls of young birds tend to be more harsh and shrill than those of adults.
Range
The bald eagle's natural range covers most of North America, including most of Canada, all of the continental United States, and northern Mexico. It is the only sea eagle endemic to North America. Occupying varied habitats from the bayous of Louisiana to the Sonoran Desert and the eastern deciduous forests of Quebec and New England, northern birds are migratory, while southern birds are resident, remaining on their breeding territory all year. At minimum population, in the 1950s, it was largely restricted to Alaska, the Aleutian Islands, northern and eastern Canada, and Florida. From 1966 to 2015 bald eagle numbers increased substantially throughout its winter and breeding ranges, and as of 2018 the species nests in every continental state and province in the United States and Canada.
The majority of bald eagles in Canada are found along the British Columbia coast while large populations are found in the forests of Alberta, Saskatchewan, Manitoba and Ontario. Bald eagles also congregate in certain locations in winter. From November until February, one to two thousand birds winter in Squamish, British Columbia, about halfway between Vancouver and Whistler. The birds primarily gather along the Squamish and Cheakamus Rivers, attracted by the salmon spawning in the area. Similar congregations of wintering bald eagles at open lakes and rivers, wherein fish are readily available for hunting or scavenging, are observed in the northern United States.
It has occurred as a vagrant twice in Ireland; a juvenile was shot illegally in Fermanagh on January 11, 1973 (misidentified at first as a white-tailed eagle), and an exhausted juvenile was captured near Castleisland, County Kerry on November 15, 1987. There is also a record of it from Llyn Coron, Anglesey, in the United Kingdom, from October 17, 1978; the provenance of this individual eagle has remained in dispute.
Habitat
The bald eagle occurs during its breeding season in virtually any kind of American wetland habitat such as seacoasts, rivers, large lakes or marshes or other large bodies of open water with an abundance of fish. Studies have shown a preference for bodies of water with a circumference greater than , and lakes with an area greater than are optimal for breeding bald eagles.
The bald eagle typically requires old-growth and mature stands of coniferous or hardwood trees for perching, roosting, and nesting. Tree species reportedly is less important to the eagle pair than the tree's height, composition and location. Perhaps of paramount importance for this species is an abundance of comparatively large trees surrounding the body of water. Selected trees must have good visibility, be over tall, an open structure, and proximity to prey. If nesting trees are in standing water such as in a mangrove swamp, the nest can be located fairly low, at as low above the ground. In a more typical tree standing on dry ground, nests may be located from in height. In Chesapeake Bay, nesting trees averaged in diameter and in total height, while in Florida, the average nesting tree stands high and is in diameter. Trees used for nesting in the Greater Yellowstone area average high. Trees or forest used for nesting should have a canopy cover of no more than 60%, and no less than 20%, and be in close proximity to water. Most nests have been found within of open water. The greatest distance from open water recorded for a bald eagle nest was over , in Florida.
Bald eagle nests are often very large in order to compensate for size of the birds. The largest recorded nest was found in Florida in 1963, and was measured at nearly 10 feet wide and 20 feet deep.
In Florida, nesting habitats often consist of Mangrove swamps, the shorelines of lakes and rivers, pinelands, seasonally flooded flatwoods, hardwood swamps, and open prairies and pastureland with scattered tall trees. Favored nesting trees in Florida are slash pines (Pinus elliottii), longleaf pines (P. palustris), loblolly pines (P. taeda) and cypress trees, but for the southern coastal areas where mangroves are usually used. In Wyoming, groves of mature cottonwoods or tall pines found along streams and rivers are typical bald eagle nesting habitats. Wyoming eagles may inhabit habitat types ranging from large, old-growth stands of ponderosa pines (Pinus ponderosa) to narrow strips of riparian trees surrounded by rangeland. In Southeast Alaska, Sitka spruce (Picea sitchensis) provided 78% of the nesting trees used by eagles, followed by hemlocks (Tsuga) at 20%. Increasingly, eagles nest in human-made reservoirs stocked with fish.
The bald eagle is usually quite sensitive to human activity while nesting, and is found most commonly in areas with minimal human disturbance. It chooses sites more than from low-density human disturbance and more than from medium- to high-density human disturbance. However, bald eagles will occasionally nest in large estuaries or secluded groves within major cities, such as Hardtack Island on the Willamette River in Portland, Oregon or John Heinz National Wildlife Refuge at Tinicum in Philadelphia, Pennsylvania, which are surrounded by a great quantity of human activity. Even more contrary to the usual sensitivity to disturbance, a family of bald eagles moved to the Harlem neighborhood in New York City in 2010.
While wintering, bald eagles tend to be less habitat and disturbance sensitive. They will commonly congregate at spots with plentiful perches and waters with plentiful prey and (in northern climes) partially unfrozen waters. Alternately, non-breeding or wintering bald eagles, particularly in areas with a lack of human disturbance, spend their time in various upland, terrestrial habitats sometimes quite far away from waterways. In the northern half of North America (especially the interior portion), this terrestrial inhabitance by bald eagles tends to be especially prevalent because unfrozen water may not be accessible. Upland wintering habitats often consist of open habitats with concentrations of medium-sized mammals, such as prairies, meadows or tundra, or open forests with regular carrion access.
Behavior
The bald eagle is a powerful flier, and soars on thermal convection currents. It reaches speeds of when gliding and flapping, and about while carrying fish. Its dive speed is between , though it seldom dives vertically. Regarding their flying abilities, despite being morphologically less well adapted to faster flight than golden eagles (especially during dives), the bald eagle is considered surprisingly maneuverable in flight. Bald eagles have also been recorded catching up to and then swooping under geese in flight, turning over and thrusting their talons into the other bird's breast. It is partially migratory, depending on location. If its territory has access to open water, it remains there year-round, but if the body of water freezes during the winter, making it impossible to obtain food, it migrates to the south or to the coast. A number of populations are subject to post-breeding dispersal, mainly in juveniles; Florida eagles, for example, will disperse northwards in the summer. The bald eagle selects migration routes which take advantage of thermals, updrafts, and food resources. During migration, it may ascend in a thermal and then glide down, or may ascend in updrafts created by the wind against a cliff or other terrain. Migration generally takes place during the daytime, usually between the local hours of 8:00 a.m. and 6:00 p.m., when thermals are produced by the sun.
Diet and feeding
The bald eagle is an opportunistic carnivore with the capacity to consume a great variety of prey. Fish often comprise most of the eagle's diet throughout their range. In 20 food habit studies across the species' range, fish comprised 56% of the diet of nesting eagles, birds 28%, mammals 14% and other prey 2%. More than 400 species are known to be included in the bald eagle's prey spectrum, far more than its ecological equivalent in the Old World, the white-tailed eagle, is known to take. Despite its considerably lower population, the bald eagle may come in second amongst all North American accipitrids, slightly behind only the red-tailed hawk, in number of prey species recorded.
Behavior
To hunt fish, the eagle swoops down over the water and snatches the fish out of the water with its talons. They eat by holding the fish in one claw and tearing the flesh with the other. Eagles have structures on their toes called spicules that allow them to grasp fish. Osprey also have this adaptation. Bird prey may occasionally be attacked in flight, with prey up to the size of Canada geese attacked and killed in mid-air. It has been estimated that the gripping power (pounds by square inch) of the bald eagle is ten times greater than that of a human. Bald eagles can fly with fish at least equal to their own weight, but if the fish is too heavy to lift, the eagle may be dragged into the water. Bald eagles are able to swim, in some cases dragging its catch ashore with its talons, but some eagles drown or succumb to hypothermia. Many sources claim that bald eagles, like all large eagles, cannot normally take flight carrying prey more than half of their own weight unless aided by favorable wind conditions. On numerous occasions, when large prey such as large fish including mature salmon or geese are attacked, eagles have been seen to make contact and then drag the prey in a strenuously labored, low flight over the water to a bank, where they then finish off and dismember the prey. When food is abundant, an eagle can gorge itself by storing up to of food in a pouch in the throat called a crop. Gorging allows the bird to fast for several days if food becomes unavailable. Occasionally, bald eagles may hunt cooperatively when confronting prey, especially relatively large prey such as jackrabbits or herons, with one bird distracting potential prey, while the other comes behind it in order to ambush it. While hunting waterfowl, bald eagles repeatedly fly at a target and cause it to dive repeatedly, hoping to exhaust the victim so it can be caught (white-tailed eagles have been recorded hunting waterfowl in the same way). When hunting concentrated prey, a successful catch often results in the hunting eagle being pursued by other eagles and needing to find an isolated perch for consumption if it is able to carry it away successfully.
They obtain much of their food as carrion or via a practice known as kleptoparasitism, by which they steal prey away from other predators. Due to their dietary habits, bald eagles are frequently viewed in a negative light by humans. Thanks to their superior foraging ability and experience, adults are generally more likely to hunt live prey than immature eagles, which often obtain their food from scavenging. They are not very selective about the condition or origin, whether provided by humans, other animals, auto accidents or natural causes, of a carcass's presence, but will avoid eating carrion where disturbances from humans are a regular occurrence. They will scavenge carcasses up to the size of whales, though carcasses of ungulates and large fish are seemingly preferred. Congregated wintering waterfowl are frequently exploited for carcasses to scavenge by immature eagles in harsh winter weather. Bald eagles also may sometimes feed on material scavenged or stolen from campsites and picnics, as well as garbage dumps (dump usage is habitual mainly in Alaska) and fish-processing plants.
Fish
In Southeast Alaska, fish comprise approximately 66% of the year-round diet of bald eagles and 78% of the prey brought to the nest by the parents. Eagles living in the Columbia River Estuary in Oregon were found to rely on fish for 90% of their dietary intake. At least 100 species of fish have been recorded in the bald eagle's diet. From observation in the Columbia River, 58% of the fish were caught alive by the eagle, 24% were scavenged as carcasses and 18% were pirated away from other animals.
In the Pacific Northwest, spawning trout and salmon provide most of the bald eagles' diet from late summer throughout fall. Though bald eagles occasionally catch live salmon, they usually scavenge spawned salmon carcass. Southeast Alaskan eagles largely prey on pink salmon (Oncorhynchus gorbuscha), coho salmon (O. kisutch) and, more locally, sockeye salmon (O. nerka), with Chinook salmon (O. tshawytscha). Due to the Chinook salmon's large size ( average adult size) probably being taken only as carrion and a single carcass can attract several eagles. Also important in the estuaries and shallow coastlines of southern Alaska are Pacific herring (Clupea pallasii), Pacific sand lance (Ammodytes hexapterus) and eulachon (Thaleichthys pacificus). In Oregon's Columbia River Estuary, the most significant prey species were largescale suckers (Catostomus macrocheilus) (17.3% of the prey selected there), American shad (Alosa sapidissima; 13%) and common carp (Cyprinus carpio; 10.8%). Eagles living in the Chesapeake Bay in Maryland were found to subsist largely on American gizzard shad (Dorosoma cepedianum), threadfin shad (Dorosoma petenense) and white bass (Morone chrysops). Floridian eagles have been reported to prey on catfish, most prevalently the brown bullhead (Ameiurus nebulosus) and any species in the genus Ictalurus as well as mullet, trout, needlefish, and eels. Chain pickerels (Esox niger) and white suckers (Catostomus commersonii) are frequently taken in interior Maine. Wintering eagles on the Platte River in Nebraska preyed mainly on American gizzard shads and common carp. Bald eagles are also known to eat the following fish species: rainbow trout (Oncorhynchus mykiss), white catfish (Ameiurus catus), rock greenling (Hexagrammos lagocephalus), Pacific cod (Gadus macrocephalus), Atka mackerel (Pleurogrammus monopterygius), largemouth bass (Micropterus salmoides), northern pike (Esox lucius), striped bass (Morone saxatilis), dogfish shark (Squalidae.sp) and Blue walleye (Sander vitreus).
Fish taken by bald eagles varies in size, but bald eagles take larger fish than other piscivorous birds in North America, typically range from and prefer fish. When experimenters offered fish of different sizes in the breeding season around Lake Britton in California, fish measuring were taken 71.8% of the time by parent eagles while fish measuring were chosen only 25% of the time. At nests around Lake Superior, the remains of fish (mostly suckers) were found to average in total length. In the Columbia River estuary, most preyed on by eagles were estimated to measure less than , but larger fish between or even exceeding in length also taken especially during the non-breeding seasons. In Neagle Lake, eagles frequently take Northern pike, up to long. They can take fish up to at least twice their own weight, such as large salmons, carps, or even adult muskellunge (Esox masquinongy), by dragging its catch with talons and pull toward ashore. Much larger marine fish such as Pacific halibut (Hippoglossus stenolepis) and lemon sharks (Negaprion brevirostris) have been recorded among bald eagle prey though probably are only taken as young, as small, newly mature fish, or as carrion.
Benthic fishes such as catfish are usually consumed after they die and float to the surface, though while temporarily swimming in the open may be more vulnerable to predation than most fish since their eyes focus downwards. Bald eagles also regularly exploit water turbines which produce battered, stunned or dead fish easily consumed. Predators who leave behind scraps of dead fish that they kill, such as brown bears (Ursus arctos), gray wolves (Canis lupus) and red foxes (Vulpes vulpes), may be habitually followed in order to scavenge the kills secondarily. Once North Pacific salmon die off after spawning, usually local bald eagles eat salmon carcasses almost exclusively. Eagles in Washington need to consume of fish each day for survival, with adults generally consuming more than juveniles and thus reducing potential energy deficiency and increasing survival during winter.
Birds
Behind fish, the next most significant prey base for bald eagles are other waterbirds. The contribution of such birds to the eagle's diet is variable, depending on the quantity and availability of fish near the water's surface. Waterbirds can seasonally comprise from 7% to 80% of the prey selection for eagles in certain localities. Overall, birds are the most diverse group in the bald eagle's prey spectrum, with 200 prey species recorded.
Bird species most preferred as prey by eagles tend to be medium-sized, such as western grebes (Aechmophorus occidentalis), mallards (Anas platyrhynchos), and American coots (Fulica americana) as such prey is relatively easy for the much larger eagles to catch and fly with. American herring gull (Larus smithsonianus) are the favored avian prey species for eagles living around Lake Superior. Black ducks (Anas rubripes), common eiders (Somateria mollissima), and double-crested cormorants (Phalacrocorax auritus) are also frequently taken in coastal Maine and velvet scoter (Melanitta fusca) was dominant prey in San Miguel Island.
Due to easy accessibility and lack of formidable nest defense against eagles by such species, bald eagles are capable of preying on such seabirds at all ages, from eggs to mature adults, and they can effectively cull large portions of a colony. Along some portions of the North Pacific coastline, bald eagles which had historically preyed mainly kelp-dwelling fish and supplementally sea otter (Enhydra lutris) pups are now preying mainly on seabird colonies since both the fish (possibly due to overfishing) and otters (cause unknown) have had steep population declines, causing concern for seabird conservation. Because of this more extensive predation, some biologist has expressed concern that murres are heading for a "conservation collision" due to heavy eagle predation. Eagles have been confirmed to attack nocturnally active, burrow-nesting seabird species such as storm petrels and shearwaters by digging out their burrows and feeding on all animals they find inside. If a bald eagle flies close by, waterbirds will often fly away en masse, though they may seemingly ignore a perched eagle in other cases. when the birds fly away from a colony, this exposes their unprotected eggs and nestlings to scavengers such as gulls.
While they usually target small to medium-sized seabirds, larger seabirds such as great black-backed gulls (Larus marinus) and northern gannets (Morus bassanus) and brown pelicans (Pelecanus occidentalis) of all ages can successfully taken by bald eagles. Similarly, large waterbirds are occasionally prey as well. Geese such as wintering emperor geese (Chen canagica) and snow geese (C. caerulescens), which gather in large groups, sometimes becoming regular prey. Smaller Ross's geese (Anser rossii) are also taken, as well as large-sized Canada geese (Branta canadensis). Predation on the largest subspecies (Branta canadensis maxima) has been reported. Large wading birds can also fall prey to bald eagles. For the great blue herons (Ardea herodias), bald eagles are their only serious enemies of all ages. Slightly larger Sandhill cranes (Grus canadensis) can be taken as well. While adult whooping cranes (Grus americana) are too large and formidable, their chicks can fall prey to bald eagles. They even occasionally prey on adult tundra swans (Cygnus columbianus). Young trumpeter swans (Cygnus buccinator) are also taken, and an unsuccessful attack on an adult swan has been photographed.
Bald eagles have been recorded as killing other raptors on occasion. In some cases, these may be attacks of competition or kleptoparasitism on rival species but end with the consumption of the dead victims. Nine species each of other accipitrids and owls are known to have been preyed upon by bald eagles. Owl prey species have ranged in size from western screech-owls (Megascops kennicotti) to snowy owls (Bubo scandiacus). Larger diurnal raptors known to have fallen victim to bald eagles have included red-tailed hawks (Buteo jamaicensis), peregrine falcons (Falco peregrinus), northern goshawks (Accipiter gentilis), ospreys (Pandion haliaetus) and black (Coragyps atratus) and turkey vultures (Cathartes aura).
Mammals
Mammalian preys are generally less frequently taken than fish or avian prey. However, in some regions, such as landlocked areas of North America, wintering bald eagles may become habitual predators of medium-sized mammals that occur in colonies or local concentrations, such as prairie dogs (Cynomys sp.) and jackrabbits (Lepus sp.). Bald eagles in Seedskadee National Wildlife Refuge often hunt in pair to catch rabbits and prairie dogs. They can attack and prey on rabbits and hares of nearly any size, from marsh rabbits (Sylvilagus palustris) to black and white-tailed jackrabbits (Lepus californicus & L. townsendii), and Arctic hares (Lepus arcticus). In San Luis Valley, white-tailed jackrabbits can be important prey. Additionally, rodents such as montane voles (Microtus montanus), brown rats (Rattus norvegicus), muskrats (Ondatra zibethicus), nutrias (Myocastor coypus), and various squirrels are taken as supplementary prey. Even American porcupines (Erethizon dorsatum) are reportedly attacked and killed.
Where available, seal colonies can provide a lot of food. On Protection Island, Washington, they commonly feed on harbor seal (Phoca vitulina) afterbirths, still-borns and sickly seal pups. Similarly, bald eagles in Alaska readily prey on sea otter (Enhydra lutris) pups. Terrestrial mammalian carnivores can be taken infrequently. Mustelid from size of American martens (Martes pennanti), and American minks (Neogale vison), to adult North American river otters (Lontra canadensis) and male fisher cats (Pekania pennanti) are taken. Foxes are also taken, including Island foxes ( Urocyon littoralis ), Arctic foxes (Vulpes lagopus), and grey foxes (Urocyon cinereoargenteus). In one instance, two bald Eagles feed upon a red fox (Vulpes vulpes) that had tried to cross a frozen Delaware Lake. Other medium-sized carnivorans such as striped skunks (Mephitis mephitis), American hog-nosed skunks (Conepatus leuconotus), and common raccoons (Procyon lotor) are taken, as well as domestic cats (Felis catus) and dogs (canis familiaris).
Other wild mammalian prey include fawns of deer such as white-tailed deer (Odocoileus virginianus) and Sitka deer (Odocoileus hemionus sitkensis), which weigh around can be taken alive by bald eagles. In one instance, a bald eagle was observed carrying mule deer (Odocoileus hemionus) fawn. Additionally, Virginia opossums (Didelphis virginiana) can be preyed upon but most of them are mainly taken as roadkills due to their nocturnal habits.
Together with the golden eagle, bald eagles are occasionally accused of preying on livestock, especially sheep (Ovis aries). There are a handful of proven cases of lamb predation, some specimens weighing up to , by bald eagles. Still, they are much less likely to attack a healthy lamb than a golden eagle. Both species prefer native, wild prey and are unlikely to cause any extensive detriment to human livelihoods. There is one case of a bald eagle killing and feeding on an adult, pregnant ewe (then joined in eating the kill by at least 3 other eagles), which, weighing on average over , is much larger than any other known prey taken by this species.
Reptiles and other prey
Supplemental prey is readily taken given the opportunity. In some areas, reptiles may become regular prey, especially in warm areas such as Florida where reptile diversity is high. Turtles are perhaps the most regularly hunted type of reptile. In coastal New Jersey, 14 of 20 studied eagle nests included remains of turtles. The main species found were common musk turtles (Sternotherus odoratus), diamondback terrapin (Malaclemys terrapin) and juvenile common snapping turtles (Chelydra serpentina). In these New Jersey nests, mainly subadult and small adults were taken, ranging in carapace length from . Similarly, many turtles were recorded in the diet in the Chesapeake Bay. In Texas, softshell turtles are the most frequently taken prey, and a large number of Barbour's map turtles are taken in Torreya State Park. Other reptilian and amphibian prey includes southern alligator lizards (Elgaria multicarinata), snakes such as garter snakes and rattlesnakes, and Greater siren (Siren lacertina).
Invertebrates are occasionally taken. In Alaska, eagles feed on sea urchins (Strongylocentrotus sp.), chitons, mussels, and crabs. Other various mollusks such as land snails, abalones, bivalves, periwinkles, blue mussels, squids, and starfishes are taken as well.
Interspecific predatory relationships
When competing for food, eagles will usually dominate other fish-eaters and scavengers, aggressively displacing mammals such as coyotes (Canis latrans) and foxes, and birds such as corvids, gulls, vultures and other raptors. Occasionally, coyotes, bobcats (Lynx rufus) and domestic dogs (Canis familiaris) can displace eagles from carrion, usually less confident immature birds, as has been recorded in Maine. Bald eagles are less active, bold predators than golden eagles and get relatively more of their food as carrion and from kleptoparasitism (although it is now generally thought that golden eagles eat more carrion than was previously assumed). However, the two species are roughly equal in size, aggressiveness and physical strength and so competitions can go either way. Neither species is known to be dominant, and the outcome depends on the size and disposition of the individual eagles involved. Wintering bald and golden eagles in Utah both sometimes won conflicts, though in one recorded instance a single bald eagle successfully displaced two consecutive golden eagles from a kill.
Though bald eagles face few natural threats, an unusual attacker comes in the form of the common loon (G. immer), which is also taken by eagles as prey. While common loons normally avoid conflict, they are highly territorial and will attack predators and competitors by stabbing at them with their knife-like bill; as the range of the bald eagle has increased following conservation efforts, these interactions have been observed on several occasions, including a fatality of a bald eagle in Maine that is presumed to have come about as a result of it attacking a nest, then having a fatal puncture wound inflicted by one or both loon parents.
The bald eagle is thought to be much more numerous in North America than the golden eagle, with the bald species estimated to number at least 150,000 individuals, about twice as many golden eagles there are estimated to live in North America. Due to this, bald eagles often outnumber golden eagles at attractive food sources. Despite the potential for contention between these animals, in New Jersey during winter, a golden eagle and numerous bald eagles were observed to hunt snow geese alongside each other without conflict. Similarly, both eagle species have been recorded, via video-monitoring, to feed on gut piles and carcasses of white-tailed deer (Odocoileus virginianus) in remote forest clearings in the eastern Appalachian Mountains without apparent conflict. Bald eagles are frequently mobbed by smaller raptors, due to their infrequent but unpredictable tendency to hunt other birds of prey. Many bald eagles are habitual kleptoparasites, especially in winters when fish are harder to come by. They have been recorded stealing fish from other predators such as ospreys, herons and even otters. They have also been recorded opportunistically pirating birds from peregrine falcons (Falco peregrinus), prairie dogs from ferruginous hawks (Buteo regalis) and even jackrabbits from golden eagles. When they approach scavengers such as dogs, gulls or vultures at carrion sites, they often attack them in an attempt to force them to disgorge their food. Healthy adult bald eagles are not preyed upon in the wild and are thus considered apex predators.
Reproduction
Bald eagles are sexually mature at four or five years of age. When they are old enough to breed, they often return to the area where they were born. It is thought that bald eagles mate for life. However, if one member of a pair dies or disappears, the survivor will choose a new mate. A pair which has repeatedly failed in breeding attempts may split and look for new mates. Bald eagle courtship involves elaborate, spectacular calls and flight displays by the males. The flight includes swoops, chases, and cartwheels, in which they fly high, lock talons, and free-fall, separating just before hitting the ground. Usually, a territory defended by a mature pair will be of waterside habitat.
Compared to most other raptors, which mostly nest in April or May, bald eagles are early breeders: nest building or reinforcing is often by mid-February, egg laying is often late February (sometimes during deep snow in the North), and incubation is usually mid-March and early May. Eggs hatch from mid April to early May, and the young fledge late June to early July. The nest is the largest of any bird in North America; it is used repeatedly over many years and with new material added each year may eventually be as large as deep, across and weigh . One nest in Florida was found to be deep, across, and to weigh . This nest is on record as the largest tree nest ever recorded for any animal. Usually nests are used for under five years, as they either collapse in storms or break the branches supporting them by their sheer weight. However, one nest in the Midwest was occupied continuously for at least 34 years. The nest is built of branches, usually in large trees found near water. When breeding where there are no trees, the bald eagle will nest on the ground, as has been recorded largely in areas largely isolated from terrestrial predators, such as Amchitka Island in Alaska.
In Sonora, Mexico, eagles have been observed nesting on top of hecho catcuses (Pachycereus pectin-aboriginum). Nests located on cliffs and rock pinnacles have been reported historically in California, Kansas, Nevada, New Mexico and Utah, but currently are only verified to occur only in Alaska and Arizona. The eggs average about long, ranging from , and have a breadth of , ranging from . Eggs in Alaska averaged in mass, while in Saskatchewan they averaged . As with their ultimate body size, egg size tends to increase with distance from the equator. Eagles produce between one and three eggs per year, two being typical. Rarely, four eggs have been found in nests, but these may be exceptional cases of polygyny. Eagles in captivity have been capable of producing up to seven eggs. It is rare for all three chicks to successfully reach the fledgling stage. The oldest chick often bears the advantage of larger size and louder voice, which tends to draw the parents' attention towards it. Occasionally, as is recorded in many large raptorial birds, the oldest sibling sometimes attacks and kills its younger sibling(s), especially early in the nesting period when their sizes are most different. However, nearly half of known bald eagles produce two fledglings (more rarely three), unlike in some other "eagle" species such as some in the genus Aquila, in which a second fledgling is typically observed in less than 20% of nests, despite two eggs typically being laid. Both the male and female take turns incubating the eggs, but the female does most of the sitting. The parent not incubating will hunt for food or look for nesting material during this stage. For the first two to three weeks of the nestling period, at least one adult is at the nest almost 100% of the time. After five to six weeks, the attendance of parents usually drops off considerably (with the parents often perching in trees nearby).
A young eaglet can gain up to a day, the fastest growth rate of any North American bird. The young eaglets pick up and manipulate sticks, play tug of war with each other, practice holding things in their talons, and stretch and flap their wings. By eight weeks, the eaglets are strong enough to flap their wings, lift their feet off the nest platform, and rise up in the air. The young fledge at anywhere from 8 to 14 weeks of age, though will remain close to the nest and attended to by their parents for a further 6 weeks. Juvenile eagles first start dispersing away from their parents about 8 weeks after they fledge. Variability in departure date related to effects of sex and hatching order on growth and development. For the next four years, immature eagles wander widely in search of food until they attain adult plumage and are eligible to reproduce.
On rare occasions, bald eagles have been recorded to adopt other raptor fledglings into their nests, as seen in 2017 by a pair of eagles in Shoal Harbor Migratory Bird Sanctuary near Sidney, British Columbia. The pair of eagles in question are believed to have carried a juvenile red-tailed hawk back to their nest, presumably as prey, whereupon the chick was accepted into the family by both the parents and the eagles' three nestlings. The hawk, nicknamed "Spunky" by biologists monitoring the nest, fledged successfully.
Longevity and mortality
The average lifespan of bald eagles in the wild is around 20 years, with the oldest confirmed one having been 38 years of age. In captivity, they often live somewhat longer. In one instance, a captive individual in New York lived for nearly 50 years. As with size, the average lifespan of an eagle population appears to be influenced by its location and access to prey. As they are no longer heavily persecuted, adult mortality is quite low. In one study of Florida eagles, adult bald eagles reportedly had 100% annual survival rate. In Prince William Sound in Alaska, adults had an annual survival rate of 88% even after the Exxon Valdez oil spill adversely affected eagles in the area. Of 1,428 individuals from across the range necropsied by National Wildlife Health Center from 1963 to 1984, 329 (23%) eagles died from trauma, primarily impact with wires and vehicles; 309 (22%) died from gunshot; 158 (11%) died from poisoning; 130 (9%) died from electrocution; 68 (5%) died from trapping; 110 (8%) from emaciation; and 31 (2%) from disease; cause of death was undetermined in 293 (20%) of cases. In this study, 68% of mortality was human-caused. Today, eagle-shooting is believed to be considerably reduced due to the species' protected status. In one case, an adult eagle investigating a peregrine falcon nest for prey items sustained a concussion from a swooping parent peregrine, and ultimately died days later from it. An early natural history video depicting a cougar (Puma concolor) ambushing and killing an immature bald eagle feeding at a rabbit carcass is viewable online, although this film may have been staged.
Most non-human-related mortality involves nestlings or eggs. Around 50% of eagles survive their first year. However, in the Chesapeake Bay area, 100% of 39 radio-tagged nestlings survived to their first year. Nestling or egg fatalities may be due to nest collapses, starvation, sibling aggression or inclement weather. Another significant cause of egg and nestling mortality is predation. Nest predators include large gulls, corvids (including ravens, crows and magpies), wolverines (Gulo gulo), fishers (Pekania pennanti), red-tailed hawks, owls, other eagles, bobcats, American black bears (Ursus americanus) and raccoons. If food access is low, parental attendance at the nest may be lower because both parents may have to forage, thus resulting in less protection. Nestlings are usually exempt from predation by terrestrial carnivores that are poor tree-climbers, but Arctic foxes (Vulpes lagopus) occasionally snatched nestlings from ground nests on Amchitka Island in Alaska before they were extirpated from the island. The bald eagle will defend its nest fiercely from all comers and has even repelled attacks from bears, having been recorded knocking a black bear out of a tree when the latter tried to climb a tree holding nestlings.
Relationship with humans
Population decline and recovery
Once a common sight in much of the continent, the bald eagle was severely affected in the mid-20th century by a variety of factors, among them the thinning of egg shells attributed to use of the pesticide DDT. Bald eagles, like many birds of prey, were especially affected by DDT due to biomagnification. DDT itself was not lethal to the adult bird, but it interfered with their calcium metabolism, making them either sterile or unable to lay healthy eggs; many of their eggs were too brittle to withstand the weight of a brooding adult, making it nearly impossible for them to hatch. It is estimated that in the early 18th century the bald eagle population was 300,000–500,000, but by the 1950s there were only 412 nesting pairs in the 48 contiguous states of the US.
Other factors in bald eagle population reductions were a widespread loss of suitable habitat, as well as both legal and illegal shooting. In 1930 a New York City ornithologist wrote that in the territory of Alaska in the previous 12 years approximately 70,000 bald eagles had been shot. Many of the hunters killed the bald eagles under the long-held beliefs that bald eagles grabbed young lambs and even children with their talons, yet the birds were innocent of most of these alleged acts of predation (lamb predation is rare, human predation is thought to be non-existent). Illegal shooting was described as "the leading cause of direct mortality in both adult and immature bald eagles" by the U.S. Fish and Wildlife Service in 1978. Leading causes of death in bald eagles include lead pollution, poisoning, collision with motor vehicles, and power-line electrocution. A study published in 2022 in the journal Science found that more than half of adult eagles across 38 US states suffered from lead poisoning. The primary cause is when eagles scavenge carcasses of animals shot by hunters. These are often tainted with lead shotgun pellets or rifle rounds, ammunition fragments.
The species was first protected in the U.S. and Canada by the 1918 Migratory Bird Treaty, later extended to all of North America. The Bald and Golden Eagle Protection Act, approved by the U.S. Congress in 1940, protected the bald eagle and the golden eagle, prohibiting commercial trapping and killing of the birds. The bald eagle was declared an endangered species in the U.S. in 1967, and amendments to the 1940 act between 1962 and 1972 further restricted commercial uses and increased penalties for violators. Perhaps most significant in the species' recovery, in 1972, DDT was banned from usage in the United States due to the fact that it inhibited the reproduction of many birds. DDT was completely banned in Canada in 1989, though its use had been highly restricted since the late 1970s.
With regulations in place and DDT banned, the eagle population rebounded. The bald eagle can be found in growing concentrations throughout the United States and Canada, particularly near large bodies of water. In the early 1980s, the estimated total population was 100,000 individuals, with 110,000–115,000 by 1992; the U.S. state with the largest resident population is Alaska, with about 40,000–50,000, with the next highest population the Canadian province of British Columbia with 20,000–30,000 in 1992. Obtaining a precise count of the bald eagle population is extremely difficult. The most recent data submitted by individual states was in 2006, when 9789 breeding pairs were reported. For some time, the stronghold breeding population of bald eagles in the lower 48 states was in Florida, where over a thousand pairs have held on while populations in other states were significantly reduced by DDT use. Today, the contiguous state with the largest number of breeding pairs of eagles is Minnesota with an estimated 1,312 pairs, surpassing Florida's most recent count of 1,166 pairs. 23, or nearly half, of the 48 contiguous states now have at least 100 breeding pairs of bald eagles. In Washington State, there were only 105 occupied nests in 1980. That number increased by about 30 per year, so that by 2005 there were 840 occupied nests. 2005 was the last year that the Washington Department of Fish and Wildlife counted occupied nests. Further population increases in Washington may be limited by the availability of late winter food, particularly salmon.
The bald eagle was officially removed from the U.S. federal government's list of endangered species on July 12, 1995, by the U.S. Fish & Wildlife Service, when it was reclassified from "endangered" to "threatened". On July 6, 1999, a proposal was initiated "To Remove the Bald Eagle in the Lower 48 States From the List of Endangered and Threatened Wildlife". It was de-listed on June 28, 2007. It has also been assigned a risk level of least concern category on the IUCN Red List. In the Exxon Valdez oil spill of 1989 an estimated 247 were killed in Prince William Sound, though the local population returned to its pre-spill level by 1995. In some areas, the increase in eagles has led to decreases in other bird populations and the eagles may be considered a pest.
Killing permits
In December 2016, the U.S. Fish and Wildlife Service proposed extending the permits issued to wind generation companies to allow them to kill up to 4,200 bald eagles per year without facing a penalty, four times the previous number. The permits would last 30 years, six times the current 5-year term.
In captivity
Permits are required to keep bald eagles in captivity in the United States. Permits are primarily issued to public educational institutions, and the eagles that they show are permanently injured individuals that cannot be released to the wild. The facilities where eagles are kept must be equipped with adequate caging, as well as workers experienced in the handling and care of eagles. The bald eagle can be long-lived in captivity if well cared for, but does not breed well even under the best conditions.
In Canada and in England a license is required to keep bald eagles for falconry. Bald eagles cannot legally be kept for falconry in the United States, but a license may be issued in some jurisdictions to allow use of such eagles in birds-of-prey flight shows.
Cultural significance
The bald eagle is important in various Native American cultures and, as the national bird of the United States, is prominent in seals and logos, coinage, postage stamps, and other items relating to the U.S. federal government.
Role in Native American culture
The bald eagle is a sacred bird in some North American cultures, and its feathers, like those of the golden eagle, are central to many religious and spiritual customs among Native Americans. Eagles are considered spiritual messengers between gods and humans by some cultures. Many pow wow dancers use the eagle claw as part of their regalia as well. Eagle feathers are often used in traditional ceremonies, particularly in the construction of regalia worn and as a part of fans, bustles and head dresses. In the Navajo tradition an eagle feather is represented to be a protector, along with the feather Navajo medicine men use the leg and wing bones for ceremonial whistles. The Lakota, for instance, give an eagle feather as a symbol of honor to person who achieves a task. In modern times, it may be given on an event such as a graduation from college. The Pawnee consider eagles as symbols of fertility because their nests are built high off the ground and because they fiercely protect their young. The Choctaw consider the bald eagle, who has direct contact with the upper world of the sun, as a symbol of peace.
During the Sun Dance, which is practiced by many Plains Indian tribes, the eagle is represented in several ways. The eagle nest is represented by the fork of the lodge where the dance is held. A whistle made from the wing bone of an eagle is used during the course of the dance. Also during the dance, a medicine man may direct his fan, which is made of eagle feathers, to people who seek to be healed. The medicine man touches the fan to the center pole and then to the patient, in order to transmit power from the pole to the patient. The fan is then held up toward the sky, so that the eagle may carry the prayers for the sick to the Creator.
Current eagle feather law stipulates that only individuals of certifiable Native American ancestry enrolled in a federally recognized tribe are legally authorized to obtain or possess bald or golden eagle feathers for religious or spiritual use. The constitutionality of these laws has been questioned by Native American groups on the basis that it violates the First Amendment by affecting ability to practice their religion freely.
The National Eagle Repository, a division of the FWS, exists as a means to receive, process, and store bald and golden eagles which are found dead and to distribute the eagles, their parts and feathers to federally recognized Native American tribes for use in religious ceremonies.
National bird of the United States
The bald eagle is the national bird of the United States of America. The founders of the United States were fond of comparing their new republic with the Roman Republic, in which eagle imagery (usually involving the golden eagle) was prominent. On June 20, 1782, the Continental Congress adopted the design for the Great Seal of the United States, depicting a bald eagle grasping 13 arrows and an olive branch with thirteen leaves with its talons.
The bald eagle appears on most official seals of the U.S. government, including the presidential seal, the presidential flag, and in the logos of many U.S. federal agencies. Between 1916 and 1945, the presidential flag (but not the seal) showed an eagle facing to its left (the viewer's right), which gave rise to the urban legend that the flag is changed to have the eagle face towards the olive branch in peace, and towards the arrows in wartime.
Contrary to popular legend, there is no evidence that Benjamin Franklin ever publicly supported the wild turkey (Meleagris gallopavo), rather than the bald eagle, as a symbol of the United States. However, in a letter written to his daughter in 1784 from Paris, criticizing the Society of the Cincinnati, he stated his personal distaste for the bald eagle's behavior. In the letter Franklin states:
Franklin opposed the creation of the Society because he viewed it, with its hereditary membership, as a noble order unwelcome in the newly independent Republic, contrary to the ideals of Lucius Quinctius Cincinnatus, for whom the Society was named. His reference to the two kinds of birds is interpreted as a satirical comparison between the Society of the Cincinnati and Cincinnatus.
Popular culture
Largely because of its role as a symbol of the United States, but also because of its being a large predator, the bald eagle has many representations in popular culture. In film and television depictions the call of the red-tailed hawk, which is much louder and more powerful, is often substituted for bald eagles.
See also
American bison
Besnard Lake
Eagle lady
Coat of arms of the Philippines
Old Abe
List of national birds
References
Further reading
Identification
Grant, Peter J. (1988) "The Co. Kerry Bald Eagle" Twitching 1(12): 379–80 – describes plumage differences between bald eagle and white-tailed eagle in juveniles
External links
The National Eagle Center
American Bald Eagle Foundation
American Bald Eagle Information
Bald eagle bird sound – Florida Museum of Natural History
Video links
Photo field guide on Flickr
100+ Bald Eagles
bald eagle
bald eagle
Apex predators
Scavengers
Birds of Canada
Birds of the United States
Birds of Mexico
Birds of Saint Pierre and Miquelon
Birds of prey of North America
Native birds of the Rocky Mountains
National symbols of the United States
bald eagle
Taxa named by Carl Linnaeus
Least concern biota of North America
Least concern biota of the United States | 7 |
The brown bear (Ursus arctos) is a large bear species found across Eurasia and North America. In North America, the populations of brown bears are called grizzly bears, while the subspecies that inhabits the Kodiak Islands of Alaska is known as the Kodiak bear. It is one of the largest living terrestrial members of the order Carnivora, rivaled in size only by its closest relative, the polar bear (Ursus maritimus), which is much less variable in size and slightly bigger on average. The brown bear's range includes parts of Russia, Central Asia, the Himalayas, China, Canada, the United States, Hokkaido, Scandinavia, Finland, the Balkans, the Picos de Europa and the Carpathian region (especially Romania), Iran, Anatolia, and the Caucasus. The brown bear is recognized as a national and state animal in several European countries.
While the brown bear's range has shrunk, and it has faced local extinctions across its wide range, it remains listed as a least concern species by the International Union for Conservation of Nature (IUCN) with a total estimated population in 2017 of 110,000. , this and the American black bear are the only bear species not classified as threatened by the IUCN, though the large sizes of both bears may be a disadvantage due to increased competition with humans. Populations that were hunted to extinction in the 19th and 20th centuries are the Atlas bear of North Africa and the Californian, Ungavan and Mexican populations of the grizzly bear of North America. Many of the populations in the southern parts of Eurasia are highly endangered as well. One of the smaller-bodied forms, the Himalayan brown bear, is critically endangered, occupying only 2% of its former range and threatened by uncontrolled poaching for its body parts. The Marsican brown bear of central Italy is one of several currently isolated populations of the Eurasian brown bear and is believed to have a population of just 50 to 60 bears.
Evolution and taxonomy
The brown bear is sometimes referred to as the , from Middle English. This name originated in the fable History of Reynard the Fox translated by William Caxton from Middle Dutch or , meaning brown (the color). In the mid-19th century United States, the brown bear was termed "Old Ephraim" and sometimes as "Moccasin Joe".
The scientific name of the brown bear, Ursus arctos, comes from the Latin , meaning "bear", and the Greek /, also meaning "bear".
Generalized names and evolution
Brown bears are thought to have evolved from Ursus etruscus in Asia. The brown bear, per Kurten (1976), has been stated as "clearly derived from the Asian population of Ursus savini about 800,000 years ago; spread into Europe, to the New World." A genetic analysis indicated that the brown bear lineage diverged from the cave bear species complex approximately 1.2–1.4 million years ago, but did not clarify if U. savini persisted as a paraspecies for the brown bear before perishing. The oldest fossils positively identified as from this species occur in China from about 0.5 million years ago. Brown bears entered Europe about 250,000 years ago and North Africa shortly after. Brown bear remains from the Pleistocene period are common in the British Isles, where it is thought they might have outcompeted cave bears (Ursus spelaeus). The species entered Alaska 100,000 years ago, though they did not move south until 13,000 years ago. It is speculated that brown bears were unable to migrate south until the extinction of the much larger giant short-faced bear (Arctodus simus).
Several paleontologists suggest the possibility of two separate brown bear migrations. First, the inland brown bears, also known as grizzlies, are thought to stem from narrow-skulled bears which migrated from northern Siberia to central Alaska and the rest of the continent. Moreover, the Kodiak bears descend from broad-skulled bears from Kamchatka, which colonized the Alaskan peninsula. Brown bear fossils discovered in Ontario, Ohio, Kentucky and Labrador show that the species occurred farther east than indicated in historic records. In North America, two types of the subspecies Ursus arctos horribilis are generally recognized—the coastal brown bear and the inland grizzly bear; these two types broadly define the range of sizes of all brown bear subspecies.
Scientific taxonomy
There are many methods used by scientists to define bear species and subspecies, as no one method is always effective. Brown bear taxonomy and subspecies classification has been described as "formidable and confusing," with few authorities listing the same specific set of subspecies. Genetic testing is now perhaps the most important way to scientifically define brown bear relationships and names. Generally, genetic testing uses the word clade rather than species because a genetic test alone cannot define a biological species. Most genetic studies report on how closely related the bears are (or their genetic distance). There are hundreds of obsolete brown bear subspecies, each with its own name, so this can become confusing. Hall (1981) lists 86 different types, and even as many as 90 have been proposed. However, recent DNA analysis has identified as few as five main clades which contain all extant brown bears, while a 2017 phylogenetic study revealed nine clades, including one representing polar bears. , 15 extant or recently extinct subspecies were recognized by the general scientific community.
As well as the exact number of overall brown bear subspecies, its precise relationship to the polar bear also remains in debate. The polar bear is a recent offshoot of the brown bear. The point at which the polar bear diverged from the brown bear is unclear, with estimations based on genetics and fossils ranging from 400,000 to 70,000 years ago, but most recent analysis has indicated that the polar bear split somewhere between 275,000 and 150,000 years ago. Under some definitions, the brown bear can be construed as the paraspecies for the polar bear.
DNA analysis shows that, apart from recent human-caused population fragmentation, brown bears in North America are generally part of a single interconnected population system, with the exception of the population (or subspecies) in the Kodiak Archipelago, which has probably been isolated since the end of the last Ice Age. These data demonstrate that U. a. gyas, U. a. horribilis, U. a. sitkensis and U. a. stikeenensis are not distinct or cohesive groups, and would more accurately be described as ecotypes. For example, brown bears in any particular region of the Alaska coast are more closely related to adjacent grizzly bears than to distant populations of brown bears, the morphological distinction seemingly driven by brown bears having access to a rich salmon food source, while grizzly bears live at higher elevation, or further from the coast, where plant material is the base of the diet. The history of the bears of the Alexander Archipelago is unusual in that these island populations carry polar bear DNA, presumably originating from a population of polar bears that was left behind at the end of the Pleistocene, but have since been connected with adjacent mainland populations through movement of males, to the point where their nuclear genomes are now more than 90% of brown bear ancestry.
Brown bears are apparently divided into five different clades, some of which coexist or co-occur in different regions.
Hybrids
A grizzly–polar bear hybrid (known either as a pizzly bear or a grolar bear) is a rare ursid hybrid resulting from a crossbreeding of a brown bear and a polar bear. It has occurred both in captivity and in the wild. In 2006, the occurrence of this hybrid in nature was confirmed by testing the DNA of a strange-looking bear that had been shot in the Canadian Arctic, and seven more hybrids have since been confirmed in the same region, all descended from a single female polar bear. Previously, the hybrid had been produced in zoos and was considered a "cryptid" (a hypothesized animal for which there is no scientific proof of existence in the wild).
Analyses of the genomes of bears have shown that introgression between species was widespread during the evolution of the genus Ursus, including the introgression of polar bear DNA introduced to brown bears during the Pleistocene.
A bear shot in autumn 1986 in Michigan, US, was thought by some to be a grizzly/American black bear hybrid, due to its unusually large size and its proportionately larger braincase and skull. DNA testing was unable to determine whether it was a large American black bear or a grizzly bear.
Description
The brown bear is the most variable in size of modern bears. The typical size depends upon which population it is from, and most accepted subtypes vary widely in size. This is in part due to sexual dimorphism, as male brown bears average at least 30% larger in most subtypes. Individual bears also vary in size seasonally, weighing the least in spring due to lack of foraging during hibernation, and the most in late fall, after a period of hyperphagia to put on additional weight to prepare for hibernation. Therefore, a bear may need to be weighed in both spring and fall to get an idea of its mean annual weight.
Generally brown bears weigh anywhere from , with males outweighing females. The normal range of physical dimensions for a brown bear is a head-and-body length of and a shoulder height of . The tail is relatively short, as in all bears, ranging from in length. The smallest brown bears, females during spring among barren-ground populations, can weigh so little as to roughly match the body mass of males of the smallest living bear species, the sun bear (Helarctos malayanus), while the largest coastal populations attain sizes broadly similar to those of the largest living bear species, the polar bear. Interior brown bears are generally smaller than is often perceived, being around the same weight as an average lion, at an estimate average of in males and in females, whereas adults of the coastal populations weigh about twice as much. The average weight of adult male bears from 19 populations, from around the world and various subspecies (including both large- and small-bodied subspecies), was found to be while adult females from 24 populations were found to average .
Color
Brown bears are often not fully brown. They have long, thick fur, with a moderately long mane at the back of the neck which varies somewhat across the types. In India, brown bears can be reddish with silver-tipped hairs, while in China brown bears are bicolored, with a yellowish-brown or whitish collar across the neck, chest and shoulders. Even within well-defined subspecies, individuals may show highly variable hues of brown. North American grizzlies can be dark brown (almost black) to cream (almost white) or yellowish-brown and often have darker-colored legs. The common name "grizzly" stems from their typical coloration, with the hairs on their back usually being brownish-black at the base and whitish-cream at the tips, giving them their distinctive "grizzled" color. Apart from the cinnamon subspecies of the American black bear (U. americanus cinnamonum), the brown bear is the only modern bear species to typically appear truly brown. The winter fur is very thick and long, especially in northern subspecies, and can reach at the withers. The winter hairs are thin, yet rough to the touch. The summer fur is much shorter and sparser, with its length and density varying geographically.
Cranial morphology and size
Adults have massive, heavily built concave skulls, which are large in proportion to the body. The forehead is high and rises steeply. The projections of the skull are well developed when compared to those of Asian black bears (Ursus thibetanus): the latter have sagittal crests not exceeding more than 19–20% of the total length of the skull, while the former have sagittal crests comprising up to 40–41% of the skull's length. Skull projections are more weakly developed in females than in males. The braincase is relatively small and elongated. There is a great deal of geographical variation in the skull, and presents itself chiefly in dimensions. Grizzlies, for example, tend to have flatter profiles than European and coastal American brown bears. Skull lengths of Russian brown bears tend to be for males, and for females. The width of the zygomatic arches in males is , and in females. Brown bears have very strong teeth: the incisors are relatively big and the canine teeth are large, the lower ones being strongly curved. The first three molars of the upper jaw are underdeveloped and single crowned with one root. The second upper molar is smaller than the others, and is usually absent in adults. It is usually lost at an early age, leaving no trace of the alveolus in the jaw. The first three molars of the lower jaw are very weak, and are often lost at an early age. The teeth of brown bears reflect their dietary plasticity and are broadly similar to other bears, excluding the two most herbivorous living bears, the giant panda (Ailuropoda melanoleuca) and the spectacled bear (Tremarctos ornatus), which have blunt, small premolars (ideal for grinding down fibrous plants) compared to the jagged premolars of ursid bears that at least seasonally often rely on flesh as a food source. The teeth are reliably larger than American black bears, but average smaller in molar length than polar bears. Brown bears have the broadest skull of any extant ursine bear; only the aforementioned most herbivorous living bears exceed them in relative breadth of the skull. Another extant ursine bear, the sloth bear (Melursus ursinus), has a proportionately longer skull than the brown bear and can match the skull length of even large brown bear subtypes, presumably as an aid for foraging heavily on insect colonies for which a long muzzle is helpful as an evolved feature in several unrelated mammalian groups.
Claws and feet
Brown bears have very large and curved claws, those present on the forelimbs being longer than those on the hind limbs. They may reach and may measure along the curve. They are generally dark with a light tip, with some forms having completely light claws. Brown bear claws are longer and straighter than those of American black bears (Ursus americanus). The claws are blunt, while those of a black bear are sharp. Due to their claw structure, in addition to their excessive weight, adult brown bears cannot typically climb trees as well as both species of black bear, although in rare cases adult female brown bears have been seen in trees. The claws of a polar bear are also quite different, being notably shorter but broader with a strong curve and sharper point, presumably both as an aid to traveling over ice (sometimes nearly vertically) and procuring active prey. The paws of the brown bear are quite large. The rear feet of adult bears have been found to typically measure long, while the forefeet tend to measure about 40% less in length. All four feet in average sized brown bears tend to be about in width. In large coastal or Kodiak bear males, the hindfoot may measure up to in length, in width, while outsized Kodiak bears having had confirmed measurements of up to along their rear foot. Brown bears are the only extant bears with a hump at the top of their shoulder, which is made entirely of muscle, this feature having developed presumably for imparting more force in digging, which is habitual during foraging for most bears of the species and also used heavily in den construction prior to hibernation. The brown bear's strength has been roughly estimated as 2.5 to 5 times that of a human.
Distribution and habitat
Brown bears were once native to Europe, much of Asia, the Atlas Mountains of Africa, and North America, but are now extirpated in some areas, and their populations have greatly decreased in other areas. There are approximately 200,000 brown bears left in the world. The largest populations are in Russia with 120,000, the United States with 32,500, and Canada with around 25,000. Brown bears live in Alaska, east through the Yukon and Northwest Territories, south through British Columbia and through the western half of Alberta. The Alaskan population is estimated at a healthy 32,000 individuals. In the lower 48 states, they are repopulating slowly, but steadily along the Rockies and the western Great Plains.
In Europe, in 2010, there were 14,000 brown bears in ten fragmented populations, from Spain (estimated at only 20–25 animals in the Pyrenees in 2010, in a range shared between Spain, France and Andorra, and some 210 animals in Asturias, Cantabria, Galicia and León, in the Picos de Europa and adjacent areas in 2013) in the west, to Russia in the east, and from Sweden and Finland in the north to Romania (5000–6000), Bulgaria (900–1200), Slovakia (with about 600–800 animals), Slovenia (500–700 animals) and Greece (with Karamanlidis et al. 2015 estimating >450 animals) in the south.
In Asia, brown bears are found primarily throughout Russia, thence more spottily southwest to parts of the Middle East, including almost all parts of Kurdistan, to as far south as southwestern Iran, and to the southeast in Northeast China. Brown bears are also found in Western China, Kyrgyzstan, North Korea, Pakistan, Afghanistan and India. They can also be found on the Japanese island of Hokkaidō, which holds the largest number of non-Russian brown bears in eastern Asia with about 2,000–3,000 animals.
This species inhabits the broadest range of habitats of any living bear species.
They seem to have no altitudinal preferences and have been recorded from sea level to an elevation of (the latter in the Himalayas). In most of their range, brown bears generally seem to prefer semiopen country, with a scattering of vegetation that can allow them a resting spot during the day. However, they have been recorded as inhabiting every variety of northern temperate forest known to occur.
Conservation status
While the brown bear's range has shrunk and it has faced local extinctions, it remains listed as a Least concern species by the IUCN, with a total population of approximately 200,000. , this and the American black bear are the only bear species not classified as threatened by the IUCN. However, the California grizzly bear, Ungava brown bear, Atlas bear and Mexican grizzly bear, as well as brown bear populations in the Pacific Northwest, were hunted to extinction in the 19th and early 20th centuries and many of the southern Asian subspecies are highly endangered. The Syrian brown bear (Ursus arctos syriacus) is very rare and it has been extirpated from more than half of its historic range. One of the smallest-bodied subspecies, the Himalayan brown bear (Ursus arctos isabellinus), is critically endangered, occupying only 2% of its former range and threatened by uncontrolled poaching for its body parts. The Marsican brown bear in central Italy is believed to have a population of just 50–60 bears.
Behavior and life history
The brown bear is often described as nocturnal. However, it frequently seems to peak in activity in the morning and early evening hours. Studies have shown that activity throughout the range can occur at nearly any time of night or day, with bears who dwell in areas with more extensive human contact being more likely to be fully nocturnal. Furthermore, yearling and newly independent bears are more likely to be active diurnally and many adult bears in low-disturbance areas are largely crepuscular. In summer through autumn, a brown bear can double its weight from the spring, gaining up to of fat, on which it relies to make it through winter, when it becomes very lethargic. Although they are not full hibernators and can be woken easily, both sexes like to den in a protected spot during the winter months. Hibernation dens may consist of any spot that provides cover from the elements and that can accommodate their bodies, such as a cave, crevice, cavernous tree roots, or hollow logs.
Brown bears have one of the largest brains of any extant carnivoran relative to their body size and have been shown to engage in tool use (e.g., using a barnacle-covered rock to scratch its neck), which requires advanced cognitive abilities. This species is mostly solitary, although bears may gather in large numbers at major food sources (e.g., open garbage dumps or rivers holding spawning salmon) and form social hierarchies based on age and size. Adult male bears are particularly aggressive and are avoided by adolescent and subadult males, both at concentrated feeding opportunities and chance encounters. Female bears with cubs rival adult males in aggression and are much more intolerant of other bears than single females. Young adolescent males tend to be least aggressive and have been observed in nonantagonistic interactions with each other. Dominance between bears is asserted by making a frontal orientation, showing off canines, muzzle twisting and neck stretching to which a subordinate will respond with a lateral orientation, by turning away and dropping the head and by sitting or lying down. During combat, bears use their paws to strike their opponents in the chest or shoulders and bite the head or neck.
Communication
Several different facial expressions have been documented in brown bears. The "relaxed-face" is made in everyday activities and has the ears pointed to the sides and the mouth closed or slackly open. During social play, bears make "relaxed open-mouth face" in which the mouth is open, with a curled upper lip and hanging lower lip, and the ears alert and shifting. When looking at another animal at a distance, the bear makes an "alert face" as the ears are cocked and alert, the eyes wide open but the mouth is closed or only open slightly. The "tense closed mouth face" is made with the ears laid back and the mouth closed and occurs when the bear feels threatened. When approached by another individual, the animal makes a "puckered-lip face" with a protruding upper lip and ears which go from cocked and alert when at a certain distance to laid back when closer or when retreating. The "jaw gape face" consists of an open mouth with visible lower canines and hanging lips while the "biting face" is similar to the "relaxed open-mouth face" except the ears are flattened and the eyes are wide enough to expose the sclera. Both the "jaw gape face" and the "biting face" are made in aggression and bears switch between them.
Brown bears also produce various vocalizations. Huffing occurs when the animal is tense while woofing is made when alarmed. Both sounds are produced by exhalations though huffing is harsher and is made continuously (two per second). Growls and roars are made in aggression. Growling is harsh and guttural and can range from a simple grrr to a rumble. A rumbling growl can escalate into a roar when the bear is charging. Roaring is described as "thunderous" and can travel . Mothers and cubs wanting physical contact will bawl, which is heard as waugh!, waugh!.
Home ranges
Brown bears usually occur over vast home ranges; however, they are not highly territorial. Several adult bears often roam freely over the same vicinity without issue, unless rights to a fertile female or food sources are being contested. Males always cover more area than females each year. Despite their lack of traditional territorial behavior, adult males can seem to have a "personal zone" in which other bears are not tolerated if they are seen. Males always wander further than females, due to both increasing access to females and food sources, while females are advantaged by smaller territories in part since it decreases the likelihood of encounters with male bears who may endanger their cubs. In areas where food is abundant and concentrated, such as coastal Alaska, home ranges for females are up to and for males are up to . Similarly, in British Columbia, bears of the two sexes travel relatively compact home ranges of and . In Yellowstone National Park, home ranges for females are up to and up to for males. In Romania, the largest home range was recorded for adult males (3,143 km2, 1214 sq mi). In the central Arctic of Canada, where food sources are quite sparse, home ranges range up to in females and in males.
A study of male-inherited Y chromosome DNA sequence found that brown bears, over the past few 10,000 years, have shown strong male-biased dispersal. That study found surprisingly similar Y chromosomes in brown bear populations as far apart as Norway and coastal Alaska, indicating extensive gene flow across Eurasia and North America. Notably, this contrasts with genetic signals from female-inherited mitochondrial DNA (mtDNA), where brown bears of different geographic regions typically show strong differences in their mtDNA, a result of female philopatry.
Reproduction
The mating season is from mid-May to early July, shifting later the further north the bears are found. Being serially monogamous, brown bears remain with the same mate from a couple of days to a couple of weeks. Outside of this narrow time frame, adult male and female brown bears show no sexual interest in each other. Females mature sexually between the age of four and eight years of age, with an average age at sexual maturity of 5.2–5.5 years old, while males first mate about a year later on average, when they are large and strong enough to successfully compete with other males for mating rights. Males will try to mate with as many females as they can; usually a successful one mates with two females in a span of one to three weeks. The adult female brown bear is similarly promiscuous, mating with up to four, rarely even eight, males while in heat and potentially breeding with two males in a single day. Females come into oestrus on average every three to four years, with a full range of 2.4 to 5.7 years. The urine markings of a female in oestrus can attract several males via scent. Paternity DNA tests have shown that littermates do not share the same father in up to 29% of litters. Dominant males may try to sequester a female for her entire oestrus period of approximately two weeks, but usually are unable to retain her for the entire time. Copulation is vigorous and prolonged and can last up to an hour, although the mean time is about 23–24 minutes.
Males take no part in raising their cubs – parenting is left entirely to the females. Through the process of delayed implantation, a female's fertilized egg divides and floats freely in the uterus for six months. During winter dormancy, the fetus attaches to the uterine wall. The cubs are born eight weeks later while the mother sleeps. If the mother does not gain enough weight to survive through the winter while gestating, the embryo does not implant and is reabsorbed into the body. There have been cases of brown bears with as many as six cubs, although the average litter size is one to three, with more than four being considered uncommon. There are records of females sometimes adopting stray cubs or even trading or kidnapping cubs when they emerge from hibernation (a larger female may claim cubs away from a smaller one). Older and larger females within a population tend to give birth to larger litters. The size of a litter also depends on factors such as geographic location and food supply. At birth, the cubs are blind, toothless and hairless and may weigh from , again reportedly based on the age and condition of the mother. They feed on their mother's milk until spring or even early summer, depending on climate conditions. At this time, the cubs weigh and have developed enough to follow her over long distances and begin to forage for solid food.
The cubs are fully dependent on the mother and a close bond is formed. During the dependency stage, the cubs learn (rather than inherit as instincts from birth) survival techniques, such as which foods have the highest nutritional value and where to obtain them; how to hunt, fish and defend themselves; and where to den. Increased brain size in large carnivores has been positively linked to whether a given species is solitary, as is the brown bear, or raises their offspring communally, thus female brown bears have relatively large, well-developed brains, presumably key in teaching behavior. The cubs learn by following and imitating their mother's actions during the period they are with her. Cubs remain with their mother for an average of 2.5 years in North America, uncommonly being independent as early as 1.5 years of age or as late as 4.5 years of age. The stage at which independence is attained may generally be earlier in some parts of Eurasia, as the latest date which mother and cubs were together was 2.3 years, most families separated in under two years in a study from Hokkaido and in Sweden most cubs on their own were still yearlings. Brown bears practice infanticide, as an adult male bear may kill the cubs of another. When an adult male brown bear kills a cub, it is usually because he is trying to bring the female into oestrus, as she will enter that state within two to four days after the death of her cubs. Cubs flee up a tree, if available, when they see a strange male bear and the mother often successfully defends them, even though the male may be twice as heavy as she, although females have been known to die in these confrontations.
Dietary habits
The brown bear is one of the most omnivorous animals in the world and has been recorded as consuming the greatest variety of foods of any bear. Throughout life, this species is regularly curious about the potential of eating virtually any organism or object that they encounter. Food that is both abundant and easily accessed or caught is preferred. Their jaw structure has evolved to fit their dietary habits. Their diet varies enormously throughout their differing areas based on opportunity.
Despite their reputation, most brown bears are not highly carnivorous, as they derive up to 90% of their dietary food energy from vegetable matter. They often feed on a variety of plant life, including berries, grasses, flowers, acorns and pine cones, as well as fungi such as mushrooms. Among all bears, brown bears are uniquely equipped to dig for tough foods such as roots, bulbs and shoots. They use their long, strong claws to dig out earth to reach the roots and their powerful jaws to bite through them. In spring, winter-provided carrion, grasses, shoots, sedges, moss and forbs are the dietary mainstays for brown bears internationally. Fruits, including berries, become increasingly important during summer and early autumn. Roots and bulbs become critical in autumn for some inland bear populations if fruit crops are poor. They will also commonly consume animal matter, which in summer and autumn may regularly be in the form of insects, larvae and grubs, including beehives. Bears in Yellowstone eat an enormous number of moths during the summer, sometimes as many as 40,000 Army cutworm moths in a single day, and may derive up to half of their annual food energy from these insects. Brown bears living near coastal regions will regularly eat crabs and clams. In Alaska, bears along the beaches of estuaries regularly dig through the sand for clams. This species may eat birds and their eggs, including almost entirely ground- or rock-nesting species. The diet may be supplemented by rodents or similar smallish mammals, including marmots, ground squirrels, mice, rats, lemmings and voles. With particular regularity, bears in Denali National Park will wait at burrows of Arctic ground squirrels hoping to pick off a few of the rodents.
In the Kamchatka peninsula and several parts of coastal Alaska, brown bears feed mostly on spawning salmon, whose nutrition and abundance explain the enormous size of the bears in these areas. The fishing techniques of bears are well-documented. They often congregate around falls when the salmon are forced to breach the water, at which point the bears will try to catch the fish in mid-air (often with their mouths). They will also wade into shallow waters, hoping to pin a slippery salmon with their claws. While they may eat almost all the parts of the fish, bears at the peak of spawning, when there is usually a glut of fish to feed on, may eat only the most nutrious parts of the salmon (including the eggs and head) and then indifferently leave the rest of the carcass to scavengers, which can include red foxes, bald eagles, common ravens and gulls. Despite their normally solitary habits, brown bears will gather rather closely in numbers at good spawning sites. The largest and most powerful males claim the most fruitful fishing spots and bears (especially males) will sometimes fight over the rights to a prime fishing spot.
Beyond the regular predation of salmon, most brown bears are not particularly active predators. While perhaps a majority of bears of the species will charge at large prey at one point in their lives and most eat carrion, many predation attempts start with the bear clumsily and half-heartedly pursuing the prey and end with the prey escaping alive. On the other hand, some brown bears are quite self-assured predators who habitually pursue and catch large prey items. Such bears are usually taught how to hunt by their mothers from an early age. Large mammals preyed on can include various ungulate species such as elk, moose, caribou, muskoxen and wild boar. When brown bears attack these large animals, they usually target young or infirm ones, as they are easier to catch. Typically when hunting (especially with young prey), the bear pins its prey to the ground and then immediately tears and eats it alive. It will also bite or swipe some prey to stun it enough to knock it over for consumption. To pick out young or infirm individuals, bears will charge at herds so the slower-moving and more vulnerable individuals will be made apparent. Brown bears may also ambush young animals by finding them via scent. When emerging from hibernation, brown bears, whose broad paws allow them to walk over most ice and snow, may pursue large prey such as moose whose hooves cannot support them on encrusted snow. Similarly, predatory attacks on large prey sometimes occur at riverbeds, when it is more difficult for the prey specimen to run away due to muddy or slippery soil. On rare occasions, while confronting fully-grown, dangerous prey, bears kill them by hitting with their powerful forearms, which can break the necks and backs of large creatures such as adult moose and adult bison. They also feed on carrion, and use their size to intimidate other predators, such as wolves, cougars, tigers, and American black bears from their kills. Carrion is especially important in the early spring (when the bears are emerging from hibernation), much of it comprising winter-killed big game. Cannibalism is not unheard of, though predation is not normally believed to be the primary motivation when brown bears attack each other.
When forced to live in close proximity with humans and their domesticated animals, bears may potentially predate any type of domestic animal. Among these, domestic cattle are sometimes exploited as prey. Cattle are bitten on the neck, back or head and then the abdominal cavity is opened for eating. Plants and fruit farmed by humans are readily consumed as well, including corn, wheat, sorghum, melons and any form of berries. They will also feed at domestic bee yards, readily consuming both honey and the brood (grubs and pupae) of the honey bee colony. Human foods and trash are eaten when possible. When an open garbage dump was kept in Yellowstone, brown bears were one of the most voracious and regular scavengers. The dump was closed after both brown and American black bears came to associate humans with food and lost their natural fear of them.
Interspecific predatory relationships
Adult bears are generally immune to predatory attacks except from large Siberian (Amur) tigers and other bears. Following a decrease of ungulate populations from 1944 to 1959, 32 cases of Siberian tigers attacking both Ussuri brown bears (Ursus arctos lasiotus) and Ussuri black bears (U. thibetanus ussuricus) were recorded in the Russian Far East, and hair of bears were found in several tiger scat samples. Tigers attack black bears less often than brown bears, since the black bears live in more open habitats and are not able to climb trees. In the same time period, four cases of brown bears killing female tigers and young cubs were reported, both in disputes over prey and in self-defense. Tigers mainly feed on the bear's fat deposits, such as the back, hams and groin.
When Amur tigers prey on brown bears, they usually target young and sub-adult bears, besides small female adults taken outside their dens, generally when lethargic from hibernation. Predation by tigers on denned brown bears was not detected during a study carried between 1993 and 2002. Ussuri brown bears, along with the smaller black bears constitute 2.1% of the Siberian tiger's annual diet, of which 1.4% are brown bears.
The effect the presence of tigers have on a brown bears behavior seems to vary. In the winters of 1970–1973, Yudakov and Nikolaev recorded two cases of bears showing no fear of tigers and another case of a brown bear changing path upon crossing tiger tracks. Other researchers have observed bears following tiger tracks to scavenge tiger kills and to potentially prey on tigers. Despite the threat of predation, some brown bears actually benefit from the presence of tigers by appropriating tiger kills that the bears may not be able to successfully hunt themselves. Brown bears generally prefer to contest the much smaller female tigers. During telemetry research in the Sikhote-Alin Nature Reserve, 44 direct confrontations between bears and tigers were observed, in which bears (not just brown bears) in general were killed in 22 cases, and tigers in 12 cases. There are reports of brown bears specifically targeting Amur leopards and tigers to abstract their prey. In the Sikhote-Alin reserve, 35% of tiger kills were stolen by bears, with tigers either departing entirely or leaving part of the kill for the bear. Some studies show that bears frequently track down tigers to usurp their kills, with occasional fatal outcomes for the tiger. A report from 1973 describes twelve known cases of brown bears killing tigers, including adult males. In all cases, the tigers were subsequently eaten by the bears.
Brown bears regularly intimidate wolves to drive them away from their kills. In Yellowstone National Park, bears pirate wolf kills so often, Yellowstone's Wolf Project director Doug Smith wrote, "It's not a matter of if the bears will come calling after a kill, but when." Despite the high animosity between the two species, most confrontations at kill sites or large carcasses end without bloodshed on either side. Though conflict over carcasses is common, on rare occasions, the two predators tolerate each other on the same kill. To date, there is a single case of fully-grown wolves being killed by a grizzly bear. Given the opportunity, however, both species will prey on the other's cubs. Conclusively, the individual power of the bear against the collective strength of the wolf pack usually results in a long battle for kills or domination.
In some areas, grizzly bears also regularly displace cougars from their kills. Cougars kill small bear cubs on rare occasions, but there was one report of a bear killing a cougar of unknown age and condition between 1993 and 1996. Smaller carnivorous animals, including coyotes, wolverines, lynxes, and any other sympatric carnivores or raptorial birds, are dominated by grizzly bears and generally avoid direct interactions with them, unless attempting to steal scraps of food. However, wolverines have been persistent enough to fend off a grizzly bear as much as ten times their weight off a kill. There is one record of a golden eagle preying on a brown bear cub.
Brown bears usually dominate other bear species in areas where they coexist. Due to their smaller size, American black bears are at a competitive disadvantage to grizzly bears in open, unforested areas. Although displacement of black bears by grizzly bears has been documented, actual interspecific killing of black bears by grizzlies has only occasionally been reported. Confrontation is mostly avoided due to the black bear's diurnal habits and preference for heavily forested areas, as opposed to the grizzly's largely nocturnal habits and preference for open spaces. Brown bears may also kill Asian black bears, though the latter species probably largely avoids conflicts with the brown bear, due to similar habits and habitat preferences to the American black species. They will eat the fruit dropped by the Asian black bear from trees, as they themselves are too large and cumbersome to climb. Improbably, in the Himalayas Brown bears are reportedly intimidated by Asian black bears in confrontations.
There has been a recent increase in interactions between brown bears and polar bears, theorized to be caused by climate change. Brown and grizzly bears have been seen moving increasingly northward into territories formerly claimed by polar bears. They tend to dominate polar bears in disputes over carcasses, and dead polar bear cubs have been found in brown bear dens.
Longevity and mortality
The brown bear has a naturally long life. Wild females have been observed reproducing up to 28 years of age, which is the oldest known age for reproduction of any ursid in the wild. The peak reproductive age for females ranges from four to 20 years old. The lifespan of brown bears of both sexes within minimally hunted populations is estimated at an average of 25 years. The oldest wild brown bear on record was nearly 37 years old. The oldest recorded female in captivity was nearly 40 years old, while males in captivity have been verified to live up to 47 years, with one captive male possibly attaining 50 years of age.
While male bears potentially live longer in captivity, female grizzly bears have a greater annual survival rate than males within wild populations per a study done in the Greater Yellowstone Ecosystem. Annual mortality for bears of any age is estimated at 10% in most protected areas; however, the average annual mortality rate rises to an estimated 38% in hunted populations. Around 13% to 44% of cubs die within their first year even in well-protected areas. Mortality rates of 75–100% among the cubs of any given year are not uncommon. Beyond predation by large predators including wolves, Siberian tigers and other brown bears, starvation and accidents also claim the lives of cubs. Studies have indicated that the most prevalent source of mortality for first-year cubs is malnutrition. By the second and third years of their lives, the annual mortality rate among cubs in the care of their mothers drops to 10-15%.
Even in populations living in protected areas, humans are still the leading cause of mortality for brown bears. The largest amount of legalized brown bear hunting occurs in Canada, Finland, Russia, Slovakia and Alaska. Hunting is unregulated in many areas within the range of the brown bear. Even where hunting is legally permitted, most biologists feel that the numbers hunted are excessive considering the low reproduction rate and sparse distribution of the species. Brown bears are also killed in collisions with automobiles, which is a significant cause of mortality in the United States and Europe.
Relationship with humans
Conflicts between bears and humans
Brown bears usually avoid areas where extensive development or urbanization has occurred, unlike the smaller, more inoffensive American black bear which can adapt to peri-urban regions. Under many circumstances, extensive human development may cause brown bears to alter their home ranges. High road densities (both paved and gravel roads) are often associated with higher mortality, habitat avoidance and lower bear density. However, brown bears can easily lose their natural cautiousness upon being attracted to human-created food sources, such as garbage dumps, litter bins and dumpsters. Brown bears may even venture into human dwellings or barns in search of food as humans encroach on bear habitats. In other areas, such as Alaska, dumps may continue to be an attractant for brown bears. In different parts of their distribution, brown bears sometimes kill and eat domesticated animals. The saying "A fed bear is a dead bear" has come into use to popularize the idea that allowing a bear to scavenge human garbage, such as trash cans and campers' backpacks, pet food, or other food sources that draw the bear into contact with humans, can result in the bear's death. Results of a 2016 study performed in a southeastern British Columbian valley indicate that areas where attractive bear food and concentrated human settlements overlap, human-bear conflict can create an ecological trap resulting in a lower apparent survival rate for brown bears, as well as attracting additional bears and thereby causing overall population declines.
When brown bears come to associate human activity with a "food reward", they are likely to continue to become emboldened; the likelihood of human-bear encounters increases, as they may return to the same location despite relocation. Relocation of the bear has been used to separate the bear from the human environment, but it does not address the problem of the bear's newly learned association of humans with food or the environmental situations which created the human-habituated bear. "Placing a bear in habitat used by other bears may lead to competition and social conflict, and result in the injury or death of the less dominant bear." Yellowstone National Park, a reserve located in the western United States, contains prime habitat for the grizzly bear (Ursus arctos horribilis) and due to the enormous number of visitors, human-bear encounters are common. The scenic beauty of the area has led to an influx of people moving into the area. In addition, because there are so many bear relocations to the same remote areas of Yellowstone, and because male bears tend to dominate the center of the relocation zone, female bears tend to be pushed to the boundaries of the region and beyond. As a result, a large proportion of repeat offenders, bears that are killed for public safety, are females. This creates a further depressive effect on an already-endangered subspecies. The grizzly bear is officially described as "Threatened" in the U.S.. Although the problem is most significant with regard to grizzlies, these issues affect the other types of brown bears as well.
In Europe, part of the problem lies with shepherds; over the past two centuries, many sheep and goat herders have gradually abandoned the more traditional practice of using dogs to guard flocks, which have concurrently grown larger. Typically, they allow the herds to graze freely over sizeable tracts of land. As brown bears reclaim parts of their range, they may eat livestock as sheep and goats are relatively easy for a bear to kill. In some cases, the shepherds shoot the bear, thinking their livelihood is under threat. Many are now better informed about the ample compensation available and will make a claim when they lose livestock to a bear. Another issue in several parts of their range in Europe is supplemental feeding stations where various kind of animal carrion is offered, which are set up mainly in Scandinavia and eastern Europe both to support the locally threatened species and so humans can enjoy watching bears that may otherwise prove evasive. Despite that most stations were cautiously set in remote areas far from human habitations, some brown bears in such areas have become conditioned to associate humans with food and become excessively bold "problem bears". Also, supplemental feeding appears to cause no decrease in livestock predation.
Bear encounters and attacks
Brown bears rarely attack humans on sight and usually avoid people. In Russia, it is estimated that 1 in 1,000 on-foot encounters with brown bears results in an attack. They are, however, unpredictable in temperament, and may attack if they are surprised or feel threatened. There are an average of two fatal attacks by bears per year in North America. In Scandinavia, there are only four known cases since 1902 of bear encounters which have resulted in death. The two most common causes for bear attack are surprise and curiosity. Some types of bears, such as polar bears, are more likely to attack humans when searching for food, while American black bears are much less likely to attack. Despite their boldness and potential for predation if the bear is hungry, polar bears rarely attack humans, because they are infrequently encountered in the Arctic sea. Aggressive behavior in brown bears is favored by numerous selection variables. Increased aggressiveness also assists female brown bears in better ensuring the survival of their young to reproductive age. Mothers defending cubs are the most prone to attacking, being responsible for 70% of brown bear-caused human fatalities in North America.
Sows with cubs account for many attacks on humans by brown bears in North America. Habituated or food-conditioned bears can also be dangerous, as their long-term exposure to humans causes them to lose their natural shyness and, in some cases, to associate humans with food. Small parties of one or two people are more often attacked by brown bears than large groups, with only one known case of an attack on a group of six or more. In that instance, it is thought that due to surprise, the grizzly bear may not have recognized the size of the group. In the majority of attacks resulting in injury, brown bears precede the attack with a growl or huffing sound. In contrast to injuries caused by American black bears, which are usually minor, brown bear attacks more often tend to result in serious injury and, in some cases, death. Brown bears seem to confront humans as they would when fighting other bears: they rise up on their hind legs, and attempt to "disarm" their victims by biting and holding on to the lower jaw to avoid being bitten in turn. Due to the bears' enormous physical strength, even a single bite or swipe can be deadly as in tigers, with some human victims having had their heads completely crushed by a bear bite. Most attacks occur in the months of July, August and September, the time when the number of outdoor recreationalists, such as hikers or hunters, is higher. People who assert their presence through noises tend to be less vulnerable, as they alert bears to their presence. In direct confrontations, people who run are statistically more likely to be attacked than those who stand their ground. Violent encounters with brown bears usually last only a few minutes, though they can be prolonged if the victims fight back. In Alberta, two common behaviors by human hunters, imitating the calls of deer to attract them and carrying ungulate carcasses, seem to court aggressive behavior and lead to a higher rate of attack from grizzly bears.
Attacks on humans are considered extremely rare in the former Soviet Union, though exceptions exist in districts where they are not as often pursued by hunters. East Siberian brown bears, for example, tend to be much bolder toward humans than their shyer and more frequently hunted European counterparts. The delineation in Eurasia between areas where aggressiveness of brown bears tends to increase is the Ural Mountains, although the brown bears of eastern Europe are somewhat more aggressive than those of western Europe. In 2008, a platinum mining compound in the Olyutorsky District of northern Kamchatka was besieged by a group of 30 bears, who killed two guards and prevented workers from leaving their homes. 10 people a year on average are killed by brown bears in Russia, more than all the other parts of the brown bear's international range combined, although Russia also holds more brown bears than all other parts of the world combined. In Scandinavia, only three fatal attacks were recorded in the 20th century.
In Japan, a large brown bear nicknamed "Kesagake" (袈裟懸け, "kesa-style slasher") made history for causing the worst brown bear attack in Japanese history at Tomamae, Hokkaidō during numerous encounters during December 1915. It killed seven people and wounded three others (with possibly another three previous fatalities to its credit) before being gunned down after a large-scale beast-hunt. Today, there is still a shrine at Rokusensawa (六線沢), where the event took place in memory of the victims of the incident.
Within Yellowstone National Park, injuries caused by grizzly attacks in developed areas averaged approximately once per year during the 1930s through to the 1950s, though it increased to four per year during the 1960s. They then decreased to one injury every two years during the 1970s. Between 1980 and 2002, there have been only two human injuries caused by grizzly bears in a developed area. Although grizzly attacks were rare in the backcountry before 1970, the number of attacks increased to an average of approximately one per year during the 1970s, 1980s and 1990s. In Alberta, from 1960 to 1998, the number of attacks by grizzly bears ending in injury were nearly three times more common than attacks ending in injury by American black bears, despite the American black bear being an estimated 38 times more numerous in the province than the grizzly bear.
History of defense from bears
A study by U.S. and Canadian researchers has found bear spray to be more effective at stopping aggressive bear behavior than guns, working in 92% of studied incidents versus 67% for guns. Carrying pepper spray is highly recommended by many authorities when traveling in bear country; however, carrying two means of deterrent, one of which is a large caliber gun, is also advised. Solid shotgun slugs, or three buckshot rounds, or a pistol of .44 caliber or more is suggested if a heavy hunting rifle is not available. Guns remain a viable, last resort option to be used in defense of life from aggressive brown bears. Too often, people do not carry a proper caliber weapon to neutralize the bear. According to the Alaska Science Center, a 12-gauge shotgun with slugs has been the most effective weapon. There have been fewer injuries as a result of only carrying lethal loads in the shotgun, as opposed to deterrent rounds. State of Alaska Defense of Life or Property (DLP) laws require one to report the kill to the authorities and salvage the hide, skull and claws. A page at the State of Alaska Department of Natural Resources website offers information about how to "select a gun that will stop a bear (12-gauge shotgun or .300 mag rifle)".
Campers are often told to wear bright-colored red ribbons and bells and carry whistles to ward off bears. They are told to look for grizzly bear dung in camping areas and be careful to carry the bells and whistles in those areas. Grizzly bear dung is difficult to differentiate from American black bear dung, as diet is in a constant state of flux depending on the availability of seasonal food items. If a bear is killed near camp, the bear's carcass must be adequately disposed of, including entrails and blood, if possible. Failure to move the carcass has often resulted in it attracting other bears and further exacerbating a bad situation. Moving camps immediately is another recommended method.
Culture
Brown bears often figure into the literature of Europe and North America, in particular that which is written for children. "The Brown Bear of Norway" is a Scottish fairy tale telling the adventures of a girl who married a prince magically turned into a bear and who managed to get him back into a human form by the force of her love and after many trials and difficulties. With "Goldilocks and the Three Bears", a story from England, the Three Bears are usually depicted as brown bears. In German-speaking countries, children are often told the fairytale of "Snow White and Rose Red"; the handsome prince in this tale has been transfigured into a brown bear. In the United States, parents often read their preschool age children the book Brown Bear, Brown Bear, What Do You See? to teach them their colors and how they are associated with different animals.
The Russian bear is a common national personification for Russia (as well as the former Soviet Union), despite the country having no officially-designated national animal. The brown bear is Finland's national animal.
The grizzly bear is the state animal of Montana. The California golden bear is the state animal of California. Both animals are subspecies of the brown bear and the species was extirpated from the latter state.
The coat of arms of Madrid depicts a bear reaching up into a madroño or strawberry tree (Arbutus unedo) to eat some of its fruit, whereas the Swiss city of Bern's coat of arms also depicts a bear and the city's name is popularly thought to derive from the German word for bear. The brown bear is depicted on the reverse of the Croatian 5 kuna coin, minted since 1993.
The Bundesliga club Bayern Munich has a brown bear mascot named Berni. The Chicago National Football League (NFL) franchise is named the Bears, with no differentiation between American black and brown bears specified. The Boston National Hockey League (NHL) franchise is named the Bruins, a name for brown bears. The school mascot for Bob Jones University, Brown University, Cornell University, George Fox University, the University of Alberta, the University of California, Berkeley, the University of California, Los Angeles, the University of California, Riverside, and numerous American high schools is the brown bear.
In the town of Prats de Molló, in Vallespir, French Catalonia, a "bear festival" (festa de l'ós) is celebrated annually at the beginning of spring, in which the locals dress up as bears, cover themselves with soot or coal and oil and "attack" the onlookers, attempting to get everyone dirty. The festival ends with the ball de l'ós (bear dance).
See also
List of fatal bear attacks in North America
Sankebetsu brown bear incident
References
Notes
Bibliography
External links
Brown Bear profile from National Geographic
Bear Hunting Altered Genetics More Than Ice Age Isolation
Ancient Fossil Offers New Clues To Brown Bears Past
Holarctic fauna
Extant Middle Pleistocene first appearances
Arctic land animals
Mammals of the Arctic
Bear, Brown
Mammals of North America
Mammals of Asia
Scavengers
National symbols of Finland
National symbols of Russia
Mammals described in 1758
Taxa named by Carl Linnaeus
Pleistocene bears
Fur trade
Ursus (mammal)
Habitats Directive Species | 6 |
In physics, the Bardeen–Cooper–Schrieffer (BCS) theory (named after John Bardeen, Leon Cooper, and John Robert Schrieffer) is the first microscopic theory of superconductivity since Heike Kamerlingh Onnes's 1911 discovery. The theory describes superconductivity as a microscopic effect caused by a condensation of Cooper pairs. The theory is also used in nuclear physics to describe the pairing interaction between nucleons in an atomic nucleus.
It was proposed by Bardeen, Cooper, and Schrieffer in 1957; they received the Nobel Prize in Physics for this theory in 1972.
History
Rapid progress in the understanding of superconductivity gained momentum in the mid-1950s. It began with the 1948 paper, "On the Problem of the Molecular Theory of Superconductivity", where Fritz London proposed that the phenomenological London equations may be consequences of the coherence of a quantum state. In 1953, Brian Pippard, motivated by penetration experiments, proposed that this would modify the London equations via a new scale parameter called the coherence length. John Bardeen then argued in the 1955 paper, "Theory of the Meissner Effect in Superconductors", that such a modification naturally occurs in a theory with an energy gap. The key ingredient was Leon Cooper's calculation of the bound states of electrons subject to an attractive force in his 1956 paper, "Bound Electron Pairs in a Degenerate Fermi Gas".
In 1957 Bardeen and Cooper assembled these ingredients and constructed such a theory, the BCS theory, with Robert Schrieffer. The theory was first published in April 1957 in the letter, "Microscopic theory of superconductivity". The demonstration that the phase transition is second order, that it reproduces the Meissner effect and the calculations of specific heats and penetration depths appeared in the December 1957 article, "Theory of superconductivity". They received the Nobel Prize in Physics in 1972 for this theory.
In 1986, high-temperature superconductivity was discovered in La-Ba-Cu-O, at temperatures up to 30 K. Following experiments determined more materials with transition temperatures up to about 130 K, considerably above the previous limit of about 30 K. It is believed that BCS theory alone cannot explain this phenomenon and that other effects are in play. These effects are still not yet fully understood; it is possible that they even control superconductivity at low temperatures for some materials.
Overview
At sufficiently low temperatures, electrons near the Fermi surface become unstable against the formation of Cooper pairs. Cooper showed such binding will occur in the presence of an attractive potential, no matter how weak. In conventional superconductors, an attraction is generally attributed to an electron-lattice interaction. The BCS theory, however, requires only that the potential be attractive, regardless of its origin. In the BCS framework, superconductivity is a macroscopic effect which results from the condensation of Cooper pairs. These have some bosonic properties, and bosons, at sufficiently low temperature, can form a large Bose–Einstein condensate. Superconductivity was simultaneously explained by Nikolay Bogolyubov, by means of the Bogoliubov transformations.
In many superconductors, the attractive interaction between electrons (necessary for pairing) is brought about indirectly by the interaction between the electrons and the vibrating crystal lattice (the phonons). Roughly speaking the picture is the following:
An electron moving through a conductor will attract nearby positive charges in the lattice. This deformation of the lattice causes another electron, with opposite spin, to move into the region of higher positive charge density. The two electrons then become correlated. Because there are a lot of such electron pairs in a superconductor, these pairs overlap very strongly and form a highly collective condensate. In this "condensed" state, the breaking of one pair will change the energy of the entire condensate - not just a single electron, or a single pair. Thus, the energy required to break any single pair is related to the energy required to break all of the pairs (or more than just two electrons). Because the pairing increases this energy barrier, kicks from oscillating atoms in the conductor (which are small at sufficiently low temperatures) are not enough to affect the condensate as a whole, or any individual "member pair" within the condensate. Thus the electrons stay paired together and resist all kicks, and the electron flow as a whole (the current through the superconductor) will not experience resistance. Thus, the collective behavior of the condensate is a crucial ingredient necessary for superconductivity.
Details
BCS theory starts from the assumption that there is some attraction between electrons, which can overcome the Coulomb repulsion. In most materials (in low temperature superconductors), this attraction is brought about indirectly by the coupling of electrons to the crystal lattice (as explained above). However, the results of BCS theory do not depend on the origin of the attractive interaction. For instance, Cooper pairs have been observed in ultracold gases of fermions where a homogeneous magnetic field has been tuned to their Feshbach resonance. The original results of BCS (discussed below) described an s-wave superconducting state, which is the rule among low-temperature superconductors but is not realized in many unconventional superconductors such as the d-wave high-temperature superconductors.
Extensions of BCS theory exist to describe these other cases, although they are insufficient to completely describe the observed features of high-temperature superconductivity.
BCS is able to give an approximation for the quantum-mechanical many-body state of the system of (attractively interacting) electrons inside the metal. This state is now known as the BCS state. In the normal state of a metal, electrons move independently, whereas in the BCS state, they are bound into Cooper pairs by the attractive interaction. The BCS formalism is based on the reduced potential for the electrons' attraction. Within this potential, a variational ansatz for the wave function is proposed. This ansatz was later shown to be exact in the dense limit of pairs. Note that the continuous crossover between the dilute and dense regimes of attracting pairs of fermions is still an open problem, which now attracts a lot of attention within the field of ultracold gases.
Underlying evidence
The hyperphysics website pages at Georgia State University summarize some key background to BCS theory as follows:
Evidence of a band gap at the Fermi level (described as "a key piece in the puzzle")
the existence of a critical temperature and critical magnetic field implied a band gap, and suggested a phase transition, but single electrons are forbidden from condensing to the same energy level by the Pauli exclusion principle. The site comments that "a drastic change in conductivity demanded a drastic change in electron behavior". Conceivably, pairs of electrons might perhaps act like bosons instead, which are bound by different condensate rules and do not have the same limitation.
Isotope effect on the critical temperature, suggesting lattice interactions
The Debye frequency of phonons in a lattice is proportional to the inverse of the square root of the mass of lattice ions. It was shown that the superconducting transition temperature of mercury indeed showed the same dependence, by substituting the most abundant natural mercury isotope, 202Hg, with a different isotope, 198Hg.
An exponential rise in heat capacity near the critical temperature for some superconductors
An exponential increase in heat capacity near the critical temperature also suggests an energy bandgap for the superconducting material. As superconducting vanadium is warmed toward its critical temperature, its heat capacity increases greatly in a very few degrees; this suggests an energy gap being bridged by thermal energy.
The lessening of the measured energy gap towards the critical temperature
This suggests a type of situation where some kind of binding energy exists but it is gradually weakened as the temperature increases toward the critical temperature. A binding energy suggests two or more particles or other entities that are bound together in the superconducting state. This helped to support the idea of bound particles – specifically electron pairs – and together with the above helped to paint a general picture of paired electrons and their lattice interactions.
Implications
BCS derived several important theoretical predictions that are independent of the details of the interaction, since the quantitative predictions mentioned below hold for any sufficiently weak attraction between the electrons and this last condition is fulfilled for many low temperature superconductors - the so-called weak-coupling case. These have been confirmed in numerous experiments:
The electrons are bound into Cooper pairs, and these pairs are correlated due to the Pauli exclusion principle for the electrons, from which they are constructed. Therefore, in order to break a pair, one has to change energies of all other pairs. This means there is an energy gap for single-particle excitation, unlike in the normal metal (where the state of an electron can be changed by adding an arbitrarily small amount of energy). This energy gap is highest at low temperatures but vanishes at the transition temperature when superconductivity ceases to exist. The BCS theory gives an expression that shows how the gap grows with the strength of the attractive interaction and the (normal phase) single particle density of states at the Fermi level. Furthermore, it describes how the density of states is changed on entering the superconducting state, where there are no electronic states any more at the Fermi level. The energy gap is most directly observed in tunneling experiments and in reflection of microwaves from superconductors.
BCS theory predicts the dependence of the value of the energy gap Δ at temperature T on the critical temperature Tc. The ratio between the value of the energy gap at zero temperature and the value of the superconducting transition temperature (expressed in energy units) takes the universal value independent of material. Near the critical temperature the relation asymptotes to which is of the form suggested the previous year by M. J. Buckingham based on the fact that the superconducting phase transition is second order, that the superconducting phase has a mass gap and on Blevins, Gordy and Fairbank's experimental results the previous year on the absorption of millimeter waves by superconducting tin.
Due to the energy gap, the specific heat of the superconductor is suppressed strongly (exponentially) at low temperatures, there being no thermal excitations left. However, before reaching the transition temperature, the specific heat of the superconductor becomes even higher than that of the normal conductor (measured immediately above the transition) and the ratio of these two values is found to be universally given by 2.5.
BCS theory correctly predicts the Meissner effect, i.e. the expulsion of a magnetic field from the superconductor and the variation of the penetration depth (the extent of the screening currents flowing below the metal's surface) with temperature.
It also describes the variation of the critical magnetic field (above which the superconductor can no longer expel the field but becomes normal conducting) with temperature. BCS theory relates the value of the critical field at zero temperature to the value of the transition temperature and the density of states at the Fermi level.
In its simplest form, BCS gives the superconducting transition temperature Tc in terms of the electron-phonon coupling potential V and the Debye cutoff energy ED: where N(0) is the electronic density of states at the Fermi level. For more details, see Cooper pairs.
The BCS theory reproduces the isotope effect, which is the experimental observation that for a given superconducting material, the critical temperature is inversely proportional to the square-root of the mass of the isotope used in the material. The isotope effect was reported by two groups on 24 March 1950, who discovered it independently working with different mercury isotopes, although a few days before publication they learned of each other's results at the ONR conference in Atlanta. The two groups are Emanuel Maxwell, and C. A. Reynolds, B. Serin, W. H. Wright, and L. B. Nesbitt. The choice of isotope ordinarily has little effect on the electrical properties of a material, but does affect the frequency of lattice vibrations. This effect suggests that superconductivity is related to vibrations of the lattice. This is incorporated into BCS theory, where lattice vibrations yield the binding energy of electrons in a Cooper pair.
Little–Parks experiment - One of the first indications to the importance of the Cooper-pairing principle.
See also
Magnesium diboride, considered a BCS superconductor
Quasiparticle
Little–Parks effect, one of the first indications of the importance of the Cooper pairing principle.
References
Primary sources
Further reading
John Robert Schrieffer, Theory of Superconductivity, (1964),
Michael Tinkham, Introduction to Superconductivity,
Pierre-Gilles de Gennes, Superconductivity of Metals and Alloys, .
Schmidt, Vadim Vasil'evich. The physics of superconductors: Introduction to fundamentals and applications. Springer Science & Business Media, 2013.
External links
Hyperphysics page on BCS
Dance analogy of BCS theory as explained by Bob Schrieffer (audio recording)
Mean-Field Theory: Hartree-Fock and BCS in E. Pavarini, E. Koch, J. van den Brink, and G. Sawatzky: Quantum materials: Experiments and Theory, Jülich 2016,
Superconductivity | 5 |
Charles Hardin Holley (September 7, 1936 – February 3, 1959), known as Buddy Holly, was an American singer and songwriter who was a central and pioneering figure of mid-1950s rock and roll. He was born to a musical family in Lubbock, Texas, during the Great Depression, and learned to play guitar and sing alongside his siblings. Holly's style was influenced by gospel music, country music, and rhythm and blues acts, which he performed in Lubbock with his friends from high school.
Holly made his first appearance on local television in 1952, and the following year he formed the group "Buddy and Bob" with his friend Bob Montgomery. In 1955, after opening for Elvis Presley, Holly decided to pursue a career in music. He opened for Presley three times that year; his band's style shifted from country and western to entirely rock and roll. In October that year, when Holly opened for Bill Haley & His Comets, he was spotted by Nashville scout Eddie Crandall, who helped him get a contract with Decca Records.
Holly's recording sessions at Decca were produced by Owen Bradley, who had become famous for producing orchestrated country hits for stars like Patsy Cline. Unhappy with Bradley's musical style and control in the studio, Holly went to producer Norman Petty in Clovis, New Mexico, and recorded a demo of "That'll Be the Day", among other songs. Petty became the band's manager and sent the demo to Brunswick Records, which released it as a single credited to The Crickets, which became the name of Holly's band. In September 1957, as the band toured, "That'll Be the Day" topped the US and UK singles charts. Its success was followed in October by another major hit, "Peggy Sue."
The album The "Chirping" Crickets, released in November 1957, reached number five on the UK Albums Chart. Holly made his second appearance on The Ed Sullivan Show in January 1958 and soon after toured Australia and then the UK. In early 1959, he assembled a new band, consisting of future country music star Waylon Jennings (bass), famed session musician Tommy Allsup (guitar), and Carl Bunch (drums), and embarked on a tour of the midwestern US. After a show in Clear Lake, Iowa, Holly chartered an airplane to travel to his next show in Moorhead, Minnesota. Soon after takeoff, the plane crashed, killing Holly, Ritchie Valens, The Big Bopper, and pilot Roger Peterson in a tragedy later referred to by Don McLean as "The Day the Music Died" in his song "American Pie."
During his short career, Holly wrote and recorded many songs. He is often regarded as the artist who defined the traditional rock-and-roll lineup of two guitars, bass, and drums. Holly was a major influence on later popular music artists, including Bob Dylan, The Beatles, The Rolling Stones, Eric Clapton, The Hollies, Elvis Costello, Dave Edmunds, Marshall Crenshaw, and Elton John. Holly was among the first artists inducted into the Rock and Roll Hall of Fame, in 1986. Rolling Stone magazine ranked him number 13 in its list of "100 Greatest Artists" in 2010.
Life and career
Early life and career (1936–1955)
Holly was born as Charles Hardin Holley (spelled "-ey") in Lubbock, Texas, on September 7, 1936, the youngest of four children of Lawrence Odell "L.O." Holley (1901–85) and Ella Pauline Drake (1902–90). His elder siblings were Larry (1925–2022), Travis (1927–2016), and Patricia Lou (1929–2008). Holly was of mostly English and Welsh descent and had small amounts of Native American ancestry as well. From early childhood, Holly was nicknamed "Buddy." During the Great Depression, the Holleys frequently moved residence within Lubbock; L.O. changed jobs several times. Buddy Holly was baptized a Baptist, and the family were members of the Tabernacle Baptist Church.
The Holleys had an interest in music; all the family members except L.O. were able to play an instrument or sing. The elder Holley brothers performed in local talent shows; on one occasion, Buddy joined them on violin. Since he could not play it, his brother Larry greased the bow so it would not make any sound. The brothers won the contest. During World War II, Larry and Travis were called to military service. Upon his return, Larry brought with him a guitar he had bought from a shipmate while serving in the Pacific. At age 11, Buddy took piano lessons but abandoned them after nine months. He switched to the guitar after he saw a classmate playing and singing on the school bus. Buddy's parents initially bought him a steel guitar, but he insisted that he wanted a guitar like his brother's. His parents bought the guitar from a pawnshop, and Travis taught him to play it.
During his early childhood, Holly was influenced by the music of Hank Williams, Jimmie Rodgers, Moon Mullican, Bill Monroe, Hank Snow, Bob Wills, and the Carter Family. At Roscoe Wilson Elementary, Holly became friends with Bob Montgomery, and the two played together, practicing with songs by The Louvin Brothers and Johnnie & Jack. They both listened to the radio programs Grand Ole Opry on WSM, Louisiana Hayride on KWKH, and Big D Jamboree. At the same time, Holly played with other musicians he met in high school, including Sonny Curtis and Jerry Allison. In 1952 Holly and Jack Neal participated as a duo billed as "Buddy and Jack" in a talent contest on a local television show. After Neal left, he was replaced by Bob Montgomery, and they were billed as "Buddy and Bob." They soon started performing on the Sunday Party show on KDAV in 1953 and performed live gigs in Lubbock. At that time, Holly was influenced by late-night radio stations that played blues and rhythm and blues (R&B). He would sit in his car with Curtis and tune to distant radio stations that could only be received at night, when local transmissions ceased. Holly then modified his music by blending his earlier country and western (C&W) influence with R & B.
By 1955, after graduating from Lubbock High School, Holly decided to pursue a full-time career in music. He was further encouraged after seeing Elvis Presley perform live in Lubbock, whose act was booked by Pappy Dave Stone of KDAV. In February, Holly opened for Presley at the Fair Park Coliseum, in April at the Cotton Club, and again in June at the Coliseum. By that time, Holly had incorporated into his band Larry Welborn on the stand-up bass and Allison on drums, as his style shifted from country and western to rock and roll due to seeing Presley's performances and hearing his music. In October, Stone booked Bill Haley & His Comets and placed Holley as the opening act to be seen by Nashville scout Eddie Crandall. Impressed, Crandall persuaded Grand Ole Opry manager Jim Denny to seek a recording contract for Holley. Stone sent a demo tape, which Denny forwarded to Paul Cohen, who signed the band to Decca Records in February 1956. In the contract, Decca misspelled Holly's surname as "Holly", and from then on he was known as "Buddy Holly", instead of his real name "Holley."
On January 26, 1956, Holly attended his first formal recording session, which was produced by Owen Bradley. He attended two more sessions in Nashville, but with the producer selecting the session musicians and arrangements, Holly became increasingly frustrated by his lack of creative control. In April 1956, Decca released "Blue Days, Black Nights" as a single, with "Love Me" on the B-side. Denny included Holly on a tour as the opening act for Faron Young. During the tour, they were promoted as "Buddy Holly and the Two Tones", while later Decca called them "Buddy Holly and the Three Tunes." The label later released Holly's second single "Modern Don Juan", backed with "You Are My One Desire." Neither single made an impression. On January 22, 1957, Decca informed Holly his contract would not be renewed, but insisted he could not record the same songs for anyone else for five years.
The Crickets (1956–1957)
Holly was unhappy with the results of his time with Decca, and inspired by the success of Buddy Knox's "Party Doll" and Jimmy Bowen's "I'm Stickin' with You", he visited Norman Petty, who had produced and promoted both records. Together with Allison, bassist Larry Welborn, and rhythm guitarist Niki Sullivan, he went to Petty's studio in Clovis, New Mexico. The group recorded a demo of "That'll Be the Day", a song they had previously recorded in Nashville. Now playing lead guitar, Holly achieved the sound he desired. Petty became his manager and sent the record to Brunswick Records in New York City. Holly, still under contract with Decca, could not release the record under his name, so a band name was used; Allison proposed the name "Crickets." Brunswick gave Holly a basic agreement to release "That'll Be the Day", leaving him with both artistic control and financial responsibility for future recordings.
Impressed with the demo, the label's executives released it without recording a new version. "I'm Looking for Someone to Love" was the B-side; the single was credited to The Crickets. Petty and Holly later learned that Brunswick was a subsidiary of Decca, which legally cleared future recordings under the name Buddy Holly. Recordings credited to the Crickets would be released on Brunswick, while the recordings under Holly's name were released on another subsidiary label, Coral Records. Holly concurrently held a recording contract with both labels.
"That'll Be the Day" was released on May 27, 1957. Petty booked Holly and the Crickets for a tour with Irvin Feld, who had noticed the band after "That'll Be the Day" appeared on the R&B chart. He booked them for appearances in Washington, D.C., Baltimore, and New York City. The band was booked to play at New York's Apollo Theater on August 16–22. During the opening performances, the group did not impress the audience, but they were accepted after they included "Bo Diddley." By the end of their run at the Apollo, "That'll Be the Day" was climbing the charts. Encouraged by the single's success, Petty started to prepare two album releases; a solo album for Holly and another for the Crickets. Holly appeared on American Bandstand, hosted by Dick Clark on ABC, on August 26. Before leaving New York, the band befriended The Everly Brothers.
"That'll Be the Day" topped the US "Best Sellers in Stores" chart on September 23 and was number one on the UK Singles Chart for three weeks in November. Three days prior, Coral released "Peggy Sue", backed with "Everyday", with Holly credited as the performer. By October, "Peggy Sue" had reached number three on Billboards pop chart and number two on the R&B chart; it peaked at number six on the UK Singles chart. As the success of the song grew, it brought more attention to Holly, with the band at the time being billed as "Buddy Holly and the Crickets" (although never on records during Holly's lifetime; the record labels identified the band as "Buddy Holly and the Crickets" beginning in 1962).
In the last week of September, the band members flew to Lubbock to visit their families. Holly's high school girlfriend, Echo McGuire, had left him for a fellow student. Aside from McGuire, Holly had a relationship with Lubbock fan June Clark. After Clark ended their relationship, Holly realized the importance of his relationship with McGuire and considered his relationship with Clark a temporary one. Meanwhile, for their return to recording, Petty arranged a session in Oklahoma City, where he was performing with his own band. While the band drove to the location, the producer set up a makeshift studio. The rest of the songs needed for an album and singles were recorded; Petty later dubbed the material in Clovis. The resulting album, The "Chirping" Crickets, was released on November 27, 1957. It reached number five on the UK Albums Chart. In October, Brunswick released the second single by the Crickets, "Oh, Boy!", with "Not Fade Away" on the B-side. The single reached number 10 on the pop chart and 13 on the R&B chart. Holly and the Crickets performed "That'll Be the Day" and "Peggy Sue" on The Ed Sullivan Show on December 1, 1957. Following the appearance, Niki Sullivan left the group because he was tired of the intensive touring, and he wanted to resume his education. On December 29, Holly and the Crickets performed "Peggy Sue" on The Arthur Murray Party.
International tours and split (1958)
On January 8, 1958, Holly and the Crickets joined America's Greatest Teenage Recording Stars tour. On January 25, Holly recorded "Rave On"; the next day, he made his second appearance on The Ed Sullivan Show, singing "Oh, Boy!" Holly departed to perform in Honolulu, Hawaii, on January 27, and then started a week-long tour of Australia billed as the Big Show with Paul Anka, Jerry Lee Lewis and Jodie Sands. In March, the band toured the United Kingdom, playing 50 shows in 25 days. The same month, his debut solo album, Buddy Holly, was released. Upon their return to the United States, Holly and the Crickets joined Alan Freed's Big Beat Show tour for 41 dates. In April, Decca released That'll Be the Day, featuring the songs recorded with Bradley during his early Nashville sessions.
A new recording session in Clovis was arranged in May; Holly hired Tommy Allsup to play lead guitar. The session produced the recordings of "It's So Easy" and "Heartbeat." Holly was impressed by Allsup and invited him to join the Crickets. In June, Holly traveled alone to New York for a solo recording session. Without the Crickets, he chose to be backed by a jazz and R&B band, recording "Now We're One" and Bobby Darin's "Early in the Morning."
During a visit to the offices of Peer-Southern, Holly met María Elena Santiago. He asked her out on their first meeting and proposed marriage to her on their first date. The wedding took place on August 15. Holly's manager Norman Petty disapproved of the marriage and advised Holly to keep it secret to avoid upsetting Holly's female fans. Petty's suggestion created friction with Holly, who had also started to question Petty's bookkeeping. The Crickets were also frustrated with Petty, who controlled all of the proceeds earned by the band.
Holly and Santiago frequented many of New York's music venues, including the Village Gate, Blue Note, Village Vanguard, and Johnny Johnson's. Santiago later said that Holly was keen to learn fingerstyle flamenco guitar and that he would often visit her aunt's home to play the piano there. Holly planned collaborations between soul singers and rock and roll. He wanted to make an album with Ray Charles and Mahalia Jackson. Holly also had ambitions to work in film and registered for acting classes with Lee Strasberg's Actors Studio.
Santiago accompanied Holly on tours. To hide her marriage to Holly, she was presented as the Crickets' secretary. She took care of the laundry and equipment set-up and collected the concert revenues. Santiago kept the money for the band instead of their habitual transfer to Petty in New Mexico. She and her aunt Provi Garcia, an executive in the Latin American music department at Peer-Southern, convinced Holly that Petty was paying the band's royalties from Coral-Brunswick into his own company's account. Holly planned to retrieve his royalties from Petty and to later fire him as manager and producer. At the recommendation of the Everly Brothers, Holly hired lawyer Harold Orenstein to negotiate his royalties. The problems with Petty were triggered after he was unable to pay Holly. At the time, New York promoter Manny Greenfield reclaimed a large part of Holly's earnings; Greenfield had booked Holly for shows during previous tours. The two had a verbal agreement; Greenfield would obtain 5% of the booking earnings. Greenfield later felt he was also acting as Holly's manager and deserved a higher payment, which Holly refused. Greenfield then sued Holly. Under New York law, because Holly's royalties originated in New York and were directed out of the state, the payments were frozen until the dispute was settled. Petty then could not complete the transfers to Holly, who considered him responsible for the missing profit.
In September, Holly returned to Clovis for a new recording session, which yielded "Reminiscing" and "Come Back Baby." During the session, he ventured into producing by recording Lubbock DJ Waylon Jennings. Holly produced the single "Jole Blon" and "When Sin Stops (Love Begins)" for Jennings. Holly became increasingly interested in the New York music, recording, and publishing scene. Holly and Santiago settled in Apartment 4H of the Brevoort Apartments, at 11 Fifth Avenue in Greenwich Village, where he recorded a series of acoustic songs, including "Crying, Waiting, Hoping" and "What to Do." The inspiration to record the songs is sometimes attributed to the ending of his relationship with McGuire.
On October 21, 1958, Holly's final studio session was recorded at the Pythian Temple on West 70th Street (now a luxury condominium). Known by Holly fans as "the string sessions", Holly recorded four songs for Coral in an innovative collaboration with the Dick Jacobs Orchestra, an 18-piece ensemble composed of former members of the NBC Symphony Orchestra including saxophonist Boomie Richman.
The four songs recorded during the -hour session were:
"True Love Ways" (written by Buddy Holly),
"Moondreams" (written by Norman Petty),
"Raining in My Heart" (written by Felice and Boudleaux Bryant) and
"It Doesn't Matter Anymore" (written by Paul Anka).
These four songs were the only ones Coral ever mixed in stereo, but only "Raining in My Heart" was released that way (in 1959, on an obscure promotional LP titled Hitsville). All four records otherwise received releases in mono. The original stereo mixes were consulted many years later for compilation albums.
Holly ended his association with Petty in December 1958. His band members kept Petty as their manager and split from Holly. The split was amicable and based on logistics: Holly had decided to settle permanently in New York, where the business and publishing offices were, and the Crickets preferred not to leave their home state. Petty was still holding the money from the royalties, forcing Holly to form a new band and return to touring.
Winter Dance Party tour and death (1959)
Holly vacationed with his wife in Lubbock and visited Jennings's radio station in December 1958. For the start of the Winter Dance Party tour, he assembled a band consisting of Waylon Jennings (electric bass), Tommy Allsup (guitar), and Carl Bunch (drums). Holly and Jennings left for New York City, arriving on January 15, 1959. Jennings stayed at Holly's apartment by Washington Square Park on the days prior to a meeting scheduled at the headquarters of the General Artists Corporation, which organized the tour. They then traveled by train to Chicago to join the rest of the band.
The Winter Dance Party tour began in Milwaukee, Wisconsin, on January 23, 1959. The amount of travel involved created logistical problems, as the distance between venues had not been considered when scheduling performances. Adding to the problem, the unheated tour buses twice broke down in freezing weather, with dire consequences. Holly's drummer, Carl Bunch, was hospitalized for frostbite to his toes (sustained while aboard the bus), so Holly decided to seek other transportation. On February 2, before their appearance in Clear Lake, Iowa, Holly chartered a four-seat Beechcraft Bonanza airplane for Jennings, Allsup, and himself, from Dwyer Flying Service in Mason City, Iowa. Holly's idea was to depart following the show at the Surf Ballroom in Clear Lake and fly to their next venue, in Moorhead, Minnesota, via Fargo, North Dakota, allowing them time to rest and launder their clothes and avoid a rigorous bus journey. Immediately after the Clear Lake show (which ended just before midnight), Allsup agreed to flip a coin for the seat with Ritchie Valens. Valens called heads; when he won, he reportedly said, "That's the first time I've ever won anything in my life." Allsup later opened a restaurant/bar in Fort Worth, Texas, called Heads Up Saloon. Waylon Jennings voluntarily gave up his seat to J. P. Richardson (The Big Bopper), who had influenza and complained that the tour bus was too cold and uncomfortable for a man of his size.
The pilot, Roger Peterson, took off in inclement weather, even though he was not certified to fly by instruments only. Buddy's brother Larry Holley said, "I got the full report from the Civil Aeronautics – it took me a year to get it, but I got it – and they had installed a new Sperry gyroscope in the airplane. The Sperry works different than any other gyro. One of them, the background moves and the plane stays like this [stationary], and in the other one the background stays steady and the plane moves, it works just backwards. He [the pilot] could have been reading this backwards... they were going down, they thought they were still climbing."
Shortly after 1:00 a.m. on February 3, 1959, Holly, Valens, Richardson, and Peterson were killed when the aircraft crashed into a cornfield five miles northwest of Mason City shortly after takeoff. The three musicians, who were ejected from the fuselage upon impact, sustained severe head and chest injuries. Holly was 22 years old.
The report did not mention a gun belonging to Holly that was found by a farmer two months after the crash. Newspaper accounts of the gun discovery fueled rumors among fans that the pilot was somehow shot, causing the crash. Another curious finding at the crash was that Richardson's body was discovered nearly away from the crash while the others were found in or near the wreckage. However, an autopsy done at the request of Richardson's son in 2007 found no evidence to support the rumors. Dr. Bill Bass, a forensic anthropologist at the University of Tennessee, stated that "There was no indication of foul play," and that Richardson "died immediately."
Holly's funeral was held on February 7, 1959, at the Tabernacle Baptist Church in Lubbock. The service was officiated by Ben D. Johnson, who had presided at the Hollys' wedding just months earlier. The pallbearers were Jerry Allison, Joe B. Mauldin, Niki Sullivan, Bob Montgomery, and Sonny Curtis. Some sources say that Phil Everly, one half of The Everly Brothers, was also pallbearer, but Everly said that he attended the funeral but was not a pallbearer. Waylon Jennings was unable to attend because of his commitment to the still-touring Winter Dance Party. Holly's body was interred in the City of Lubbock Cemetery, in the eastern part of the city. Holly's headstone carries the correct spelling of his surname (Holley) and a carving of his Fender Stratocaster guitar.
Santiago watched the first reports of Holly's death on television. The following day, she suffered a miscarriage. Holly's mother, who heard the news on the radio in Lubbock, Texas, screamed and collapsed. Because of Elena's miscarriage, in the months following the accident, news agencies implemented a policy against announcing victims' names until after families are informed. Santiago did not attend the funeral and has never visited the gravesite. She later told the Avalanche-Journal, "In a way, I blame myself. I was not feeling well when he left. I was two weeks pregnant, and I wanted Buddy to stay with me, but he had scheduled that tour. It was the only time I wasn't with him. And I blame myself because I know that, if only I had gone along, Buddy never would have gotten into that airplane."
Image and style
Holly's singing style was characterized by his vocal hiccups and his alternation between his regular voice and falsetto. Holly's "stuttering vocals" were complemented by his percussive guitar playing, solos, stops, bent notes, and rhythm and blues chord progressions. He often strummed downstrokes that were accompanied by Allison's "driving" percussion.
Holly bought his first Fender Stratocaster, which became his signature guitar, at Harrod Music in Lubbock for $249.50. Fender Stratocasters were popular with country musicians; Holly chose it for its loud sound. His "innovative" playing style was characterized by its blending of "chunky rhythm" and "high string lead work." Holly played his first Stratocaster, a 1954 model, until it was stolen during a tour stop in Michigan in 1957. To replace it, he purchased a 1957 model before a show in Detroit. Holly owned four or five Stratocasters during his career.
At the beginning of their music careers, Holly and his group wore business suits. When they met the Everly Brothers, Don Everly took the band to Phil's men's shop in New York City and introduced them to Ivy League clothes. The brothers advised Holly to replace his old-fashioned glasses with horn-rimmed glasses, which had been popularized by Steve Allen. Holly bought a pair of glasses made in Mexico from Lubbock optometrist Dr. J. Davis Armistead. Teenagers in the United States started to request this style of glasses, which were later popularly known as "Buddy Holly glasses."
When the plane crashed, the wreckage was strewn across many yards of snow-covered ground. While his other belongings were recovered immediately, there was no record of his signature glasses being found. They were presumed lost until, in March 1980, they were discovered in a Cerro Gordo County courthouse storage area by Sheriff Gerald Allen. They had been found in the spring of 1959, after the snow had melted, and had been given to the sheriff's office. They were placed in an envelope dated April 7, 1959, along with the Big Bopper's watch, a lighter, two pairs of dice and part of another watch, and misplaced when the county moved courthouses. The glasses, missing their lenses, were returned to Santiago a year later, after a legal contest over them with his parents. They are now on display at the Buddy Holly Center in Lubbock, Texas.
Legacy
Buddy Holly left behind dozens of unfinished recordings — solo transcriptions of his new compositions, informal jam sessions with bandmates, or tapes demonstrating songs intended for other artists. The last known recordings, made in Holly's apartment in late 1958, were his last six original songs. In June 1959, Coral Records overdubbed two of them with backing vocals by the Ray Charles Singers and studio musicians in an attempt to simulate the established Crickets sound. The finished tracks became the first posthumous Holly single, "Peggy Sue Got Married"/"Crying, Waiting, Hoping." The new release was successful enough to warrant an album drawing upon the other Holly demos, using the same studio personnel, in January 1960. All six songs were included in The Buddy Holly Story, Vol. 2 (1960).
The demand for Holly records was so great, and Holly had recorded so prolifically, that his record label was able to release new Holly albums and singles for the next 10 years. Norman Petty produced most of these new editions, drawing upon unreleased studio masters, alternate takes, audition tapes, and even amateur recordings (some dating back to 1954 with low-fidelity vocals). The final "new" Buddy Holly album, Giant, was released in 1969; the single chosen from the album was "Love Is Strange."
Encyclopædia Britannica stated that Holly "produced some of the most distinctive and influential work in rock music." AllMusic defined him as "the single most influential creative force in early rock and roll." Rolling Stone ranked him number 13 on its list of "100 Greatest Artists." The Telegraph called him a "pioneer and a revolutionary [...] a multidimensional talent [...] (who) co-wrote and performed (songs that) remain as fresh and potent today." In 2023, Rolling Stone ranked Holly at number 174 on its list of the 200 Greatest Singers of All Time.
The Rock and Roll Hall of Fame included Holly among its first class in 1986. On its entry, the Hall of Fame remarked upon the large quantity of material he produced during his short musical career, and said it "made a major and lasting impact on popular music." It called him an "innovator" for writing his own material, his experimentation with double tracking and the use of orchestration; he is also said to have "pioneered and popularized the now-standard" use of two guitars, bass, and drums by rock bands. The Songwriters Hall of Fame also inducted Holly in 1986, and said his contributions "changed the face of Rock 'n' Roll." Holly developed in collaboration with Petty techniques of overdubbing and reverb, while he used innovative instrumentation later implemented by other artists. Holly became "one of the most influential pioneers of rock and roll" who had a "lasting influence" on genre performers of the 1960s.
In 1980, Grant Speed sculpted a statue of Holly playing his Fender guitar. This statue is the centerpiece of Lubbock's Walk of Fame, which honors notable people who contributed to Lubbock's musical history. Other memorials to Buddy Holly include a street named in his honor and the Buddy Holly Center, which contains a museum of Holly memorabilia and fine arts gallery. The center is located on Crickets Avenue, one street east of Buddy Holly Avenue, in a building that previously housed the Fort Worth and Denver South Plains Railway Depot. In 2010, the statue was taken down for refurbishment, and construction of a new Walk of Fame began.
In 1997, the National Academy of Recording Arts and Sciences gave Holly the Lifetime Achievement Award. He was inducted into the Iowa Rock 'n' Roll Hall of Fame in 2000. On May 9, 2011, the City of Lubbock held a ribbon-cutting ceremony for the Buddy and Maria Elena Holly Plaza, the new home of the statue and the Walk of Fame. On what would have been his 75th birthday, a star bearing Holly's name was placed on the Hollywood Walk of Fame.
Groundbreaking was held on April 20, 2017, for the construction of a new performing arts center in Lubbock, the Buddy Holly Hall of Performing Arts and Sciences, a downtown $153 million project expected to be completed in 2020. Thus far, the private group, the Lubbock Entertainment and Performing Arts Association, has raised or received pledges in the amount of $93 million to underwrite the project.
According to a June 2019 article in The New York Times Magazine, "virtually all" of Holly's masters were lost in the 2008 Universal fire. This is disputed by Chad Kassem of Analogue Productions, who claims to have used the master tapes of Holly's first two albums in Analogue Productions reissues of these albums on LP and SACD in 2017.
Influence
John Lennon and Paul McCartney saw Holly for the first time when he appeared on Sunday Night at the London Palladium. The two had recently met and begun their musical association. They studied Holly's records, learned his performance style and lyricism, and based their act around his persona. Inspired by Holly's insect-themed Crickets, they chose to name their band "The Beatles." Lennon and McCartney later cited Holly as one of their main influences.
Lennon's band the Quarrymen covered "That'll Be the Day" in their first recording session, in 1958. During breaks in the Beatles' first appearance on The Ed Sullivan Show, on February 9, 1964, Lennon asked CBS coordinator Vince Calandra about Holly's performances; Calandra said Lennon and McCartney repeatedly expressed their appreciation of Holly. The Beatles recorded a close cover of Holly's version of "Words of Love", which was released on their 1964 album Beatles for Sale (in the US, in June 1965 on Beatles VI). During the January 1969 recording sessions for their album Let It Be, the Beatles played a slow, impromptu version of "Mailman, Bring Me No More Blues" – which Holly popularized but did not write – with Lennon mimicking Holly's vocal style. Lennon recorded a cover version of "Peggy Sue" on his 1975 album Rock 'n' Roll. McCartney owns the publishing rights to Holly's song catalog.
On January 31, 1959, two nights before Holly's death, 17-year-old Bob Dylan attended Holly's performance in Duluth. Dylan referred to this in his acceptance speech when he received the Grammy Award for Album of the Year for Time Out of Mind in 1998: "... when I was sixteen or seventeen years old, I went to see Buddy Holly play at Duluth National Guard Armory and I was three feet away from him ... and he looked at me. And I just have some sort of feeling that he was ... with us all the time we were making this record in some kind of way."
Mick Jagger saw Holly performing live in Woolwich, London, during a tour of England; Jagger particularly remembered Holly's performance of "Not Fade Away" – a song that also inspired Keith Richards, who modeled his early guitar playing on the track. The Rolling Stones had a hit version of the song in 1964. Richards later said, "[Holly] passed it on via the Beatles and via [the Rolling Stones] ... He's in everybody."
Don McLean's popular 1971 ballad "American Pie" was inspired by Holly's death and the day of the plane crash. The song's lyric, which calls the incident "The Day the Music Died", became popularly associated with the crash. McLean's album American Pie is dedicated to Holly. In 2015, McLean wrote, "Buddy Holly would have the same stature musically whether he would have lived or died, because of his accomplishments ... By the time he was 22 years old, he had recorded some 50 tracks, most of which he had written himself ... in my view and the view of many others, a hit ... Buddy Holly and the Crickets were the template for all the rock bands that followed."
Elton John was musically influenced by Holly. At age 13, although he did not require them, John started wearing horn-rimmed glasses to imitate Holly. The Clash were also influenced by Holly, and referenced him in their song "If Music Could Talk" from the Sandinista! album. The Chirping Crickets was the first album Eric Clapton ever bought; he later saw Holly on Sunday Night at the London Palladium. In his autobiography, Clapton recounted the first time he saw Holly and his Fender, saying, "I thought I'd died and gone to heaven ... it was like seeing an instrument from outer space and I said to myself: 'That's the future – that's what I want.
The launch of Bobby Vee's successful musical career resulted from Holly's death; Vee was selected to replace Holly on the tour that continued after the plane crash. Holly's profound influence on Vee's singing style can be heard in the songs "Rubber Ball" – the B-side of which was a cover of Holly's "Everyday" – and "Run to Him." The name of the British rock band the Hollies is often claimed as a tribute to Holly; according to the band, they admired Holly, but their name was mainly inspired by sprigs of holly in evidence around Christmas 1962. In an August 24, 1978, interview with Rolling Stone, Bruce Springsteen told Dave Marsh, "I play Buddy Holly every night before I go on; that keeps me honest." The Grateful Dead performed the song "Not Fade Away" in concerts.
In 2016, Richard Barone released his album Sorrows & Promises: Greenwich Village in the 1960s, paying tribute to the new wave of singer-songwriters in the Village during that pivotal, post-Holly era. The album opens with Barone's version of "Learning the Game", one of the final songs written and recorded by Holly at his home in Greenwich Village, a week before his death.
Film and musical depictions
Holly's life story inspired a Hollywood biographical film, The Buddy Holly Story (1978); its lead actor Gary Busey received a nomination for the Academy Award for Best Actor for his portrayal of Holly. The film was widely criticized by the rock press, and by Holly's friends and family, for its inaccuracies. This led Paul McCartney (whose MPL Communications by then controlled the publishing rights to Buddy Holly's song catalog) to produce and host his own documentary about Holly in 1985, titled The Real Buddy Holly Story. This video includes interviews with Keith Richards, Phil and Don Everly, Sonny Curtis, Jerry Allison, Holly's family, and McCartney, among others.
In 1987, musician Marshall Crenshaw portrayed Buddy Holly in the movie La Bamba, which depicts him performing at the Surf Ballroom and boarding the fatal airplane with Ritchie Valens and the Big Bopper. Crenshaw's version of "Crying, Waiting, Hoping" is featured on the La Bamba original motion picture soundtrack.
Buddy: The Buddy Holly Story, a jukebox musical depicting Holly's life, opened in 1989.
Holly was depicted in a 1989 episode of the science-fiction television program Quantum Leap titled "How the Tess Was Won"; Holly's identity is only revealed at the end of the episode. Dr. Sam Beckett (Scott Bakula) influences Buddy Holly to change his lyrics from "piggy, suey" to "Peggy Sue", setting up Holly's future hit song. Holly's follow up to that hit song is featured in the 1986 Francis Ford Coppola film Peggy Sue Got Married, in which a 43-year-old mother and housewife facing divorce played by Kathleen Turner is thrust back in time and given the chance to change the course of her life.
Steve Buscemi appeared as Holly in a brief cameo as a 1950s-themed restaurant employee in Quentin Tarantino's 1994 film Pulp Fiction, in which he takes Mia Wallace and Vincent Vega's orders (portrayed respectively by Uma Thurman and John Travolta).
In 1961, Mike Berry recorded "Tribute to Buddy Holly."
In 1985, the German punk band Die Ärzte composed a song centering on Buddy Holly's glasses, titled "Buddy Holly's Brille."
In 1998, the post-apocalyptic film Six-String Samurai depicted Holly as a guitar-playing samurai traveling to Las Vegas to become the new king of Nevada after the death of Elvis Presley.
Weezer's first top 40 single in the US was titled "Buddy Holly."
In 2006, country band the Dixie Chicks mention Buddy Holly in their song "Lubbock or Leave It." Lead singer Natalie Maines and Holly share a hometown of Lubbock, Texas.
In the animated series The Venture Bros., it is implied that the elderly villains Dragoon and Red Mantle are actually Richardson and Buddy Holly, who were recruited into the supervillain organization the Guild of Calamitous Intent on the night of their supposed deaths.
The TV documentary Buddy Holly – Rave On: The Story of Buddy Holly aired on BBC Four in 2017. An upcoming documentary The Day the Music Died/American Pie explores the story behind the Don Mclean song.
Discography
The Crickets
The "Chirping" Crickets (1957)
Solo
Buddy Holly (1958)
That'll Be the Day (1958)
References
Sources
Further reading
Bustard, Anne (2005). Buddy: The Story of Buddy Holly. Simon & Schuster. .
Comentale, Edward P. (2013). Chapter Five. Sweet Air: Modernism, Regionalism, and American Popular Song. University of Illinois Press. .
Dawson, Jim; Leigh, Spencer (1996). Memories of Buddy Holly. Big Nickel Publications. .
Gerron, Peggy Sue (2008). Whatever Happened to Peggy Sue?. Togi Entertainment. .
Goldrosen, John; Beecher, John (1996). Remembering Buddy: The Definitive Biography. New York: Da Capo Press. .
Goldrosen, John (1975). Buddy Holly: His Life and Music. Popular Press.
Laing, Dave (1971–2010). Buddy Holly (Icons of Pop Music). Indiana University Press. .
Mann, Alan (1996). The A-Z of Buddy Holly. Aurum Press (2nd edition). or 978–1854104335.
McFadden, Hugh (2005). Elegy for Charles Hardin Holley, in Elegies & Epiphanies. Belfast: Lagan Press.
Peer, Elizabeth and Ralph II (1972). Buddy Holly: A Biography in Words, Photographs and Music Australia: Peer International. ASIN B000W24DZO.
Peters, Richard (1990). The Legend That Is Buddy Holly. Barnes & Noble Books. or 978–0285630055.
Rabin, Stanton (2009). OH BOY! The Life and Music of Rock 'n' Roll Pioneer Buddy Holly. Van Winkle Publishing (Kindle). ASIN B0010QBLLG.
Tobler, John (1979). The Buddy Holly Story. Beaufort Books.
VH1's Behind the Music "The Day the Music Died" interview with Waylon Jennings
External links
Buddy Holly news archives at the Lubbock Avalanche-Journal
Buddy Holly – sessions and cover songs
Buddy Holly recordings at the Discography of American Historical Recordings
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Brewing is the production of beer by steeping a starch source (commonly cereal grains, the most popular of which is barley) in water and fermenting the resulting sweet liquid with yeast. It may be done in a brewery by a commercial brewer, at home by a homebrewer, or communally. Brewing has taken place since around the 6th millennium BC, and archaeological evidence suggests that emerging civilizations, including ancient Egypt, China, and Mesopotamia, brewed beer. Since the nineteenth century the brewing industry has been part of most western economies.
The basic ingredients of beer are water and a fermentable starch source such as malted barley. Most beer is fermented with a brewer's yeast and flavoured with hops. Less widely used starch sources include millet, sorghum and cassava. Secondary sources (adjuncts), such as maize (corn), rice, or sugar, may also be used, sometimes to reduce cost, or to add a feature, such as adding wheat to aid in retaining the foamy head of the beer. The most common starch source is ground cereal or "grist" - the proportion of the starch or cereal ingredients in a beer recipe may be called grist, grain bill, or simply mash ingredients.
Steps in the brewing process include malting, milling, mashing, lautering, boiling, fermenting, conditioning, filtering, and packaging. There are three main fermentation methods: warm, cool and spontaneous. Fermentation may take place in an open or closed fermenting vessel; a secondary fermentation may also occur in the cask or bottle. There are several additional brewing methods, such as Burtonisation, double dropping, and Yorkshire Square, as well as post-fermentation treatment such as filtering, and barrel-ageing.
History
Brewing has taken place since around the 6th millennium BC, and archaeological evidence suggests emerging civilizations including China, ancient Egypt, and Mesopotamia brewed beer. Descriptions of various beer recipes can be found in cuneiform (the oldest known writing) from ancient Mesopotamia. In Mesopotamia the brewer's craft was the only profession which derived social sanction and divine protection from female deities/goddesses, specifically: Ninkasi, who covered the production of beer, Siris, who was used in a metonymic way to refer to beer, and Siduri, who covered the enjoyment of beer. In pre-industrial times, and in developing countries, women are frequently the main brewers.
As almost any cereal containing certain sugars can undergo spontaneous fermentation due to wild yeasts in the air, it is possible that beer-like beverages were independently developed throughout the world soon after a tribe or culture had domesticated cereal. Chemical tests of ancient pottery jars reveal that beer was produced as far back as about 7,000 years ago in what is today Iran. This discovery reveals one of the earliest known uses of fermentation and is the earliest evidence of brewing to date. In Mesopotamia, the oldest evidence of beer is believed to be a 6,000-year-old Sumerian tablet depicting people drinking a beverage through reed straws from a communal bowl. A 3900-year-old Sumerian poem honouring Ninkasi, the patron goddess of brewing, contains the oldest surviving beer recipe, describing the production of beer from barley via bread. The invention of bread and beer has been argued to be responsible for humanity's ability to develop technology and build civilization. The earliest chemically confirmed barley beer to date was discovered at Godin Tepe in the central Zagros Mountains of Iran, where fragments of a jug, at least 5,000 years old was found to be coated with beerstone, a by-product of the brewing process. Beer may have been known in Neolithic Europe as far back as 5,000 years ago, and was mainly brewed on a domestic scale.
Ale produced before the Industrial Revolution continued to be made and sold on a domestic scale, although by the 7th century AD beer was also being produced and sold by European monasteries. During the Industrial Revolution, the production of beer moved from artisanal manufacture to industrial manufacture, and domestic manufacture ceased to be significant by the end of the 19th century. The development of hydrometers and thermometers changed brewing by allowing the brewer more control of the process, and greater knowledge of the results. Today, the brewing industry is a global business, consisting of several dominant multinational companies and many thousands of smaller producers ranging from brewpubs to regional breweries. More than 133 billion litres (35 billion gallons) are sold per year—producing total global revenues of $294.5 billion (£147.7 billion) in 2006.
Ingredients
The basic ingredients of beer are water; a starch source, such as malted barley, able to be fermented (converted into alcohol); a brewer's yeast to produce the fermentation; and a flavouring, such as hops, to offset the sweetness of the malt. A mixture of starch sources may be used, with a secondary saccharide, such as maize (corn), rice, or sugar, these often being termed adjuncts, especially when used as a lower-cost substitute for malted barley. Less widely used starch sources include millet, sorghum, and cassava root in Africa, potato in Brazil, and agave in Mexico, among others. The most common starch source is ground cereal or "grist" - the proportion of the starch or cereal ingredients in a beer recipe may be called grist, grain bill, or simply mash ingredients.
Water
Beer is composed mostly of water. Regions have water with different mineral components; as a result, different regions were originally better suited to making certain types of beer, thus giving them a regional character. For example, Dublin has hard water well suited to making stout, such as Guinness; while Pilsen has soft water well suited to making pale lager, such as Pilsner Urquell. The waters of Burton in England contain gypsum, which benefits making pale ale to such a degree that brewers of pale ales will add gypsum to the local water in a process known as Burtonisation.
Starch source
The starch source in a beer provides the fermentable material and is a key determinant of the strength and flavour of the beer. The most common starch source used in beer is malted grain. Grain is malted by soaking it in water, allowing it to begin germination, and then drying the partially germinated grain in a kiln. Malting grain produces enzymes that will allow conversion from starches in the grain into fermentable sugars during the mash process. Different roasting times and temperatures are used to produce different colours of malt from the same grain. Darker malts will produce darker beers.
Nearly all beer includes barley malt as the majority of the starch. This is because of its fibrous husk, which is important not only in the sparging stage of brewing (in which water is washed over the mashed barley grains to form the wort) but also as a rich source of amylase, a digestive enzyme that facilitates conversion of starch into sugars. Other malted and unmalted grains (including wheat, rice, oats, and rye, and, less frequently, maize (corn) and sorghum) may be used. In recent years, a few brewers have produced gluten-free beer made with sorghum with no barley malt for people who cannot digest gluten-containing grains like wheat, barley, and rye.
Hops
Hops are the female flower clusters or seed cones of the hop vine Humulus lupulus, which are used as a flavouring and preservative agent in nearly all beer made today. Hops had been used for medicinal and food flavouring purposes since Roman times; by the 7th century in Carolingian monasteries in what is now Germany, beer was being made with hops, though it isn't until the thirteenth century that widespread cultivation of hops for use in beer is recorded. Before the thirteenth century, beer was flavoured with plants such as yarrow, wild rosemary, and bog myrtle, and other ingredients such as juniper berries, aniseed and ginger, which would be combined into a mixture known as gruit and used as hops are now used; between the thirteenth and the sixteenth century, during which hops took over as the dominant flavouring, beer flavoured with gruit was known as ale, while beer flavoured with hops was known as beer. Some beers today, such as Fraoch by the Scottish Heather Ales company and Cervoise Lancelot by the French Brasserie-Lancelot company, use plants other than hops for flavouring.
Hops contain several characteristics that brewers desire in beer: they contribute a bitterness that balances the sweetness of the malt; they provide floral, citrus, and herbal aromas and flavours; they have an antibiotic effect that favours the activity of brewer's yeast over less desirable microorganisms; and they aid in "head retention", the length of time that the foam on top of the beer (the beer head) will last. The preservative in hops comes from the lupulin glands which contain soft resins with alpha and beta acids. Though much studied, the preservative nature of the soft resins is not yet fully understood, though it has been observed that unless stored at a cool temperature, the preservative nature will decrease. Brewing is the sole major commercial use of hops.
Yeast
Yeast is the microorganism that is responsible for fermentation in beer. Yeast metabolises the sugars extracted from grains, which produces alcohol and carbon dioxide, and thereby turns wort into beer. In addition to fermenting the beer, yeast influences the character and flavour.
The dominant types of yeast used to make beer are Saccharomyces cerevisiae, known as ale yeast, and Saccharomyces pastorianus, known as lager yeast; Brettanomyces ferments lambics, and Torulaspora delbrueckii ferments Bavarian weissbier. Before the role of yeast in fermentation was understood, fermentation involved wild or airborne yeasts, and a few styles such as lambics still use this method today. Emil Christian Hansen, a Danish biochemist employed by the Carlsberg Laboratory, developed pure yeast cultures which were introduced into the Carlsberg brewery in 1883, and pure yeast strains are now the main fermenting source used worldwide.
Clarifying agent
Some brewers add one or more clarifying agents to beer, which typically precipitate (collect as a solid) out of the beer along with protein solids and are found only in trace amounts in the finished product. This process makes the beer appear bright and clean, rather than the cloudy appearance of ethnic and older styles of beer such as wheat beers.
Examples of clarifying agents include isinglass, obtained from swim bladders of fish; Irish moss, a seaweed; kappa carrageenan, from the seaweed kappaphycus; polyclar (a commercial brand of clarifier); and gelatin. If a beer is marked "suitable for Vegans", it was generally clarified either with seaweed or with artificial agents, although the "Fast Cask" method invented by Marston's in 2009 may provide another method.
Brewing process
There are several steps in the brewing process, which may include malting, mashing, lautering, boiling, fermenting, conditioning, filtering, and packaging. The brewing equipment needed to make beer has grown more sophisticated over time, and now covers most aspects of the brewing process.
Malting is the process where barley grain is made ready for brewing. Malting is broken down into three steps in order to help to release the starches in the barley. First, during steeping, the grain is added to a vat with water and allowed to soak for approximately 40 hours. During germination, the grain is spread out on the floor of the germination room for around 5 days. The final part of malting is kilning when the malt goes through a very high temperature drying in a kiln; with gradual temperature increase over several hours. When kilning is complete, the grains are now termed malt, and they will be milled or crushed to break apart the kernels and expose the cotyledon, which contains the majority of the carbohydrates and sugars; this makes it easier to extract the sugars during mashing.
Mashing converts the starches released during the malting stage into sugars that can be fermented. The milled grain is mixed with hot water in a large vessel known as a mash tun. In this vessel, the grain and water are mixed together to create a cereal mash. During the mash, naturally occurring enzymes present in the malt convert the starches (long chain carbohydrates) in the grain into smaller molecules or simple sugars (mono-, di-, and tri-saccharides). This "conversion" is called saccharification which occurs between the temperatures . The result of the mashing process is a sugar-rich liquid or "wort", which is then strained through the bottom of the mash tun in a process known as lautering. Prior to lautering, the mash temperature may be raised to about (known as a mashout) to free up more starch and reduce mash viscosity. Additional water may be sprinkled on the grains to extract additional sugars (a process known as sparging).
The wort is moved into a large tank known as a "copper" or kettle where it is boiled with hops and sometimes other ingredients such as herbs or sugars. This stage is where many chemical reactions take place, and where important decisions about the flavour, colour, and aroma of the beer are made. The boiling process serves to terminate enzymatic processes, precipitate proteins, isomerize hop resins, and concentrate and sterilize the wort. Hops add flavour, aroma and bitterness to the beer. At the end of the boil, the hopped wort settles to clarify in a vessel called a "whirlpool", where the more solid particles in the wort are separated out.
After the whirlpool, the wort is drawn away from the compacted hop trub, and rapidly cooled via a heat exchanger to a temperature where yeast can be added. A variety of heat exchanger designs are used in breweries, with the most common a plate-style. Water or glycol run in channels in the opposite direction of the wort, causing a rapid drop in temperature. It is very important to quickly cool the wort to a level where yeast can be added safely as yeast is unable to grow in very high temperatures, and will start to die in temperatures above . After the wort goes through the heat exchanger, the cooled wort goes into a fermentation tank. A type of yeast is selected and added, or "pitched", to the fermentation tank. When the yeast is added to the wort, the fermenting process begins, where the sugars turn into alcohol, carbon dioxide and other components. When the fermentation is complete the brewer may rack the beer into a new tank, called a conditioning tank. Conditioning of the beer is the process in which the beer ages, the flavour becomes smoother, and flavours that are unwanted dissipate. After conditioning for a week to several months, the beer may be filtered and force carbonated for bottling, or fined in the cask.
Mashing
Mashing is the process of combining a mix of milled grain (typically malted barley with supplementary grains such as corn, sorghum, rye or wheat), known as the "grist" or "grain bill", and water, known as "liquor", and heating this mixture in a vessel called a "mash tun". Mashing is a form of steeping, and defines the act of brewing, such as with making tea, sake, and soy sauce. Technically, wine, cider and mead are not brewed but rather vinified, as there is no steeping process involving solids. Mashing allows the enzymes in the malt to break down the starch in the grain into sugars, typically maltose to create a malty liquid called wort. There are two main methods – infusion mashing, in which the grains are heated in one vessel; and decoction mashing, in which a proportion of the grains are boiled and then returned to the mash, raising the temperature. Mashing involves pauses at certain temperatures (notably ), and takes place in a "mash tun" – an insulated brewing vessel with a false bottom. The end product of mashing is called a "mash".
Mashing usually takes 1 to 2 hours, and during this time the various temperature rests activate different enzymes depending upon the type of malt being used, its modification level, and the intention of the brewer. The activity of these enzymes convert the starches of the grains to dextrins and then to fermentable sugars such as maltose. A mash rest from activates various proteases, which break down proteins that might otherwise cause the beer to be hazy. This rest is generally used only with undermodified (i.e. undermalted) malts which are decreasingly popular in Germany and the Czech Republic, or non-malted grains such as corn and rice, which are widely used in North American beers. A mash rest at activates β-glucanase, which breaks down gummy β-glucans in the mash, making the sugars flow out more freely later in the process. In the modern mashing process, commercial fungal based β-glucanase may be added as a supplement. Finally, a mash rest temperature of is used to convert the starches in the malt to sugar, which is then usable by the yeast later in the brewing process. Doing the latter rest at the lower end of the range favours β-amylase enzymes, producing more low-order sugars like maltotriose, maltose, and glucose which are more fermentable by the yeast. This in turn creates a beer lower in body and higher in alcohol. A rest closer to the higher end of the range favours α-amylase enzymes, creating more higher-order sugars and dextrins which are less fermentable by the yeast, so a fuller-bodied beer with less alcohol is the result. Duration and pH variances also affect the sugar composition of the resulting wort.
Lautering
Lautering is the separation of the wort (the liquid containing the sugar extracted during mashing) from the grains. This is done either in a mash tun outfitted with a false bottom, in a lauter tun, or in a mash filter. Most separation processes have two stages: first wort run-off, during which the extract is separated in an undiluted state from the spent grains, and sparging, in which extract which remains with the grains is rinsed off with hot water. The lauter tun is a tank with holes in the bottom small enough to hold back the large bits of grist and hulls (the ground or milled cereal). The bed of grist that settles on it is the actual filter. Some lauter tuns have provision for rotating rakes or knives to cut into the bed of grist to maintain good flow. The knives can be turned so they push the grain, a feature used to drive the spent grain out of the vessel. The mash filter is a plate-and-frame filter. The empty frames contain the mash, including the spent grains, and have a capacity of around one hectoliter. The plates contain a support structure for the filter cloth. The plates, frames, and filter cloths are arranged in a carrier frame like so: frame, cloth, plate, cloth, with plates at each end of the structure. Newer mash filters have bladders that can press the liquid out of the grains between spargings. The grain does not act like a filtration medium in a mash filter.
Boiling
After mashing, the beer wort is boiled with hops (and other flavourings if used) in a large tank known as a "copper" or brew kettle – though historically the mash vessel was used and is still in some small breweries. The boiling process is where chemical reactions take place, including sterilization of the wort to remove unwanted bacteria, releasing of hop flavours, bitterness and aroma compounds through isomerization, stopping of enzymatic processes, precipitation of proteins, and concentration of the wort. Finally, the vapours produced during the boil volatilise off-flavours, including dimethyl sulfide precursors. The boil is conducted so that it is even and intense – a continuous "rolling boil". The boil on average lasts between 45 and 90 minutes, depending on its intensity, the hop addition schedule, and volume of water the brewer expects to evaporate. At the end of the boil, solid particles in the hopped wort are separated out, usually in a vessel called a "whirlpool".
Brew kettle or copper
Copper is the traditional material for the boiling vessel for two main reasons: firstly because copper transfers heat quickly and evenly; secondly because the bubbles produced during boiling, which could act as an insulator against the heat, do not cling to the surface of copper, so the wort is heated in a consistent manner. The simplest boil kettles are direct-fired, with a burner underneath. These can produce a vigorous and favourable boil, but are also apt to scorch the wort where the flame touches the kettle, causing caramelisation and making cleanup difficult. Most breweries use a steam-fired kettle, which uses steam jackets in the kettle to boil the wort. Breweries usually have a boiling unit either inside or outside of the kettle, usually a tall, thin cylinder with vertical tubes, called a calandria, through which wort is pumped.
Whirlpool
At the end of the boil, solid particles in the hopped wort are separated out, usually in a vessel called a "whirlpool" or "settling tank". The whirlpool was devised by Henry Ranulph Hudston while working for the Molson Brewery in 1960 to utilise the so-called tea leaf paradox to force the denser solids known as "trub" (coagulated proteins, vegetable matter from hops) into a cone in the centre of the whirlpool tank. Whirlpool systems vary: smaller breweries tend to use the brew kettle, larger breweries use a separate tank, and design will differ, with tank floors either flat, sloped, conical or with a cup in the centre. The principle in all is that by swirling the wort the centripetal force will push the trub into a cone at the centre of the bottom of the tank, where it can be easily removed.
Hopback
A hopback is a traditional additional chamber that acts as a sieve or filter by using whole hops to clear debris (or "trub") from the unfermented (or "green") wort, as the whirlpool does, and also to increase hop aroma in the finished beer. It is a chamber between the brewing kettle and wort chiller. Hops are added to the chamber, the hot wort from the kettle is run through it, and then immediately cooled in the wort chiller before entering the fermentation chamber. Hopbacks utilizing a sealed chamber facilitate maximum retention of volatile hop aroma compounds that would normally be driven off when the hops contact the hot wort. While a hopback has a similar filtering effect as a whirlpool, it operates differently: a whirlpool uses centrifugal forces, a hopback uses a layer of whole hops to act as a filter bed. Furthermore, while a whirlpool is useful only for the removal of pelleted hops (as flowers do not tend to separate as easily), in general hopbacks are used only for the removal of whole flower hops (as the particles left by pellets tend to make it through the hopback). The hopback has mainly been substituted in modern breweries by the whirlpool.
Wort cooling
After the whirlpool, the wort must be brought down to fermentation temperatures before yeast is added. In modern breweries this is achieved through a plate heat exchanger. A plate heat exchanger has many ridged plates, which form two separate paths. The wort is pumped into the heat exchanger, and goes through every other gap between the plates. The cooling medium, usually water, goes through the other gaps. The ridges in the plates ensure turbulent flow. A good heat exchanger can drop wort to while warming the cooling medium from about to . The last few plates often use a cooling medium which can be cooled to below the freezing point, which allows a finer control over the wort-out temperature, and also enables cooling to around . After cooling, oxygen is often dissolved into the wort to revitalize the yeast and aid its reproduction. Some of the craft brewery, particularly those wanting to create steam beer, utilize coolship instead.
While boiling, it is useful to recover some of the energy used to boil the wort. On its way out of the brewery, the steam created during the boil is passed over a coil through which unheated water flows. By adjusting the rate of flow, the output temperature of the water can be controlled. This is also often done using a plate heat exchanger. The water is then stored for later use in the next mash, in equipment cleaning, or wherever necessary. Another common method of energy recovery takes place during the wort cooling. When cold water is used to cool the wort in a heat exchanger, the water is significantly warmed. In an efficient brewery, cold water is passed through the heat exchanger at a rate set to maximize the water's temperature upon exiting. This now-hot water is then stored in a hot water tank.
Fermenting
Fermentation takes place in fermentation vessels which come in various forms, from enormous cylindroconical vessels, through open stone vessels, to wooden vats. After the wort is cooled and aerated – usually with sterile air – yeast is added to it, and it begins to ferment. It is during this stage that sugars won from the malt are converted into alcohol and carbon dioxide, and the product can be called beer for the first time.
Most breweries today use cylindroconical vessels, or CCVs, which have a conical bottom and a cylindrical top. The cone's angle is typically around 60°, an angle that will allow the yeast to flow towards the cone's apex, but is not so steep as to take up too much vertical space. CCVs can handle both fermenting and conditioning in the same tank. At the end of fermentation, the yeast and other solids which have fallen to the cone's apex can be simply flushed out of a port at the apex. Open fermentation vessels are also used, often for show in brewpubs, and in Europe in wheat beer fermentation. These vessels have no tops, which makes harvesting top-fermenting yeasts very easy. The open tops of the vessels make the risk of infection greater, but with proper cleaning procedures and careful protocol about who enters fermentation chambers, the risk can be well controlled. Fermentation tanks are typically made of stainless steel. If they are simple cylindrical tanks with beveled ends, they are arranged vertically, as opposed to conditioning tanks which are usually laid out horizontally. Only a very few breweries still use wooden vats for fermentation as wood is difficult to keep clean and infection-free and must be repitched more or less yearly.
Fermentation methods
There are three main fermentation methods, warm, cool, and wild or spontaneous. Fermentation may take place in open or closed vessels. There may be a secondary fermentation which can take place in the brewery, in the cask or in the bottle.
Brewing yeasts are traditionally classed as "top-cropping" (or "top-fermenting") and "bottom-cropping" (or "bottom-fermenting"); the yeasts classed as top-fermenting are generally used in warm fermentations, where they ferment quickly, and the yeasts classed as bottom-fermenting are used in cooler fermentations where they ferment more slowly. Yeast were termed top or bottom cropping, because the yeast was collected from the top or bottom of the fermenting wort to be reused for the next brew. This terminology is somewhat inappropriate in the modern era; after the widespread application of brewing mycology it was discovered that the two separate collecting methods involved two different yeast species that favoured different temperature regimes, namely Saccharomyces cerevisiae in top-cropping at warmer temperatures and Saccharomyces pastorianus in bottom-cropping at cooler temperatures. As brewing methods changed in the 20th century, cylindro-conical fermenting vessels became the norm and the collection of yeast for both Saccharomyces species is done from the bottom of the fermenter. Thus the method of collection no longer implies a species association. There are a few remaining breweries who collect yeast in the top-cropping method, such as Samuel Smiths brewery in Yorkshire, Marstons in Staffordshire and several German hefeweizen producers.
For both types, yeast is fully distributed through the beer while it is fermenting, and both equally flocculate (clump together and precipitate to the bottom of the vessel) when fermentation is finished. By no means do all top-cropping yeasts demonstrate this behaviour, but it features strongly in many English yeasts that may also exhibit chain forming (the failure of budded cells to break from the mother cell), which is in the technical sense different from true flocculation. The most common top-cropping brewer's yeast, Saccharomyces cerevisiae, is the same species as the common baking yeast. However, baking and brewing yeasts typically belong to different strains, cultivated to favour different characteristics: baking yeast strains are more aggressive, in order to carbonate dough in the shortest amount of time; brewing yeast strains act slower, but tend to tolerate higher alcohol concentrations (normally 12–15% abv is the maximum, though under special treatment some ethanol-tolerant strains can be coaxed up to around 20%). Modern quantitative genomics has revealed the complexity of Saccharomyces species to the extent that yeasts involved in beer and wine production commonly involve hybrids of so-called pure species. As such, the yeasts involved in what has been typically called top-cropping or top-fermenting ale may be both Saccharomyces cerevisiae and complex hybrids of Saccharomyces cerevisiae and Saccharomyces kudriavzevii. Three notable ales, Chimay, Orval and Westmalle, are fermented with these hybrid strains, which are identical to wine yeasts from Switzerland.
Warm fermentation
In general, yeasts such as Saccharomyces cerevisiae are fermented at warm temperatures between , occasionally as high as , while the yeast used by Brasserie Dupont for saison ferments even higher at . They generally form a foam on the surface of the fermenting beer, which is called barm, as during the fermentation process its hydrophobic surface causes the flocs to adhere to CO2 and rise; because of this, they are often referred to as "top-cropping" or "top-fermenting" – though this distinction is less clear in modern brewing with the use of cylindro-conical tanks. Generally, warm-fermented beers, which are usually termed ale, are ready to drink within three weeks after the beginning of fermentation, although some brewers will condition or mature them for several months.
Cool fermentation
When a beer has been brewed using a cool fermentation of around , compared to typical warm fermentation temperatures of , then stored (or lagered) for typically several weeks (or months) at temperatures close to freezing point, it is termed a "lager". During the lagering or storage phase several flavour components developed during fermentation dissipate, resulting in a "cleaner" flavour. Though it is the slow, cool fermentation and cold conditioning (or lagering) that defines the character of lager, the main technical difference is with the yeast generally used, which is Saccharomyces pastorianus. Technical differences include the ability of lager yeast to metabolize melibiose, and the tendency to settle at the bottom of the fermenter (though ales yeasts can also become bottom settling by selection); though these technical differences are not considered by scientists to be influential in the character or flavour of the finished beer, brewers feel otherwise - sometimes cultivating their own yeast strains which may suit their brewing equipment or for a particular purpose, such as brewing beers with a high abv.
Brewers in Bavaria had for centuries been selecting cold-fermenting yeasts by storing ("lagern") their beers in cold alpine caves. The process of natural selection meant that the wild yeasts that were most cold tolerant would be the ones that would remain actively fermenting
in the beer that was stored in the caves. A sample of these Bavarian yeasts was sent from the Spaten brewery in Munich to the Carlsberg brewery in Copenhagen in 1845 who began brewing with it. In 1883 Emile Hansen completed a study on pure yeast culture isolation and the pure strain obtained from Spaten went into industrial production in 1884 as Carlsberg yeast No 1. Another specialized pure yeast production plant was installed at the Heineken Brewery in Rotterdam the following year and together they began the supply of pure cultured yeast to brewers across Europe. This yeast strain was originally classified as Saccharomyces carlsbergensis, a now defunct species name which has been superseded by the currently accepted taxonomic classification Saccharomyces pastorianus.
Spontaneous fermentation
Lambic beers are historically brewed in Brussels and the nearby Pajottenland region of Belgium without any yeast inoculation. The wort is cooled in open vats (called "coolships"), where the yeasts and microbiota present in the brewery (such as Brettanomyces) are allowed to settle to create a spontaneous fermentation, and are then conditioned or matured in oak barrels for typically one to three years.
Conditioning
After an initial or primary fermentation, beer is conditioned, matured or aged, in one of several ways, which can take from 2 to 4 weeks, several months, or several years, depending on the brewer's intention for the beer. The beer is usually transferred into a second container, so that it is no longer exposed to the dead yeast and other debris (also known as "trub") that have settled to the bottom of the primary fermenter. This prevents the formation of unwanted flavours and harmful compounds such as acetaldehyde.
Kräusening
Kräusening (pronounced ) is a conditioning method in which fermenting wort is added to the finished beer. The active yeast will restart fermentation in the finished beer, and so introduce fresh carbon dioxide; the conditioning tank will be then sealed so that the carbon dioxide is dissolved into the beer producing a lively "condition" or level of carbonation. The kräusening method may also be used to condition bottled beer.
Lagering
Lagers are stored at cellar temperature or below for 1–6 months while still on the yeast. The process of storing, or conditioning, or maturing, or aging a beer at a low temperature for a long period is called "lagering", and while it is associated with lagers, the process may also be done with ales, with the same result – that of cleaning up various chemicals, acids and compounds.
Secondary fermentation
During secondary fermentation, most of the remaining yeast will settle to the bottom of the second fermenter, yielding a less hazy product.
Bottle fermentation
Some beers undergo an additional fermentation in the bottle giving natural carbonation. This may be a second and/or third fermentation. They are bottled with a viable yeast population in suspension. If there is no residual fermentable sugar left, sugar or wort or both may be added in a process known as priming. The resulting fermentation generates CO2 that is trapped in the bottle, remaining in solution and providing natural carbonation. Bottle-conditioned beers may be either filled unfiltered direct from the fermentation or conditioning tank, or filtered and then reseeded with yeast.
Cask conditioning
Cask ale (or cask-conditioned beer) is unfiltered, unpasteurised beer that is conditioned by a secondary fermentation in a metal, plastic or wooden cask. It is dispensed from the cask by being either poured from a tap by gravity, or pumped up from a cellar via a beer engine (hand pump). Sometimes a cask breather is used to keep the beer fresh by allowing carbon dioxide to replace oxygen as the beer is drawn off the cask. Until 2018, the Campaign for Real Ale (CAMRA) defined real ale as beer "served without the use of extraneous carbon dioxide", which would disallow the use of a cask breather, a policy which was reversed in April 2018 to allow beer served with the use of cask breathers to meet its definition of real ale.
Barrel-ageing
Barrel-ageing (US: Barrel aging) is the process of ageing beer in wooden barrels to achieve a variety of effects in the final product. Sour beers such as lambics are fully fermented in wood, while other beers are aged in barrels which were previously used for maturing wines or spirits. In 2016 "Craft Beer and Brewing" wrote: "Barrel-aged beers are so trendy that nearly every taphouse and beer store has a section of them.
Filtering
Filtering stabilises the flavour of beer, holding it at a point acceptable to the brewer, and preventing further development from the yeast, which under poor conditions can release negative components and flavours. Filtering also removes haze, clearing the beer, and so giving it a "polished shine and brilliance". Beer with a clear appearance has been commercially desirable for brewers since the development of glass vessels for storing and drinking beer, along with the commercial success of pale lager, which - due to the lagering process in which haze and particles settle to the bottom of the tank and so the beer "drops bright" (clears) - has a natural bright appearance and shine.
There are several forms of filters; they may be in the form of sheets or "candles", or they may be a fine powder such as diatomaceous earth (also called kieselguhr), which is added to the beer to form a filtration bed which allows liquid to pass, but holds onto suspended particles such as yeast. Filters range from rough filters that remove much of the yeast and any solids (e.g., hops, grain particles) left in the beer, to filters tight enough to strain colour and body from the beer. Filtration ratings are divided into rough, fine, and sterile. Rough filtration leaves some cloudiness in the beer, but it is noticeably clearer than unfiltered beer. Fine filtration removes almost all cloudiness. Sterile filtration removes almost all microorganisms.
Sheet (pad) filters
These filters use sheets that allow only particles smaller than a given size to pass through. The sheets are placed into a filtering frame, sanitized (with boiling water, for example) and then used to filter the beer. The sheets can be flushed if the filter becomes blocked. The sheets are usually disposable and are replaced between filtration sessions. Often the sheets contain powdered filtration media to aid in filtration.
Pre-made filters have two sides. One with loose holes, and the other with tight holes. Flow goes from the side with loose holes to the side with the tight holes, with the intent that large particles get stuck in the large holes while leaving enough room around the particles and filter medium for smaller particles to go through and get stuck in tighter holes.
Sheets are sold in nominal ratings, and typically 90% of particles larger than the nominal rating are caught by the sheet.
Kieselguhr filters
Filters that use a powder medium are considerably more complicated to operate, but can filter much more beer before regeneration. Common media include diatomaceous earth and perlite.
By-products
Brewing by-products are "spent grain" and the sediment (or "dregs") from the filtration process which may be dried and resold as "brewers dried yeast" for poultry feed, or made into yeast extract which is used in brands such as Vegemite and Marmite. The process of turning the yeast sediment into edible yeast extract was discovered by German scientist Justus von Liebig.
Brewer's spent grain (also called spent grain, brewer's grain or draff) is the main by-product of the brewing process; it consists of the residue of malt and grain which remains in the lauter tun after the lautering process. It consists primarily of grain husks, pericarp, and fragments of endosperm. As it mainly consists of carbohydrates and proteins, and is readily consumed by animals, spent grain is used in animal feed. Spent grains can also be used as fertilizer, whole grains in bread, as well as in the production of flour and biogas. Spent grain is also an ideal medium for growing mushrooms, such as shiitake, and already some breweries are either growing their own mushrooms or supplying spent grain to mushroom farms. Spent grains can be used in the production of red bricks, to improve the open porosity and reduce thermal conductivity of the ceramic mass.
Brewing industry
The brewing industry is a global business, consisting of several dominant multinational companies and many thousands of other producers known as microbreweries or regional breweries or craft breweries depending on size, region, and marketing preference. More than are sold per year—producing total global revenues of $294.5 billion (£147.7 billion) as of 2006. SABMiller became the largest brewing company in the world when it acquired Royal Grolsch, brewer of Dutch premium beer brand Grolsch. InBev was the second-largest beer-producing company in the world and Anheuser-Busch held the third spot, but after the acquisition of Anheuser-Busch by InBev, the new Anheuser-Busch InBev company is currently the largest brewer in the world.
Brewing at home is subject to regulation and prohibition in many countries. Restrictions on homebrewing were lifted in the UK in 1963, Australia followed suit in 1972, and the US in 1978, though individual states were allowed to pass their own laws limiting production.
References
Sources
Bamforth, Charles; Food, Fermentation and Micro-organisms, Wiley-Blackwell, 2005,
Bamforth, Charles; Beer: Tap into the Art and Science of Brewing, Oxford University Press, 2009
Boulton, Christopher; Encyclopaedia of Brewing, Wiley-Blackwell, 2013,
Briggs, Dennis E., et al.; Malting and Brewing Science, Aspen Publishers, 1982,
Ensminger, Audrey; Foods & Nutrition Encyclopedia, CRC Press, 1994,
Esslinger, Hans Michael; Handbook of Brewing: Processes, Technology, Markets, Wiley-VCH, 2009,
Hornsey, Ian Spencer; Brewing, Royal Society of Chemistry, 1999,
Hui, Yiu H.; Food Biotechnology, Wiley-IEEE, 1994,
Hui, Yiu H., and Smith, J. Scott; Food Processing: Principles and Applications, Wiley-Blackwell, 2004,
Andrew G.H. Lea, John Raymond Piggott, John R. Piggott ; Fermented Beverage Production, Kluwer Academic/Plenum Publishers, 2003,
McFarland, Ben; World's Best Beers, Sterling Publishing, 2009,
Oliver, Garrett (ed); The Oxford Companion to Beer, Oxford University Press, 2011
Priest, Fergus G.; Handbook of Brewing, CRC Press, 2006,
Stevens, Roger, et al.; Brewing: Science and Practice, Woodhead Publishing, 2004,
Unger, Richard W.; Beer in the Middle Ages and the Renaissance, University of Pennsylvania Press, 2004,
External links
An overview of the microbiology behind beer brewing from the Science Creative Quarterly
A pictorial overview of the brewing process at the Heriot-Watt University Pilot Brewery
Fermentation in food processing | 10 |
BASE jumping () is the recreational sport of jumping from fixed objects, using a parachute to descend safely to the ground. "BASE" is an acronym that stands for four categories of fixed objects from which one can jump: buildings, antennae (referring to radio masts), spans (bridges), and earth (cliffs). Participants exit from a fixed object such as a cliff, and after an optional freefall delay, deploy a parachute to slow their descent and land. A popular form of BASE jumping is wingsuit BASE jumping.
In contrast to other forms of parachuting, such as skydiving from airplanes, BASE jumps are performed from fixed objects which are generally at much lower altitudes, and BASE jumpers only carry one parachute.
BASE jumping is significantly more hazardous than other forms of parachuting, and is widely considered to be one of the most dangerous extreme sports.
History
Precursors
Fausto Veranzio is widely believed to have been the first person to build and test a parachute, by jumping from St Mark's Campanile in Venice in 1617 when he was over 65 years old. However, these and other sporadic incidents were one-time experiments, not the actual systematic pursuit of a new form of parachuting.
Birth of B.A.S.E. jumping
There are precursors to the sport dating back hundreds of years. In 1966, Michael Pelkey and Brian Schubert jumped from El Capitan in Yosemite National Park. The acronym "B.A.S.E." (now more commonly "BASE") was later coined by filmmaker Carl Boenish, his wife Jean Boenish, Phil Smith, and Phil Mayfield. Carl Boenish was an important catalyst behind modern BASE jumping, and in 1978 he filmed jumps from El Capitan, made using ram-air parachutes and the freefall tracking technique. While BASE jumps had been made prior to that time, the El Capitan activity was the effective birth of what is now called BASE jumping.
After 1978, the filmed jumps from El Capitan were repeated, not as an actual publicity exercise or as a movie stunt, but as a true recreational activity. It was this that popularized BASE jumping more widely among parachutists. Carl Boenish continued to publish films and informational magazines on BASE jumping until his death in 1984 after a BASE jump off the Troll Wall. By this time, the concept had spread among skydivers worldwide, with hundreds of participants making fixed-object jumps.
During the early eighties, nearly all BASE jumps were made using standard skydiving equipment, including two parachutes (main and reserve), and deployment components. Later on, specialized equipment and techniques were developed specifically for the unique needs of BASE jumping.
BASE numbers
BASE numbers are awarded to those who have made at least one jump from each of the four categories (buildings, antennae, spans and earth). When Phil Smith and Phil Mayfield jumped together from a Houston skyscraper on 18 January 1981, they became the first to attain the exclusive BASE numbers (BASE #1 and #2, respectively), having already jumped from an antenna, spans, and earthen objects. Jean and Carl Boenish qualified for BASE numbers 3 and 4 soon after. A separate "award" was soon enacted for Night BASE jumping when Mayfield completed each category at night, becoming Night BASE #1, with Smith qualifying a few weeks later.
Upon completing a jump from all of the four object categories, a jumper may choose to apply for a "BASE number", awarded sequentially. The 1000th application for a BASE number was filed in March 2005 and BASE #1000 was awarded to Matt "Harley" Moilanen of Grand Rapids, Michigan. , over 2,000 BASE numbers have been issued.
Equipment
In the early days of BASE jumping, people used modified skydiving gear, such as by removing the deployment bag and slider, stowing the lines in a tail pocket, and fitting a large pilot chute. However, modified skydiving gear is then prone to kinds of malfunction that are rare in normal skydiving (such as "line-overs" and broken lines). Modern purpose-built BASE jumping equipment is considered to be much safer and more reliable.
Parachute
The biggest difference in gear is that skydivers jump with both a main and a reserve parachute, while BASE jumpers carry only one parachute. BASE jumping parachutes are larger than skydiving parachutes and are typically flown with a wing loading of around . Vents are one element that make a parachute suitable for BASE jumping. BASE jumpers often use extra large pilot chutes to compensate for lower airspeed parachute deployments. On jumps from lower altitudes, the slider is removed for faster parachute opening.
Harness and container
BASE jumpers use a single-parachute harness and container system. Since there is only a single parachute, BASE jumping containers are mechanically much simpler than skydiving containers. This simplicity contributes to the safety and reliability of BASE jumping gear by eliminating many malfunctions that can occur with more complicated skydiving equipment. Since there is no reserve parachute, there is little need to cut-away their parachute, many BASE harnesses do not contain a 3-ring release system. A modern ultralight BASE system including parachute, container, and harness can weigh as little as .
Clothing
When jumping from high mountains, BASE jumpers will often use special clothing to improve control and flight characteristics in the air. Wingsuit flying has become a popular form of BASE jumping in recent years, that allows jumpers to glide over long horizontal distances. Tracking suits inflate like wingsuits to give additional lift to jumpers, but maintain separation of arms and legs to allow for greater mobility and safety.
Technique
BASE jumps can be broadly classified into low jumps and high jumps. The primary distinguishing characteristic of low BASE jumps versus high BASE jumps is the use of a slider reefing device to control the opening speed of the parachute, and whether the jumper falls long enough to reach terminal velocity.
Low BASE jumps
Low BASE jumps are those where the jumper does not reach terminal velocity. Sometimes referred to as "slider down" jumps because they are typically performed without a slider reefing device on the parachute. The lack of a slider enables the parachute to open more quickly. Other techniques for low BASE jumps include the use of a static line, direct bag, or PCA (pilot chute assist). These devices form an attachment between the parachute and the jump platform, which stretches out the parachute and suspension lines as the jumper falls, before separating and allowing the parachute to inflate. This enables the very lowest jumps—below to be made. It is common in the UK to jump from around the mark, due to the number of low cliffs at this height. Basejumpers have been known to jump from objects as low as , which leaves little to no canopy time and requires an immediate flare to land safely.
High BASE jumps
Many BASE jumpers are motivated to make jumps from higher objects involving free fall. High BASE jumps are those which are high enough for the jumper to reach terminal velocity. High BASE jumps are often called "slider up" jumps due to the use of a slider reefing device.
High BASE jumps present different hazards than low BASE jumps. With greater height and airspeed, jumpers can fly away from the cliff during freefall, allowing them to deploy their parachute far away from the cliff they jumped from and significantly reduce the chance of object striking. However, high BASE jumps also present new hazards such as complications resulting from the use of a wingsuit.
Tandem BASE jumps
Tandem BASE jumping is when a skilled pilot jumps with a passenger attached to their front. It is similar to skydiving and is offered in the US. Tandem BASE is becoming a more accessible and legal form of BASE jumping.
Records
Lowest
Felix Baumgartner jumped from Christ the Redeemer statue in Rio de Janeiro and claimed the world record for the lowest BASE jump ever, jumping from .
Biggest
Guinness World Records first listed a BASE jumping record with Carl Boenish's 1984 leap from Trollveggen (Troll Wall) in Norway. It was described as the highest BASE jump. The jump was made two days before Boenish's death at the same site.
Highest altitude
On August 26, 1992, Australians Nic Feteris and Glenn Singleman made a BASE jump from an altitude of jump off Great Trango Towers Pakistan. It was the world's highest BASE jump off the earth at the time.
On May 23, 2006, Australians Glenn Singleman and Heather Swan made a BASE jump from an altitude of off Mount Meru in Northern India. They jumped in wingsuits.
On May 5, 2013, Russian Valery Rozov jumped off Changtse (the northern peak of the Mount Everest massif) from a height of . Using a specially-developed Red Bull wingsuit, he glided down to the Rongbuk glacier more than 1,000 meters below, setting a new world record for highest altitude base jump. He had previously jumped off mountains in Asia, Antarctica and South America in 2004, 2007, 2008, 2010 and 2012.
On October 5, 2016, Rozov broke his own record for highest altitude BASE jump when he leapt from a height of from Cho Oyu, the sixth-highest mountain in the world, landing on a glacier approximately two minutes later at an altitude of around . He later died while attempting another high-altitude BASE jump in Nepal in 2017.
Other
Other records include Captain Daniel G. Schilling setting the Guinness World Record for the most BASE jumps in a twenty-four-hour period. Schilling jumped off the Perrine Bridge in Twin Falls, Idaho, a record 201 times on July 8, 2006. In 2018 at Eikesdalen, Norway a world record was set with 69 BASE jumpers jumping from the cliff Katthammaren.
Competitions
BASE competitions have been held since the early 1980s, with accurate landings or free-fall aerobatics used as the judging criteria. Recent years have seen a formal competition held at the high Petronas Towers in Kuala Lumpur, Malaysia, judged on landing accuracy. In 2012 the World Wingsuit League held their first wingsuit BASE jumping competition in China.
Notable jumps
February 2, 1912, Frederick R. Law parachuted from the top of the torch of the Statue of Liberty, 305 ft above the ground.
February 4, 1912, Franz Reichelt, tailor, jumped from the first deck of the Eiffel Tower testing his invention, the coat parachute, and died when he hit the ground. It was his first-ever attempt with the parachute and both the authorities and the spectators believed he intended to test it using a dummy.
In 1913, it is claimed that Štefan Banič successfully jumped from a 15-story building to demonstrate his parachute design.
In 1913, Russian student Vladimir Ossovski (Владимир Оссовский), from the Saint-Petersburg Conservatory, jumped from the 53-meter high bridge over the river Seine in Rouen (France), using the parachute RK-1, invented a year before that by Gleb Kotelnikov (1872–1944). Ossovski planned to jump from the Eiffel Tower too, but the Parisian authorities did not allow it.
In 1965, Erich Felbermayr from Wels jumped from the Kleine Zinne / Cima piccola di Lavaredo in the Dolomites.
In 1966, Michael Pelkey and Brian Schubert jumped from El Capitan in the Yosemite Valley.
On January 31, 1972, Rick Sylvester skied off Yosemite Valley's El Capitan, making the first ski-BASE jump.
On November 9, 1975, the first person to parachute off the CN Tower in Toronto, Ontario, Canada, was Bill Eustace, a member of the tower's construction crew. He was fired.
On July 22, 1975, Owen J. Quinn parachuted from the North Tower of the World Trade Center to publicize the plight of the poor.
In 1976, Rick Sylvester skied off Canada's Mount Asgard for the ski chase sequence of the James Bond movie The Spy Who Loved Me, giving the wider world its first look at BASE jumping.
In 1979, Santee, California skydiver Roger Worthington completed one of the first "Span" jumps when he successfully parachuted off of the newly constructed 450 foot Pine Valley Creek Bridge (A.K.A. Nello Irwin Greer Memorial Bridge) on Interstate 8 in San Diego County. Upon take off he held a red smoke flare in each hand. When interviewed afterward he claimed to know of no other "bridge jumpers" in the country.
On February 22, 1982, Wayne Allwood, an Australian skydiving accuracy champion, parachuted from a helicopter over the Sydney CBD and landed on the small top area of Sydney's Centrepoint Tower, approximately above the ground. Upon landing, Allwood discarded and secured his parachute, then used a full-sized reserve parachute to BASE jump into Hyde Park below.
In 1986, Welshman Eric Jones became the first person to BASE jump from the Eiger.
On October 22, 1999, Jan Davis died while attempting a BASE jump from El Capitan in Yosemite Valley. Davis' jump was part of an organized act of civil disobedience protesting the NPS air delivery regulations (36 CFR 2.17(a)), which make BASE jumping illegal in national park areas.
In 2000, Hannes Arch and Ueli Gegenschatz were the first to BASE jump from the 1800-metre-high north face of the Eiger.
In 2005, Karina Hollekim became the first woman to perform a ski-BASE.
In 2009, three women—29-year-old Australian Livia Dickie, 28-year-old Venezuelan Ana Isabel Dao, and 32-year-old Norwegian Anniken Binz—BASE jumped from Angel Falls, the highest waterfall in the world.
On September 11, 2013, the first Suspension BASE jump was made (Power tower in Konakovo)
In September 2013, three men parachuted off the then-under-construction One World Trade Center in New York City. Footage of their jump was recorded using head cams and can be seen on YouTube. In March 2014, the three jumpers turned themselves in. They were sentenced to community service and a fine.
Comparison with skydiving
BASE jumps are typically performed from much lower altitudes than in skydiving. Skydivers are required to deploy their main parachute above altitude. BASE jumps are frequently made from less than . A BASE jump from a object is only about 5.6 seconds from the ground if the jumper remains in free fall. Standard skydiving parachute systems are not designed for this situation, so BASE jumpers use specially designed harnesses and parachute systems.
Many BASE jumps, particularly in the UK are made from around 150ft due to the number of low cliffs at this height. Jumpers will use a static line method to ensure their canopy is extracted as they jump, as at this height, it is too low to freefall.
BASE jumps generally entail slower airspeeds than typical skydives (due to the limited altitude), a BASE jumper does not always reach terminal velocity. Skydivers use the airflow to stabilize their position. BASE jumpers, falling at lower speeds, have less aerodynamic control. The attitude of the body at the moment of jumping determines the stability of flight in the first few seconds, before sufficient airspeed has built up to enable aerodynamic stability. On low BASE jumps, parachute deployment takes place during this early phase of flight. If the parachute is deployed while the jumper is unstable, there is a high risk of entanglement or malfunction. The jumper may also not be facing the right direction. Such an off-heading opening is not as problematic in skydiving, but an off-heading opening that results in object strike has caused many serious injuries and deaths in BASE jumping.
BASE jumps are more hazardous than skydives primarily due to proximity to the object serving as the jump platform. BASE jumping frequently occurs in mountainous terrain, often having much smaller areas in which to land in comparison to a typical skydiving dropzone. BASE jumping is significantly more dangerous than similar sports such as skydiving from aircraft.
Legality
BASE jumping is generally not illegal in most places. However, in some cases such as building and antenna jumps, jumping is often done covertly without the permission of owners, which can lead to charges such as trespassing. In some jurisdictions it may be permissible to use land until specifically told not to. The Perrine Bridge in Twin Falls, Idaho, is an example of a man-made structure in the United States where BASE jumping is allowed year-round without a permit.
In U.S. National Parks, BASE jumping is generally prohibited, unless special permission is given. Other U.S. public land, including land controlled by the Bureau of Land Management, does not ban air delivery, and there are numerous jumpable objects on BLM land.
The legal position is different at other sites and in other countries. For example, in Norway's Lysefjord (from the mountain Kjerag), BASE jumpers are made welcome. Many sites in the European Alps, near Chamonix and on the Eiger, are also open to jumpers. Some other Norwegian places, like the Troll Wall, are banned because of dangerous rescue missions in the past. In Austria, jumping from mountain cliffs is generally allowed, whereas the use of bridges (such as the Europabruecke near Innsbruck, Tirol) or dams is generally prohibited. Australia has some of the toughest stances on BASE jumping: it specifically bans BASE jumping from certain objects, such as the Sydney Harbour Bridge.
U.S. National Parks
The National Park Service has banned BASE jumping in U.S. National Parks. The authority comes from 36 CFR 2.17(3), which prohibits, "Delivering or retrieving a person or object by parachute, helicopter, or other airborne means, except in emergencies involving public safety or serious property loss, or pursuant to the terms and conditions of a permit." Under that Regulation, BASE is not banned, but is allowable if a permit is issued by the Superintendent. The 2001 National Park Service Management Policies state that BASE "is not an appropriate public use activity within national park areas ..." (2001 Management Policy 8.2.2.7.) However, Policy 8.2.2.7 in the 2006 volume of National Park Service Management Policies, which superseded the 2001 edition, states "Parachuting (or BASE jumping), whether from an aircraft, structure, or natural feature, is generally prohibited by 36 CFR 2.17(a)(3). However, if determined through a park planning process to be an appropriate activity, it may be allowed pursuant to the terms and conditions of a permit."
Once a year, on the third Saturday in October ("Bridge Day"), permission to BASE jump has explicitly been granted at the New River Gorge Bridge in Fayetteville, West Virginia. The New River Gorge Bridge deck is 876 feet (267 m) above the river. This annual event attracts about 450 BASE jumpers and nearly 200,000 spectators. 1,100 jumps may occur during the six hours that it is legal, providing conditions are suitable.
During the early days of BASE jumping, the NPS issued permits that authorized jumps from El Capitan. This program ran for three months in 1980 and then collapsed amid allegations of abuse by unauthorized jumpers. The NPS has since vigorously enforced the ban, charging jumpers with "aerial delivery into a National Park". One jumper drowned in the Merced River while evading arresting park rangers, having declared "No way are they gonna get me. Let them chase me—I'll just laugh in their faces and jump in the river". Despite incidents like this one, illegal jumps continue in Yosemite at a rate estimated at a few hundred per year, often at night or dawn. El Capitan, Half Dome, and Glacier Point have been used as jump sites.
Safety
A study of BASE jumping fatalities estimated that the overall annual fatality risk in 2002 was one fatality per 60 participants. A study of 20,850 BASE jumps from the Kjerag Massif in Norway reported nine fatalities over the 11-year period from 1995 to 2005, or one in every 2,317 jumps. However, at that site, one in every 254 jumps over that period resulted in a nonfatal accident. BASE jumping is one of the most dangerous recreational activities in the world, with a fatality and injury rate 43 times higher than that of parachuting from a plane.
, the BASE Fatality List records 444 deaths for BASE jumping since April 1981.
References
Further reading
The Great Book of BASE. BirdBrain Publishing. July 2010.
"The Ground's the Limit". Texas Monthly. December 1981.
External links
Parachuting from fixed objects: descriptive study of 106 fatal events in BASE jumping 1981–2006
Luigi Cani base jumps off a cliff
A Sport to Die For ESPN, Michael Abrams
First Dog Ever To BaseJump
BASE Jumping adventures in the UK & Europe during the late 1980s, 1990s & early 2000s by Doug Blane
Resources for Base Jumping
Air sports
Articles containing video clips
Jumping sports
Outdoor recreation
Parachuting | 11 |
Beauty is commonly described as a feature of objects that makes these objects pleasurable to perceive. Such objects include landscapes, sunsets, humans and works of art. Beauty, together with art and taste, is the main subject of aesthetics, one of the major branches of philosophy. As a positive aesthetic value, it is contrasted with ugliness as its negative counterpart.
One difficulty in understanding beauty is because it has both objective and subjective aspects: it is seen as a property of things but also as depending on the emotional response of observers. Because of its subjective side, beauty is said to be "in the eye of the beholder". It has been argued that the ability on the side of the subject needed to perceive and judge beauty, sometimes referred to as the "sense of taste", can be trained and that the verdicts of experts coincide in the long run. This would suggest that the standards of validity of judgments of beauty are intersubjective, i.e. dependent on a group of judges, rather than fully subjective or fully objective.
Conceptions of beauty aim to capture what is essential to all beautiful things. Classical conceptions define beauty in terms of the relation between the beautiful object as a whole and its parts: the parts should stand in the right proportion to each other and thus compose an integrated harmonious whole. Hedonist conceptions see a necessary connection between pleasure and beauty, e.g. that for an object to be beautiful is for it to cause disinterested pleasure. Other conceptions include defining beautiful objects in terms of their value, of a loving attitude towards them or of their function.
Overview
Beauty, together with art and taste, is the main subject of aesthetics, one of the major branches of philosophy. Beauty is usually categorized as an aesthetic property besides other properties, like grace, elegance or the sublime. As a positive aesthetic value, beauty is contrasted with ugliness as its negative counterpart. Beauty is often listed as one of the three fundamental concepts of human understanding besides truth and goodness.
Objectivists or realists see beauty as an objective or mind-independent feature of beautiful things, which is denied by subjectivists. The source of this debate is that judgments of beauty seem to be based on subjective grounds, namely our feelings, while claiming universal correctness at the same time. This tension is sometimes referred to as the "antinomy of taste". Adherents of both sides have suggested that a certain faculty, commonly called a sense of taste, is necessary for making reliable judgments about beauty. David Hume, for example, suggests that this faculty can be trained and that the verdicts of experts coincide in the long run.
Beauty is mainly discussed in relation to concrete objects accessible to sensory perception. It has been suggested that the beauty of a thing supervenes on the sensory features of this thing. It has also been proposed that abstract objects like stories or mathematical proofs can be beautiful. Beauty plays a central role in works of art and nature.
An influential distinction among beautiful things, according to Immanuel Kant, is that between dependent and free beauty. A thing has dependent beauty if its beauty depends on the conception or function of this thing, unlike free or absolute beauty. Examples of dependent beauty include an ox which is beautiful as an ox but not beautiful as a horse or a photograph which is beautiful, because it depicts a beautiful building but that lacks beauty generally speaking because of its low quality.
Objectivism and subjectivism
Judgments of beauty seem to occupy an intermediary position between objective judgments, e.g. concerning the mass and shape of a grapefruit, and subjective likes, e.g. concerning whether the grapefruit tastes good. Judgments of beauty differ from the former because they are based on subjective feelings rather than objective perception. But they also differ from the latter because they lay claim on universal correctness. This tension is also reflected in common language. On the one hand, we talk about beauty as an objective feature of the world that is ascribed, for example, to landscapes, paintings or humans. The subjective side, on the other hand, is expressed in sayings like "beauty is in the eye of the beholder".
These two positions are often referred to as objectivism (or realism) and subjectivism. Objectivism is the traditional view, while subjectivism developed more recently in western philosophy. Objectivists hold that beauty is a mind-independent feature of things. On this account, the beauty of a landscape is independent of who perceives it or whether it is perceived at all. Disagreements may be explained by an inability to perceive this feature, sometimes referred to as a "lack of taste". Subjectivism, on the other hand, denies the mind-independent existence of beauty. Influential for the development of this position was John Locke's distinction between primary qualities, which the object has independent of the observer, and secondary qualities, which constitute powers in the object to produce certain ideas in the observer. When applied to beauty, there is still a sense in which it depends on the object and its powers. But this account makes the possibility of genuine disagreements about claims of beauty implausible, since the same object may produce very different ideas in distinct observers. The notion of "taste" can still be used to explain why different people disagree about what is beautiful, but there is no objectively right or wrong taste, there are just different tastes.
The problem with both the objectivist and the subjectivist position in their extreme form is that each has to deny some intuitions about beauty. This issue is sometimes discussed under the label "antinomy of taste". It has prompted various philosophers to seek a unified theory that can take all these intuitions into account. One promising route to solve this problem is to move from subjective to intersubjective theories, which hold that the standards of validity of judgments of taste are intersubjective or dependent on a group of judges rather than objective. This approach tries to explain how genuine disagreement about beauty is possible despite the fact that beauty is a mind-dependent property, dependent not on an individual but a group. A closely related theory sees beauty as a secondary or response-dependent property. On one such account, an object is beautiful "if it causes pleasure by virtue of its aesthetic properties". The problem that different people respond differently can be addressed by combining response-dependence theories with so-called ideal-observer theories: it only matters how an ideal observer would respond. There is no general agreement on how "ideal observers" are to be defined, but it is usually assumed that they are experienced judges of beauty with a fully developed sense of taste. This suggests an indirect way of solving the antinomy of taste: instead of looking for necessary and sufficient conditions of beauty itself, one can learn to identify the qualities of good critics and rely on their judgments. This approach only works if unanimity among experts was ensured. But even experienced judges may disagree in their judgments, which threatens to undermine ideal-observer theories.
Conceptions
Various conceptions of the essential features of beautiful things have been proposed but there is no consensus as to which is the right one.
Classical
The "classical conception" defines beauty in terms of the relation between the beautiful object as a whole and its parts: the parts should stand in the right proportion to each other and thus compose an integrated harmonious whole. On this account, which found its most explicit articulation in the Italian Renaissance, the beauty of a human body, for example, depends, among other things, on the right proportion of the different parts of the body and on the overall symmetry. One problem with this conception is that it is difficult to give a general and detailed description of what is meant by "harmony between parts" and raises the suspicion that defining beauty through harmony results in exchanging one unclear term for another one. Some attempts have been made to dissolve this suspicion by searching for laws of beauty, like the golden ratio.
18th century philosopher Alexander Baumgarten, for example, saw laws of beauty in analogy with laws of nature and believed that they could be discovered through empirical research. As of 2003, these attempts have failed to find a general definition of beauty and several authors take the opposite claim that such laws cannot be formulated, as part of their definition of beauty.
Hedonism
A very common element in many conceptions of beauty is its relation to pleasure. Hedonism makes this relation part of the definition of beauty by holding that there is a necessary connection between pleasure and beauty, e.g. that for an object to be beautiful is for it to cause pleasure or that the experience of beauty is always accompanied by pleasure. This account is sometimes labeled as "aesthetic hedonism" in order to distinguish it from other forms of hedonism. An influential articulation of this position comes from Thomas Aquinas, who treats beauty as "that which pleases in the very apprehension of it". Immanuel Kant explains this pleasure through a harmonious interplay between the faculties of understanding and imagination. A further question for hedonists is how to explain the relation between beauty and pleasure. This problem is akin to the Euthyphro dilemma: is something beautiful because we enjoy it or do we enjoy it because it is beautiful? Identity theorists solve this problem by denying that there is a difference between beauty and pleasure: they identify beauty, or the appearance of it, with the experience of aesthetic pleasure.
Hedonists usually restrict and specify the notion of pleasure in various ways in order to avoid obvious counterexamples. One important distinction in this context is the difference between pure and mixed pleasure. Pure pleasure excludes any form of pain or unpleasant feeling while the experience of mixed pleasure can include unpleasant elements. But beauty can involve mixed pleasure, for example, in the case of a beautifully tragic story, which is why mixed pleasure is usually allowed in hedonist conceptions of beauty.
Another problem faced by hedonist theories is that we take pleasure from many things that are not beautiful. One way to address this issue is to associate beauty with a special type of pleasure: aesthetic or disinterested pleasure. A pleasure is disinterested if it is indifferent to the existence of the beautiful object or if it did not arise owing to an antecedent desire through means-end reasoning. For example, the joy of looking at a beautiful landscape would still be valuable if it turned out that this experience was an illusion, which would not be true if this joy was due to seeing the landscape as a valuable real estate opportunity. Opponents of hedonism usually concede that many experiences of beauty are pleasurable but deny that this is true for all cases. For example, a cold jaded critic may still be a good judge of beauty because of her years of experience but lack the joy that initially accompanied her work. One way to avoid this objection is to allow responses to beautiful things to lack pleasure while insisting that all beautiful things merit pleasure, that aesthetic pleasure is the only appropriate response to them.
Others
G. E. Moore explained beauty in regard to intrinsic value as "that of which the admiring contemplation is good in itself". This definition connects beauty to experience while managing to avoid some of the problems usually associated with subjectivist positions since it allows that things may be beautiful even if they are never experienced.
Another subjectivist theory of beauty comes from George Santayana, who suggested that we project pleasure onto the things we call "beautiful". So in a process akin to a category mistake, one treats one's subjective pleasure as an objective property of the beautiful thing. Other conceptions include defining beauty in terms of a loving or longing attitude towards the beautiful object or in terms of its usefulness or function. In 1871, functionalist Charles Darwin explained beauty as result of accumulative sexual selection in "The Descent of Man and Selection in Relation to Sex".
In philosophy
Greco-Roman tradition
The classical Greek noun that best translates to the English-language words "beauty" or "beautiful" was κάλλος, kallos, and the adjective was καλός, kalos. However, kalos may and is also translated as "good" or "of fine quality" and thus has a broader meaning than mere physical or material beauty. Similarly, kallos was used differently from the English word beauty in that it first and foremost applied to humans and bears an erotic connotation. The Koine Greek word for beautiful was ὡραῖος, hōraios, an adjective etymologically coming from the word ὥρα, hōra, meaning "hour". In Koine Greek, beauty was thus associated with "being of one's hour". Thus, a ripe fruit (of its time) was considered beautiful, whereas a young woman trying to appear older or an older woman trying to appear younger would not be considered beautiful. In Attic Greek, hōraios had many meanings, including "youthful" and "ripe old age". Another classical term in use to describe beauty was pulchrum (Latin).
Beauty for ancient thinkers existed both in form, which is the material world as it is, and as embodied in the spirit, which is the world of mental formations. Greek mythology mentions Helen of Troy as the most beautiful woman. Ancient Greek architecture is based on this view of symmetry and proportion.
Pre-Socratic
In one fragment of Heraclitus's writings (Fragment 106) he mentions beauty, this reads: "To God all things are beautiful, good, right..." The earliest Western theory of beauty can be found in the works of early Greek philosophers from the pre-Socratic period, such as Pythagoras, who conceived of beauty as useful for a moral education of the soul. He wrote of how people experience pleasure when aware of a certain type of formal situation present in reality, perceivable by sight or through the ear and discovered the underlying mathematical ratios in the harmonic scales in music. The Pythagoreans conceived of the presence of beauty in universal terms, which is, as existing in a cosmological state, they observed beauty in the heavens. They saw a strong connection between mathematics and beauty. In particular, they noted that objects proportioned according to the golden ratio seemed more attractive.
Classical period
The classical concept of beauty is one that exhibits perfect proportion (Wolfflin). In this context, the concept belonged often within the discipline of mathematics. An idea of spiritual beauty emerged during the classical period, beauty was something embodying divine goodness, while the demonstration of behaviour which might be classified as beautiful, from an inner state of morality which is aligned to the good.
The writing of Xenophon shows a conversation between Socrates and Aristippus. Socrates discerned differences in the conception of the beautiful, for example, in inanimate objects, the effectiveness of execution of design was a deciding factor on the perception of beauty in something. By the account of Xenophon, Socrates found beauty congruent with that to which was defined as the morally good, in short, he thought beauty coincident with the good.
Beauty is a subject of Plato in his work Symposium. In the work, the high priestess Diotima describes how beauty moves out from a core singular appreciation of the body to outer appreciations via loved ones, to the world in its state of culture and society (Wright). In other words, Diotoma gives to Socrates an explanation of how love should begin with erotic attachment, and end with the transcending of the physical to an appreciation of beauty as a thing in itself. The ascent of love begins with one's own body, then secondarily, in appreciating beauty in another's body, thirdly beauty in the soul, which cognates to beauty in the mind in the modern sense, fourthly beauty in institutions, laws and activities, fifthly beauty in knowledge, the sciences, and finally to lastly love beauty itself, which translates to the original Greek language term as auto to kalon. In the final state, auto to kalon and truth are united as one. There is the sense in the text, concerning love and beauty they both co-exist but are still independent or, in other words, mutually exclusive, since love does not have beauty since it seeks beauty. The work toward the end provides a description of beauty in a negative sense.
Plato also discusses beauty in his work Phaedrus, and identifies Alcibiades as beautiful in Parmenides. He considered beauty to be the Idea (Form) above all other Ideas. Platonic thought synthesized beauty with the divine. Scruton (cited: Konstan) states Plato states of the idea of beauty, of it (the idea), being something inviting desirousness (c.f seducing), and, promotes an intellectual renunciation (c.f. denouncing) of desire. For Alexander Nehamas, it is only the locating of desire to which the sense of beauty exists, in the considerations of Plato.
Aristotle defines beauty in Metaphysics as having order, symmetry and definiteness which the mathematical sciences exhibit to a special degree. He saw a relationship between the beautiful (to kalon) and virtue, arguing that "Virtue aims at the beautiful."
Roman
In De Natura Deorum Cicero wrote: "the splendour and beauty of creation", in respect to this, and all the facets of reality resulting from creation, he postulated these to be a reason to see the existence of a God as creator.
Western Middle Ages
In the Middle Ages, Catholic philosophers like Thomas Aquinas included beauty among the transcendental attributes of being. In his Summa Theologica, Aquinas described the three conditions of beauty as: integritas (wholeness), consonantia (harmony and proportion), and claritas (a radiance and clarity that makes the form of a thing apparent to the mind).
In the Gothic Architecture of the High and Late Middle Ages, light was considered the most beautiful revelation of God, which was heralded in design. Examples are the stained glass of Gothic Cathedrals including Notre-Dame de Paris and Chartres Cathedral.
St. Augustine said of beauty "Beauty is indeed a good gift of God; but that the good may not think it a great good, God dispenses it even to the wicked."
Renaissance
Classical philosophy and sculptures of men and women produced according to the Greek philosophers' tenets of ideal human beauty were rediscovered in Renaissance Europe, leading to a re-adoption of what became known as a "classical ideal". In terms of female human beauty, a woman whose appearance conforms to these tenets is still called a "classical beauty" or said to possess a "classical beauty", whilst the foundations laid by Greek and Roman artists have also supplied the standard for male beauty and female beauty in western civilization as seen, for example, in the Winged Victory of Samothrace. During the Gothic era, the classical aesthetical canon of beauty was rejected as sinful. Later, Renaissance and Humanist thinkers rejected this view, and considered beauty to be the product of rational order and harmonious proportions. Renaissance artists and architects (such as Giorgio Vasari in his "Lives of Artists") criticised the Gothic period as irrational and barbarian. This point of view of Gothic art lasted until Romanticism, in the 19th century. Vasari aligned himself to the classical notion and thought of beauty as defined as arising from proportion and order.
Age of Reason
The Age of Reason saw a rise in an interest in beauty as a philosophical subject. For example, Scottish philosopher Francis Hutcheson argued that beauty is "unity in variety and variety in unity". He wrote that beauty was neither purely subjective nor purely objective—it could be understood not as "any Quality suppos'd to be in the Object, which should of itself be beautiful, without relation to any Mind which perceives it: For Beauty, like other Names of sensible Ideas, properly denotes the Perception of some mind; ... however we generally imagine that there is something in the Object just like our Perception."
Immanuel Kant believed that there could be no "universal criterion of the beautiful" and that the experience of beauty is subjective, but that an object is judged to be beautiful when it seems to display "purposiveness"; that is, when its form is perceived to have the character of a thing designed according to some principle and fitted for a purpose. He distinguished "free beauty" from "merely dependent beauty", explaining that "the first presupposes no concept of what the object ought to be; the second does presuppose such a concept and the perfection of the object in accordance therewith." By this definition, free beauty is found in seashells and wordless music; dependent beauty in buildings and the human body.
The Romantic poets, too, became highly concerned with the nature of beauty, with John Keats arguing in Ode on a Grecian Urn that:
Beauty is truth, truth beauty, —that is all
Ye know on earth, and all ye need to know.
Western 19th and 20th century
In the Romantic period, Edmund Burke postulated a difference between beauty in its classical meaning and the sublime. The concept of the sublime, as explicated by Burke and Kant, suggested viewing Gothic art and architecture, though not in accordance with the classical standard of beauty, as sublime.
The 20th century saw an increasing rejection of beauty by artists and philosophers alike, culminating in postmodernism's anti-aesthetics. This is despite beauty being a central concern of one of postmodernism's main influences, Friedrich Nietzsche, who argued that the Will to Power was the Will to Beauty.
In the aftermath of postmodernism's rejection of beauty, thinkers have returned to beauty as an important value. American analytic philosopher Guy Sircello proposed his New Theory of Beauty as an effort to reaffirm the status of beauty as an important philosophical concept. He rejected the subjectivism of Kant and sought to identify the properties inherent in an object that make it beautiful. He called qualities such as vividness, boldness, and subtlety "properties of qualitative degree" (PQDs) and stated that a PQD makes an object beautiful if it is not—and does not create the appearance of—"a property of deficiency, lack, or defect"; and if the PQD is strongly present in the object.
Elaine Scarry argues that beauty is related to justice.
Beauty is also studied by psychologists and neuroscientists in the field of experimental aesthetics and neuroesthetics respectively. Psychological theories see beauty as a form of pleasure. Correlational findings support the view that more beautiful objects are also more pleasing. Some studies suggest that higher experienced beauty is associated with activity in the medial orbitofrontal cortex. This approach of localizing the processing of beauty in one brain region has received criticism within the field.
Philosopher and novelist Umberto Eco wrote On Beauty: A History of a Western Idea (2004) and On Ugliness (2007). The narrator of his novel The Name of the Rose follows Aquinas in declaring: "three things concur in creating beauty: first of all integrity or perfection, and for this reason, we consider ugly all incomplete things; then proper proportion or consonance; and finally clarity and light", before going on to say "the sight of the beautiful implies peace". Mike Phillips has described Umberto Eco's On Beauty as "incoherent" and criticized him for focusing only on Western European history and devoting none of his book to Eastern European, Asian, or African history. Amy Finnerty described eco's work On Ugliness favorably.
Chinese philosophy
Chinese philosophy has traditionally not made a separate discipline of the philosophy of beauty. Confucius identified beauty with goodness, and considered a virtuous personality to be the greatest of beauties: In his philosophy, "a neighborhood with a ren man in it is a beautiful neighborhood." Confucius's student Zeng Shen expressed a similar idea: "few men could see the beauty in some one whom they dislike." Mencius considered "complete truthfulness" to be beauty. Zhu Xi said: "When one has strenuously implemented goodness until it is filled to completion and has accumulated truth, then the beauty will reside within it and will not depend on externals."
As an attribute to humans
The word "beauty" is often used as a countable noun to describe a beautiful woman.
The characterization of a person as "beautiful", whether on an individual basis or by community consensus, is often based on some combination of inner beauty, which includes psychological factors such as personality, intelligence, grace, politeness, charisma, integrity, congruence and elegance, and outer beauty (i.e. physical attractiveness) which includes physical attributes which are valued on an aesthetic basis.
Standards of beauty have changed over time, based on changing cultural values. Historically, paintings show a wide range of different standards for beauty. However, humans who are relatively young, with smooth skin, well-proportioned bodies, and regular features, have traditionally been considered the most beautiful throughout history.
A strong indicator of physical beauty is "averageness". When images of human faces are averaged together to form a composite image, they become progressively closer to the "ideal" image and are perceived as more attractive. This was first noticed in 1883, when Francis Galton overlaid photographic composite images of the faces of vegetarians and criminals to see if there was a typical facial appearance for each. When doing this, he noticed that the composite images were more attractive compared to any of the individual images. Researchers have replicated the result under more controlled conditions and found that the computer-generated, mathematical average of a series of faces is rated more favorably than individual faces. It is argued that it is evolutionarily advantageous that sexual creatures are attracted to mates who possess predominantly common or average features, because it suggests the absence of genetic or acquired defects.
Since the 1970's there has been increasing evidence that a preference for beautiful faces emerges early in infancy, and is probably innate,
and that the rules by which attractiveness is established are similar across different genders and cultures.
A feature of beautiful women which has been explored by researchers is a waist–hip ratio of approximately 0.70. As of 2004, physiologists had shown that women with hourglass figures were more fertile than other women because of higher levels of certain female hormones, a fact that may subconsciously condition males choosing mates. However, in 2008 other commentators have suggested that this preference may not be universal. For instance, in some non-Western cultures in which women have to do work such as finding food, men tend to have preferences for higher waist-hip ratios.
Exposure to the thin ideal in mass media, such as fashion magazines, directly correlates with body dissatisfaction, low self-esteem, and the development of eating disorders among female viewers. Further, the widening gap between individual body sizes and societal ideals continues to breed anxiety among young girls as they grow, highlighting the dangerous nature of beauty standards in society.
Western concept
Beauty standards are rooted in cultural norms crafted by societies and media over centuries. As of 2018, it has been argued that the predominance of white women featured in movies and advertising leads to a Eurocentric concept of beauty, which assigns inferiority to women of color. Thus, societies and cultures across the globe struggle to diminish the longstanding internalized racism.
Eurocentric standards for men include tallness, leanness, and muscularity, which have been idolized through American media, such as in Hollywood films and magazine covers.
In of the United States, African Americans have historically been subjected to beauty ideals that often do not reflect their own appearance, which can lead to issues of low self-esteem. African-American philosopher Cornel West elaborates that, "much of black self-hatred and self-contempt has to do with the refusal of many black Americans to love their own black bodies-especially their black noses, hips, lips, and hair." According to Patton (2006), the stereotype of African-American women's inferiority (relative to other races of women) maintains of a system of oppression based on race and gender that operates to the detriment of women of all races, and also black men.
Much criticism has been directed at models of beauty which depend solely upon Western ideals of beauty as seen for example in the Barbie model franchise. Criticisms of Barbie are often centered around concerns that children consider Barbie a role model of beauty and will attempt to emulate her. One of the most common criticisms of Barbie is that she promotes an unrealistic idea of body image for a young woman, leading to a risk that girls who attempt to emulate her will become anorexic.
As of 1998, these criticisms, the lack of diversity in such franchises as the Barbie model of beauty in Western culture, had led to a dialogue to create non-exclusive models of Western ideals in body type and beauty. Mattel responded to these criticisms. Starting in 1980, it produced Hispanic dolls, and later came models from across the globe. For example, in 2007, it introduced "Cinco de Mayo Barbie" wearing a ruffled red, white, and green dress (echoing the Mexican flag). Hispanic magazine reports that:
Black concept
In the 1960s the black is beautiful cultural movement sought to dispel the notion of a Eurocentric concept of beauty.
Asian concept
In East Asian cultures, familial pressures and cultural norms shape beauty ideals. A 2017 experimental study concluded that Asian cultural idealization of "fragile" girls was impacting Asian American women's lifestyle, eating, and appearance choices. One study found that East Asian women in the United States are closer to the ideal figure promoted in Western media, and that East Asian women conform to both Western and Eastern influences in the United States. East Asian men were found to be more impacted by Western beauty ideals then East Asian women, in the United States. East Asian men felt as though their bodies were not large enough and therefore deviated from the Western norm. East Asian men and white Western women were found to have the lowest levels of body dissatisfaction in the United States.
Effects on society
Researchers have found that good-looking students get higher grades from their teachers than students with an ordinary appearance. Some studies using mock criminal trials have shown that physically attractive "defendants" are less likely to be convicted—and if convicted are likely to receive lighter sentences—than less attractive ones (although the opposite effect was observed when the alleged crime was swindling, perhaps because jurors perceived the defendant's attractiveness as facilitating the crime). Studies among teens and young adults, such as those of psychiatrist and self-help author Eva Ritvo show that skin conditions have a profound effect on social behavior and opportunity.
How much money a person earns may also be influenced by physical beauty. One study found that people low in physical attractiveness earn 5 to 10 percent less than ordinary-looking people, who in turn earn 3 to 8 percent less than those who are considered good-looking. In the market for loans, the least attractive people are less likely to get approvals, although they are less likely to default. In the marriage market, women's looks are at a premium, but men's looks do not matter much. The impact of physical attractiveness on earnings varies across races, with the largest beauty wage gap among black women and black men.
Conversely, being very unattractive increases the individual's propensity for criminal activity for a number of crimes ranging from burglary to theft to selling illicit drugs.
Discrimination against others based on their appearance is known as lookism.
See also
Adornment
Aesthetics
Beauty pageant
Body modification
Feminine beauty ideal
Glamour (presentation)
Masculine beauty ideal
Mathematical beauty
Processing fluency theory of aesthetic pleasure
Unattractiveness
Cosmetics
References
Further reading
Liebelt, C. (2022), Beauty: What Makes Us Dream, What Haunts Us. Feminist Anthropology. https://doi.org/10.1002/fea2.12076
External links
BBC Radio 4's In Our Time programme on Beauty (requires RealAudio)
Dictionary of the History of Ideas: Theories of Beauty to the Mid-Nineteenth Century
beautycheck.de/english Regensburg University – Characteristics of beautiful faces
Eli Siegel's "Is Beauty the Making One of Opposites?"
Art and love in Renaissance Italy , Issued in connection with an exhibition held Nov. 11, 2008-Feb. 16, 2009, Metropolitan Museum of Art, New York (see Belle: Picturing Beautiful Women; pages 246–254).
Plato - Symposium in S. Marc Cohen, Patricia Curd, C. D. C. Reeve (ed.)
Aesthetic beauty
Concepts in aesthetics
Fashion
Physical attractiveness
Metaphysical properties | 7 |
Brownian motion is the random motion of particles suspended in a medium (a liquid or a gas).
This motion pattern typically consists of random fluctuations in a particle's position inside a fluid sub-domain, followed by a relocation to another sub-domain. Each relocation is followed by more fluctuations within the new closed volume. This pattern describes a fluid at thermal equilibrium, defined by a given temperature. Within such a fluid, there exists no preferential direction of flow (as in transport phenomena). More specifically, the fluid's overall linear and angular momenta remain null over time. The kinetic energies of the molecular Brownian motions, together with those of molecular rotations and vibrations, sum up to the caloric component of a fluid's internal energy (the equipartition theorem).
This motion is named after the botanist Robert Brown, who first described the phenomenon in 1827, while looking through a microscope at pollen of the plant Clarkia pulchella immersed in water. In 1900, almost eighty years later, the French mathematician Louis Bachelier modeled the stochastic process now called Brownian motion in his doctoral thesis, The Theory of Speculation (Théorie de la spéculation), prepared under the supervision of Henri Poincaré. Then, in 1905, theoretical physicist Albert Einstein published a paper where he modeled the motion of the pollen particles as being moved by individual water molecules, making one of his first major scientific contributions.
The direction of the force of atomic bombardment is constantly changing, and at different times the particle is hit more on one side than another, leading to the seemingly random nature of the motion. This explanation of Brownian motion served as convincing evidence that atoms and molecules exist and was further verified experimentally by Jean Perrin in 1908. Perrin was awarded the Nobel Prize in Physics in 1926 "for his work on the discontinuous structure of matter".
The many-body interactions that yield the Brownian pattern cannot be solved by a model accounting for every involved molecule. Consequently, only probabilistic models applied to molecular populations can be employed to describe it. Two such models of the statistical mechanics, due to Einstein and Smoluchowski, are presented below. Another, pure probabilistic class of models is the class of the stochastic process models. There exist sequences of both simpler and more complicated stochastic processes which converge (in the limit) to Brownian motion (see random walk and Donsker's theorem).
History
The Roman philosopher-poet Lucretius' scientific poem "On the Nature of Things" (c. 60 BC) has a remarkable description of the motion of dust particles in verses 113–140 from Book II. He uses this as a proof of the existence of atoms:
Although the mingling, tumbling motion of dust particles is caused largely by air currents, the glittering, jiggling motion of small dust particles is caused chiefly by true Brownian dynamics; Lucretius "perfectly describes and explains the Brownian movement by a wrong example".
While Jan Ingenhousz described the irregular motion of coal dust particles on the surface of alcohol in 1785, the discovery of this phenomenon is often credited to the botanist Robert Brown in 1827. Brown was studying pollen grains of the plant Clarkia pulchella suspended in water under a microscope when he observed minute particles, ejected by the pollen grains, executing a jittery motion. By repeating the experiment with particles of inorganic matter he was able to rule out that the motion was life-related, although its origin was yet to be explained.
The first person to describe the mathematics behind Brownian motion was Thorvald N. Thiele in a paper on the method of least squares published in 1880. This was followed independently by Louis Bachelier in 1900 in his PhD thesis "The theory of speculation", in which he presented a stochastic analysis of the stock and option markets. The Brownian motion model of the stock market is often cited, but Benoit Mandelbrot rejected its applicability to stock price movements in part because these are discontinuous.
Albert Einstein (in one of his 1905 papers) and Marian Smoluchowski (1906) brought the solution of the problem to the attention of physicists, and presented it as a way to indirectly confirm the existence of atoms and molecules. Their equations describing Brownian motion were subsequently verified by the experimental work of Jean Baptiste Perrin in 1908.
Statistical mechanics theories
Einstein's theory
There are two parts to Einstein's theory: the first part consists in the formulation of a diffusion equation for Brownian particles, in which the diffusion coefficient is related to the mean squared displacement of a Brownian particle, while the second part consists in relating the diffusion coefficient to measurable physical quantities. In this way Einstein was able to determine the size of atoms, and how many atoms there are in a mole, or the molecular weight in grams, of a gas. In accordance to Avogadro's law, this volume is the same for all ideal gases, which is 22.414 liters at standard temperature and pressure. The number of atoms contained in this volume is referred to as the Avogadro number, and the determination of this number is tantamount to the knowledge of the mass of an atom, since the latter is obtained by dividing the molar mass of the gas by the Avogadro constant.
The first part of Einstein's argument was to determine how far a Brownian particle travels in a given time interval. Classical mechanics is unable to determine this distance because of the enormous number of bombardments a Brownian particle will undergo, roughly of the order of 1014 collisions per second.
He regarded the increment of particle positions in time in a one-dimensional (x) space (with the coordinates chosen so that the origin lies at the initial position of the particle) as a random variable () with some probability density function (i.e., is the probability density for a jump of magnitude , i.e., the probability density of the particle incrementing its position from to in the time interval ). Further, assuming conservation of particle number, he expanded the number density (number of particles per unit volume around ) at time in a Taylor series,
where the second equality is by definition of . The integral in the first term is equal to one by the definition of probability, and the second and other even terms (i.e. first and other odd moments) vanish because of space symmetry. What is left gives rise to the following relation:
Where the coefficient after the Laplacian, the second moment of probability of displacement , is interpreted as mass diffusivity D:
Then the density of Brownian particles ρ at point x at time t satisfies the diffusion equation:
Assuming that N particles start from the origin at the initial time t = 0, the diffusion equation has the solution
This expression (which is a normal distribution with the mean and variance usually called Brownian motion ) allowed Einstein to calculate the moments directly. The first moment is seen to vanish, meaning that the Brownian particle is equally likely to move to the left as it is to move to the right. The second moment is, however, non-vanishing, being given by
This equation expresses the mean squared displacement in terms of the time elapsed and the diffusivity. From this expression Einstein argued that the displacement of a Brownian particle is not proportional to the elapsed time, but rather to its square root. His argument is based on a conceptual switch from the "ensemble" of Brownian particles to the "single" Brownian particle: we can speak of the relative number of particles at a single instant just as well as of the time it takes a Brownian particle to reach a given point.
The second part of Einstein's theory relates the diffusion constant to physically measurable quantities, such as the mean squared displacement of a particle in a given time interval. This result enables the experimental determination of the Avogadro number and therefore the size of molecules. Einstein analyzed a dynamic equilibrium being established between opposing forces. The beauty of his argument is that the final result does not depend upon which forces are involved in setting up the dynamic equilibrium.
In his original treatment, Einstein considered an osmotic pressure experiment, but the same conclusion can be reached in other ways.
Consider, for instance, particles suspended in a viscous fluid in a gravitational field. Gravity tends to make the particles settle, whereas diffusion acts to homogenize them, driving them into regions of smaller concentration. Under the action of gravity, a particle acquires a downward speed of v = μmg, where m is the mass of the particle, g is the acceleration due to gravity, and μ is the particle's mobility in the fluid. George Stokes had shown that the mobility for a spherical particle with radius r is , where η is the dynamic viscosity of the fluid. In a state of dynamic equilibrium, and under the hypothesis of isothermal fluid, the particles are distributed according to the barometric distribution
where ρ − ρo is the difference in density of particles separated by a height difference, of , kB is the Boltzmann constant (the ratio of the universal gas constant, R, to the Avogadro constant, N), and T is the absolute temperature.
Dynamic equilibrium is established because the more that particles are pulled down by gravity, the greater the tendency for the particles to migrate to regions of lower concentration. The flux is given by Fick's law,
where J = ρv. Introducing the formula for ρ, we find that
In a state of dynamical equilibrium, this speed must also be equal to v = μmg. Both expressions for v are proportional to mg, reflecting that the derivation is independent of the type of forces considered. Similarly, one can derive an equivalent formula for identical charged particles of charge q in a uniform electric field of magnitude E, where mg is replaced with the electrostatic force qE. Equating these two expressions yields the Einstein relation for the diffusivity, independent of mg or qE or other such forces:
Here the first equality follows from the first part of Einstein's theory, the third equality follows from the definition of the Boltzmann constant as kB = R / N, and the fourth equality follows from Stokes's formula for the mobility. By measuring the mean squared displacement over a time interval along with the universal gas constant R, the temperature T, the viscosity η, and the particle radius r, the Avogadro constant N can be determined.
The type of dynamical equilibrium proposed by Einstein was not new. It had been pointed out previously by J. J. Thomson in his series of lectures at Yale University in May 1903 that the dynamic equilibrium between the velocity generated by a concentration gradient given by Fick's law and the velocity due to the variation of the partial pressure caused when ions are set in motion "gives us a method of determining Avogadro's Constant which is independent of any hypothesis as to the shape or size of molecules, or of the way in which they act upon each other".
An identical expression to Einstein's formula for the diffusion coefficient was also found by Walther Nernst in 1888 in which he expressed the diffusion coefficient as the ratio of the osmotic pressure to the ratio of the frictional force and the velocity to which it gives rise. The former was equated to the law of van 't Hoff while the latter was given by Stokes's law. He writes for the diffusion coefficient k, where is the osmotic pressure and k is the ratio of the frictional force to the molecular viscosity which he assumes is given by Stokes's formula for the viscosity. Introducing the ideal gas law per unit volume for the osmotic pressure, the formula becomes identical to that of Einstein's. The use of Stokes's law in Nernst's case, as well as in Einstein and Smoluchowski, is not strictly applicable since it does not apply to the case where the radius of the sphere is small in comparison with the mean free path.
At first, the predictions of Einstein's formula were seemingly refuted by a series of experiments by Svedberg in 1906 and 1907, which gave displacements of the particles as 4 to 6 times the predicted value, and by Henri in 1908 who found displacements 3 times greater than Einstein's formula predicted. But Einstein's predictions were finally confirmed in a series of experiments carried out by Chaudesaigues in 1908 and Perrin in 1909. The confirmation of Einstein's theory constituted empirical progress for the kinetic theory of heat. In essence, Einstein showed that the motion can be predicted directly from the kinetic model of thermal equilibrium. The importance of the theory lay in the fact that it confirmed the kinetic theory's account of the second law of thermodynamics as being an essentially statistical law.
Smoluchowski model
Smoluchowski's theory of Brownian motion starts from the same premise as that of Einstein and derives the same probability distribution ρ(x, t) for the displacement of a Brownian particle along the x in time t. He therefore gets the same expression for the mean squared displacement: . However, when he relates it to a particle of mass m moving at a velocity which is the result of a frictional force governed by Stokes's law, he finds
where μ is the viscosity coefficient, and is the radius of the particle. Associating the kinetic energy with the thermal energy RT/N, the expression for the mean squared displacement is 64/27 times that found by Einstein. The fraction 27/64 was commented on by Arnold Sommerfeld in his necrology on Smoluchowski: "The numerical coefficient of Einstein, which differs from Smoluchowski by 27/64 can only be put in doubt."
Smoluchowski attempts to answer the question of why a Brownian particle should be displaced by bombardments of smaller particles when the probabilities for striking it in the forward and rear directions are equal.
If the probability of m gains and n − m losses follows a binomial distribution,
with equal a priori probabilities of 1/2, the mean total gain is
If n is large enough so that Stirling's approximation can be used in the form
then the expected total gain will be
showing that it increases as the square root of the total population.
Suppose that a Brownian particle of mass M is surrounded by lighter particles of mass m which are traveling at a speed u. Then, reasons Smoluchowski, in any collision between a surrounding and Brownian particles, the velocity transmitted to the latter will be mu/M. This ratio is of the order of 10−7 cm/s. But we also have to take into consideration that in a gas there will be more than 1016 collisions in a second, and even greater in a liquid where we expect that there will be 1020 collision in one second. Some of these collisions will tend to accelerate the Brownian particle; others will tend to decelerate it. If there is a mean excess of one kind of collision or the other to be of the order of 108 to 1010 collisions in one second, then velocity of the Brownian particle may be anywhere between 10 and 1000 cm/s. Thus, even though there are equal probabilities for forward and backward collisions there will be a net tendency to keep the Brownian particle in motion, just as the ballot theorem predicts.
These orders of magnitude are not exact because they don't take into consideration the velocity of the Brownian particle, U, which depends on the collisions that tend to accelerate and decelerate it. The larger U is, the greater will be the collisions that will retard it so that the velocity of a Brownian particle can never increase without limit. Could such a process occur, it would be tantamount to a perpetual motion of the second type. And since equipartition of energy applies, the kinetic energy of the Brownian particle, , will be equal, on the average, to the kinetic energy of the surrounding fluid particle, .
In 1906 Smoluchowski published a one-dimensional model to describe a particle undergoing Brownian motion. The model assumes collisions with M ≫ m where M is the test particle's mass and m the mass of one of the individual particles composing the fluid. It is assumed that the particle collisions are confined to one dimension and that it is equally probable for the test particle to be hit from the left as from the right. It is also assumed that every collision always imparts the same magnitude of ΔV. If NR is the number of collisions from the right and NL the number of collisions from the left then after N collisions the particle's velocity will have changed by ΔV(2NR − N). The multiplicity is then simply given by:
and the total number of possible states is given by 2N. Therefore, the probability of the particle being hit from the right NR times is:
As a result of its simplicity, Smoluchowski's 1D model can only qualitatively describe Brownian motion. For a realistic particle undergoing Brownian motion in a fluid, many of the assumptions don't apply. For example, the assumption that on average occurs an equal number of collisions from the right as from the left falls apart once the particle is in motion. Also, there would be a distribution of different possible ΔVs instead of always just one in a realistic situation.
Other physics models using partial differential equations
The diffusion equation yields an approximation of the time evolution of the probability density function associated with the position of the particle going under a Brownian movement under the physical definition. The approximation is valid on short timescales.
The time evolution of the position of the Brownian particle itself is best described using the Langevin equation, an equation that involves a random force field representing the effect of the thermal fluctuations of the solvent on the particle. In Langevin dynamics and Brownian dynamics, the Langevin equation is used to efficiently simulate the dynamics of molecular systems that exhibit a strong Brownian component.
The displacement of a particle undergoing Brownian motion is obtained by solving the diffusion equation under appropriate boundary conditions and finding the rms of the solution. This shows that the displacement varies as the square root of the time (not linearly), which explains why previous experimental results concerning the velocity of Brownian particles gave nonsensical results. A linear time dependence was incorrectly assumed.
At very short time scales, however, the motion of a particle is dominated by its inertia and its displacement will be linearly dependent on time: Δx = vΔt. So the instantaneous velocity of the Brownian motion can be measured as v = Δx/Δt, when Δt << τ, where τ is the momentum relaxation time. In 2010, the instantaneous velocity of a Brownian particle (a glass microsphere trapped in air with optical tweezers) was measured successfully. The velocity data verified the Maxwell–Boltzmann velocity distribution, and the equipartition theorem for a Brownian particle.
Astrophysics: star motion within galaxies
In stellar dynamics, a massive body (star, black hole, etc.) can experience Brownian motion as it responds to gravitational forces from surrounding stars. The rms velocity V of the massive object, of mass M, is related to the rms velocity of the background stars by
where is the mass of the background stars. The gravitational force from the massive object causes nearby stars to move faster than they otherwise would, increasing both and V. The Brownian velocity of Sgr A*, the supermassive black hole at the center of the Milky Way galaxy, is predicted from this formula to be less than 1 km s−1.
Mathematics
In mathematics, Brownian motion is described by the Wiener process, a continuous-time stochastic process named in honor of Norbert Wiener. It is one of the best known Lévy processes (càdlàg stochastic processes with stationary independent increments) and occurs frequently in pure and applied mathematics, economics and physics.
The Wiener process Wt is characterized by four facts:
W0 = 0
Wt is almost surely continuous
Wt has independent increments
(for ).
denotes the normal distribution with expected value μ and variance σ2. The condition that it has independent increments means that if then and are independent random variables. In addition, for some filtration , is measurable for all .
An alternative characterisation of the Wiener process is the so-called Lévy characterisation that says that the Wiener process is an almost surely continuous martingale with W0 = 0 and quadratic variation .
A third characterisation is that the Wiener process has a spectral representation as a sine series whose coefficients are independent random variables. This representation can be obtained using the Kosambi–Karhunen–Loève theorem.
The Wiener process can be constructed as the scaling limit of a random walk, or other discrete-time stochastic processes with stationary independent increments. This is known as Donsker's theorem. Like the random walk, the Wiener process is recurrent in one or two dimensions (meaning that it returns almost surely to any fixed neighborhood of the origin infinitely often) whereas it is not recurrent in dimensions three and higher. Unlike the random walk, it is scale invariant.
The time evolution of the position of the Brownian particle itself can be described approximately by a Langevin equation, an equation which involves a random force field representing the effect of the thermal fluctuations of the solvent on the Brownian particle. On long timescales, the mathematical Brownian motion is well described by a Langevin equation. On small timescales, inertial effects are prevalent in the Langevin equation. However the mathematical Brownian motion is exempt of such inertial effects. Inertial effects have to be considered in the Langevin equation, otherwise the equation becomes singular. so that simply removing the inertia term from this equation would not yield an exact description, but rather a singular behavior in which the particle doesn't move at all.
Statistics
The Brownian motion can be modeled by a random walk.
In the general case, Brownian motion is a Markov process and described by stochastic integral equations.
Lévy characterisation
The French mathematician Paul Lévy proved the following theorem, which gives a necessary and sufficient condition for a continuous Rn-valued stochastic process X to actually be n-dimensional Brownian motion. Hence, Lévy's condition can actually be used as an alternative definition of Brownian motion.
Let X = (X1, ..., Xn) be a continuous stochastic process on a probability space (Ω, Σ, P) taking values in Rn. Then the following are equivalent:
X is a Brownian motion with respect to P, i.e., the law of X with respect to P is the same as the law of an n-dimensional Brownian motion, i.e., the push-forward measure X∗(P) is classical Wiener measure on C0([0, +∞); Rn).
both
X is a martingale with respect to P (and its own natural filtration); and
for all 1 ≤ i, j ≤ n, Xi(t)Xj(t) −δijt is a martingale with respect to P (and its own natural filtration), where δij denotes the Kronecker delta.
Spectral content
The spectral content of a stochastic process can be found from the power spectral density, formally defined as
where stands for the expected value. The power spectral density of Brownian motion is found to be
where is the diffusion coefficient of . For naturally occurring signals, the spectral content can be found from the power spectral density of a single realization, with finite available time, i.e.,
which for an individual realization of a Brownian motion trajectory, it is found to have expected value
and variance
For sufficiently long realization times, the expected value of the power spectrum of a single trajectory converges to the formally defined power spectral density , but its coefficient of variation tends to . This implies the distribution of is broad even in the infinite time limit.
Riemannian manifold
The infinitesimal generator (and hence characteristic operator) of a Brownian motion on Rn is easily calculated to be ½Δ, where Δ denotes the Laplace operator. In image processing and computer vision, the Laplacian operator has been used for various tasks such as blob and edge detection. This observation is useful in defining Brownian motion on an m-dimensional Riemannian manifold (M, g): a Brownian motion on''' M is defined to be a diffusion on M whose characteristic operator in local coordinates xi, 1 ≤ i ≤ m, is given by ½ΔLB, where ΔLB is the Laplace–Beltrami operator given in local coordinates by
where [gij] = [gij]−1 in the sense of the inverse of a square matrix.
Narrow escape
The narrow escape problem is a ubiquitous problem in biology, biophysics and cellular biology which has the following formulation: a Brownian particle (ion, molecule, or protein) is confined to a bounded domain (a compartment or a cell) by a reflecting boundary, except for a small window through which it can escape. The narrow escape problem is that of calculating the mean escape time. This time diverges as the window shrinks, thus rendering the calculation a singular perturbation problem.
See also
Brownian bridge: a Brownian motion that is required to "bridge" specified values at specified times
Brownian covariance
Brownian dynamics
Brownian motion of sol particles
Brownian motor
Brownian noise (Martin Gardner proposed this name for sound generated with random intervals. It is a pun on Brownian motion and white noise.)
Brownian ratchet
Brownian surface
Brownian tree
Brownian web
Rotational Brownian motion
Clinamen
Complex system
Continuity equation
Diffusion equation
Geometric Brownian motion
Itô diffusion: a generalisation of Brownian motion
Langevin equation
Lévy arcsine law
Local time (mathematics)
Many-body problem
Marangoni effect
Nanoparticle tracking analysis
Narrow escape problem
Osmosis
Random walk
Schramm–Loewner evolution
Single particle trajectories
Single particle tracking
Statistical mechanics
Surface diffusion: a type of constrained Brownian motion.
Thermal equilibrium
Thermodynamic equilibrium
Triangulation sensing
Tyndall effect: a phenomenon where particles are involved; used to differentiate between the different types of mixtures.
Ultramicroscope
References
Further reading
Also includes a subsequent defense by Brown of his original observations, Additional remarks on active molecules.
Lucretius, On The Nature of Things, translated by William Ellery Leonard. (on-line version, from Project Gutenberg. See the heading 'Atomic Motions'; this translation differs slightly from the one quoted).
Nelson, Edward, (1967). Dynamical Theories of Brownian Motion. (PDF version of this out-of-print book, from the author's webpage.) This is primarily a mathematical work, but the first four chapters discuss the history of the topic, in the era from Brown to Einstein.
See also Perrin's book "Les Atomes" (1914).
Theile, T. N.
Danish version: "Om Anvendelse af mindste Kvadraters Methode i nogle Tilfælde, hvor en Komplikation af visse Slags uensartede tilfældige Fejlkilder giver Fejlene en 'systematisk' Karakter".
French version: "Sur la compensation de quelques erreurs quasi-systématiques par la méthodes de moindre carrés" published simultaneously in Vidensk. Selsk. Skr. 5. Rk., naturvid. og mat. Afd.'', 12:381–408, 1880.
External links
Einstein on Brownian Motion
Discusses history, botany and physics of Brown's original observations, with videos
"Einstein's prediction finally witnessed one century later" : a test to observe the velocity of Brownian motion
Large-Scale Brownian Motion Demonstration
Statistical mechanics
Wiener process
Fractals
Colloidal chemistry
Robert Brown (botanist, born 1773)
Albert Einstein
Articles containing video clips
Lévy processes | 10 |
Barcelona ( , , ) is a city on the northeastern coast of Spain. It is the capital and largest city of the autonomous community of Catalonia, as well as the second-most populous municipality of Spain. With a population of 1.6 million within city limits, its urban area extends to numerous neighbouring municipalities within the province of Barcelona and is home to around 4.8 million people, making it the fifth most populous urban area in the European Union after Paris, the Ruhr area, Madrid and Milan. It is one of the largest metropolises on the Mediterranean Sea, located on the coast between the mouths of the rivers Llobregat and Besòs, bounded to the west by the Serra de Collserola mountain range.
Founded as a Roman city, in the Middle Ages Barcelona became the capital of the County of Barcelona. After joining with the Kingdom of Aragon to form the confederation of the Crown of Aragon, Barcelona, which continued to be the capital of the Principality of Catalonia, became the most important city in the Crown of Aragon and the main economic and administrative centre of the Crown, only to be overtaken by Valencia, wrested from Moorish control by the Catalans, shortly before the dynastic union between the Crown of Castile and the Crown of Aragon in 1492. Barcelona became the centre of Catalan separatism, briefly becoming part of France during the 17th century Reapers' War. It was the capital of Revolutionary Catalonia during the Spanish Revolution of 1936, and the seat of government of the Second Spanish Republic later in the Spanish Civil War, until its capture by the fascists in 1939. After the Spanish transition to democracy in the 1970s, Barcelona once again became the capital of an autonomous Catalonia.
Barcelona has a rich cultural heritage and is today an important cultural centre and a major tourist destination. Particularly renowned are the architectural works of Antoni Gaudí and Lluís Domènech i Montaner, which have been designated UNESCO World Heritage Sites. The city is home to two of the most prestigious universities in Spain: the University of Barcelona and Pompeu Fabra University. The headquarters of the Union for the Mediterranean are located in Barcelona. The city is known for hosting the 1992 Summer Olympics as well as world-class conferences and expositions. In addition, many international sport tournaments have been played here.
Barcelona is a major cultural, economic, and financial centre in southwestern Europe, as well as the main biotech hub in Spain. As a leading world city, Barcelona's influence in global socio-economic affairs qualifies it for global city status (Beta +).
Barcelona is a transport hub, with the Port of Barcelona being one of Europe's principal seaports and busiest European passenger port, an international airport, Barcelona–El Prat Airport, which handles over 50 million passengers per year, an extensive motorway network, and a high-speed rail line with a link to France and the rest of Europe.
Names
The name Barcelona comes from the ancient Iberian Baŕkeno, attested in an ancient coin inscription found on the right side of the coin in Iberian script as , in ancient Greek sources as , Barkinṓn; and in Latin as Barcino, Barcilonum and Barcenona.
Some older sources suggest that the city may have been named after the Carthaginian general Hamilcar Barca, who was supposed to have founded the city in the 3rd century BC, but there is no evidence that Barcelona was ever a Carthaginian settlement, or that its name in antiquity, Barcino, had any connection with the Barcid family of Hamilcar. During the Middle Ages, the city was variously known as Barchinona, Barçalona, Barchelonaa, and Barchenona.
Internationally, Barcelona's name is abbreviated colloquially to 'Barça' as a result of its status as the hometown of the football club FC Barcelona, whose anthem is the Cant del Barça ("Barça chant"). A common abbreviated form used by locals for the city is Barna.
Another common abbreviation is 'BCN', which is also the IATA airport code of the Barcelona-El Prat Airport.
The city is referred to as the Ciutat Comtal in Catalan and Ciudad Condal in Spanish (i.e., "Comital City" or "City of Counts"), owing to its past as the seat of the Count of Barcelona.
History
Pre-history
The origin of the earliest settlement at the site of present-day Barcelona is unclear. The ruins of an early settlement have been found, including different tombs and dwellings dating to earlier than 5000 BC. The founding of Barcelona is the subject of two different legends. The first attributes the founding of the city to the mythological Hercules. The second legend attributes the foundation of the city directly to the historical Carthaginian general, Hamilcar Barca, father of Hannibal, who supposedly named the city Barcino after his family in the 3rd century BC, but there is no historical or linguistic evidence that this is true. Archeological evidence in the form of coins from the 3rd Century BC have been found on the hills at the foot of Montjuïc with the name Bárkeno written in an ancient script in the Iberian language. Thus, we can conclude that the Laietani, an ancient Iberian (Pre-Roman) people of the Iberian peninsula, who inhabited the area occupied by the city of Barcelona around 3 – 2 BC, called the area Bàrkeno, which means "The Place of the Plains" (Barrke = plains/terrace).
Roman Barcelona
In about 15 BC, the Romans redrew the town as a castrum (Roman military camp) centred on the "Mons Taber", a little hill near the Generalitat (Catalan Government) and city hall buildings. The Roman Forum, at the crossing of the Cardo Maximus and Decumanus Maximus, was approximately placed where current Plaça de Sant Jaume is. Thus, the political center of the city, Catalonia, and its domains has remained in the same place for over 2,000 years.
Under the Romans, it was a colony with the surname of Faventia, or, in full, Colonia Faventia Julia Augusta Pia Barcino or Colonia Julia Augusta Faventia Paterna Barcino. Pomponius Mela mentions it among the small towns of the district, probably as it was eclipsed by its neighbour Tarraco (modern Tarragona), but it may be gathered from later writers that it gradually grew in wealth and consequence, favoured as it was with a beautiful situation and an excellent harbour. It enjoyed immunity from imperial burdens. The city minted its own coins; some from the era of Galba survive.
Important Roman vestiges are displayed in Plaça del Rei underground, as a part of the Barcelona City History Museum (MUHBA); the typically Roman grid plan is still visible today in the layout of the historical centre, the Barri Gòtic (Gothic Quarter). Some remaining fragments of the Roman walls have been incorporated into the cathedral. The cathedral, Catedral Basílica Metropolitana de Barcelona, is also sometimes called La Seu, which simply means cathedral (and see, among other things) in Catalan. It is said to have been founded in 343.
Medieval Barcelona
The city was conquered by the Visigoths in the early 5th century, becoming for a few years the capital of all Hispania. After being conquered by the Umayyads in the early 8th century, it was conquered after a siege in 801 by Charlemagne's son Louis, who made Barcelona the seat of the Carolingian "Hispanic March" (Marca Hispanica), a buffer zone ruled by the Count of Barcelona.
The Counts of Barcelona became increasingly independent and expanded their territory to include much of modern Catalonia, although in 985, Barcelona was sacked by the army of Almanzor. The sack was so traumatic that most of Barcelona's population was either killed or enslaved. In 1137, Aragon and the County of Barcelona merged in dynastic union by the marriage of Ramon Berenguer IV and Petronilla of Aragon, their titles finally borne by only one person when their son Alfonso II of Aragon ascended to the throne in 1162. His territories were later to be known as the Crown of Aragon, which conquered many overseas possessions and ruled the western Mediterranean Sea with outlying territories in Naples and Sicily and as far as Athens in the 13th century.
Barcelona was the leading slave trade centre of the Crown of Aragon up until the 15th century, when it was eclipsed by Valencia. It initially fed from eastern and Balkan slave stock later drawing from a Maghribian and, ultimately, Subsaharan pool of slaves.
The Bank or Taula de canvi de Barcelona, often viewed as the oldest public bank in Europe, was established by the city magistrates in 1401. It originated from necessities of the state, as did the Bank of Venice (1402) and the Bank of Genoa (1407).
Barcelona under the Spanish monarchy
The marriage of Ferdinand II of Aragon and Isabella I of Castile in 1469 united the two royal lines. Madrid became the centre of political power whilst the colonisation of the Americas reduced the financial importance (at least in relative terms) of Mediterranean trade. Barcelona was a centre of Catalan separatism, including the Catalan Revolt (1640–52) against Philip IV of Spain. The great plague of 1650–1654 halved the city's population.
In the 18th century, a fortress was built at Montjuïc that overlooked the harbour. In 1794, this fortress was used by the French astronomer Pierre François André Méchain for observations relating to a survey stretching to Dunkirk that provided the official basis of the measurement of a metre. The definitive metre bar, manufactured from platinum, was presented to the French legislative assembly on 22 June 1799. Much of Barcelona was negatively affected by the Napoleonic wars, but the start of industrialisation saw the fortunes of the province improve.
The Spanish Civil War and the Franco period
During the Spanish Civil War, the city, and Catalonia in general, were resolutely Republican. Many enterprises and public services were collectivised by the CNT and UGT unions. As the power of the Republican government and the Generalitat diminished, much of the city was under the effective control of anarchist groups. The anarchists lost control of the city to their own allies, the Communists and official government troops, after the street fighting of the Barcelona May Days. The fall of the city on 26 January 1939, caused a mass exodus of civilians who fled to the French border. The resistance of Barcelona to Franco's coup d'état was to have lasting effects after the defeat of the Republican government. The autonomous institutions of Catalonia were abolished, and the use of the Catalan language in public life was suppressed. Barcelona remained the second largest city in Spain, at the heart of a region which was relatively industrialised and prosperous, despite the devastation of the civil war. The result was a large-scale immigration from poorer regions of Spain (particularly Andalusia, Murcia and Galicia), which in turn led to rapid urbanisation.
Late twentieth century
In 1992, Barcelona hosted the Summer Olympics. The after-effects of this are credited with driving major changes in what had, up until then, been a largely industrial city. As part of the preparation for the games, industrial buildings along the sea-front were demolished and of beach were created. New construction increased the road capacity of the city by 17%, the sewage handling capacity by 27% and the amount of new green areas and beaches by 78%. Between 1990 and 2004, the number of hotel rooms in the city doubled. Perhaps more importantly, the outside perception of the city was changed making, by 2012, Barcelona the 12th most popular city destination in the world and the 5th amongst European cities.
Recent history
The death of Franco in 1975 brought on a period of democratisation throughout Spain. Pressure for change was particularly strong in Barcelona, which considered that it had been punished during nearly forty years of Francoism for its support of the Republican government. Massive, but peaceful, demonstrations on 11 September 1977 assembled over a million people in the streets of Barcelona to call for the restoration of Catalan autonomy. It was granted less than a month later.
The development of Barcelona was promoted by two events in 1986: Spanish accession to the European Community, and particularly Barcelona's designation as host city of the 1992 Summer Olympics. The process of urban regeneration has been rapid, and accompanied by a greatly increased international reputation of the city as a tourist destination. The increased cost of housing has led to a slight decline (−16.6%) in the population over the last two decades of the 20th century as many families move out into the suburbs. This decline has been reversed since 2001, as a new wave of immigration (particularly from Latin America and from Morocco) has gathered pace.
In 1987, an ETA car bombing at Hipercor killed 21 people. On 17 August 2017, a van was driven into pedestrians on La Rambla, killing 14 and injuring at least 100, one of whom later died. Other attacks took place elsewhere in Catalonia. The Prime Minister of Spain, Mariano Rajoy, called the attack in Barcelona a jihadist attack. Amaq News Agency attributed indirect responsibility for the attack to the Islamic State of Iraq and the Levant (ISIL). During the 2010s, Barcelona became the focus city for the ongoing Catalan independence movement, its consequent standoff between the regional and national government and later protests.
Geography
Location
Barcelona is located on the northeast coast of the Iberian Peninsula, facing the Mediterranean Sea, on a plain approximately wide limited by the mountain range of Collserola, the Llobregat river to the southwest and the Besòs river to the north. This plain covers an area of , of which are occupied by the city itself. It is south of the Pyrenees and the Catalan border with France.
Tibidabo, high, offers striking views over the city and is topped by the Torre de Collserola, a telecommunications tower that is visible from most of the city. Barcelona is peppered with small hills, most of them urbanised, that gave their name to the neighbourhoods built upon them, such as Carmel (), Putget (es) () and Rovira (). The escarpment of Montjuïc (), situated to the southeast, overlooks the harbour and is topped by Montjuïc Castle, a fortress built in the 17–18th centuries to control the city as a replacement for the Ciutadella. Today, the fortress is a museum and Montjuïc is home to several sporting and cultural venues, as well as Barcelona's biggest park and gardens.
The city borders on the municipalities of Santa Coloma de Gramenet and Sant Adrià de Besòs to the north; the Mediterranean Sea to the east; El Prat de Llobregat and L'Hospitalet de Llobregat to the south; and Sant Feliu de Llobregat, Sant Just Desvern, Esplugues de Llobregat, Sant Cugat del Vallès, and Montcada i Reixac to the west. The municipality includes two small sparsely-inhabited exclaves to the north-west.
Climate
According to the Köppen climate classification, Barcelona has a hot summer Mediterranean climate (Csa), with mild winters and warm to hot summers, while the rainiest seasons are autumn and spring. The rainfall pattern is characterised by a short (3 months) dry season in summer, as well as less winter rainfall than in a typical Mediterranean climate. However, both June and August are wetter than February, which is unusual for the Mediterranean climate. This subtype, labelled as "Portuguese" by the French geographer George Viers after the climate classification of Emmanuel de Martonne and found in the NW Mediterranean area (e.g. Marseille), can be seen as transitional to the humid subtropical climate (Cfa) found in inland areas.
Barcelona is densely populated, thus heavily influenced by the urban heat island effect. Areas outside of the urbanised districts can have as much as 2 °C of difference in temperatures throughout the year. Its average annual temperature is during the day and at night. The average annual temperature of the sea is about . In the coldest month, January, the temperature typically ranges from during the day, at night and the average sea temperature is . In the warmest month, August, the typical temperature ranges from during the day, about at night and the average sea temperature is . Generally, the summer or "holiday" season lasts about six months, from May to October. Two months – April and November – are transitional; sometimes the temperature exceeds , with an average temperature of during the day and at night. December, January and February are the coldest months, with average temperatures around during the day and at night. Large fluctuations in temperature are rare, particularly in the summer months. Because of the proximity to the warm sea plus the urban heat island, frosts are very rare in the city of Barcelona. Snow is also very infrequent in the city of Barcelona, but light snowfalls can occur yearly in the nearby Collserola mountains, such as in the Fabra Observatory located in a nearby mountain.
Barcelona averages 78 rainy days per year (≥ 1 mm), and annual average relative humidity is 72%, ranging from 69% in July to 75% in October. Rainfall totals are highest in late summer and autumn (September–November) and lowest in early and mid-summer (June–August), with a secondary winter minimum (February–March). Sunshine duration is 2,524 hours per year, from 138 (average 4.5 hours of sunshine a day) in December to 310 (average 10 hours of sunshine a day) in July.
Demographics
According to Barcelona's City Council, Barcelona's population was 1,608,746 people, on a land area of . It is the main component of an administrative area of Greater Barcelona, with a population of 3,218,071 in an area of (density 5,060 inhabitants/km2). The population of the urban area was 4,840,000. It is the central nucleus of the Barcelona metropolitan area, which relies on a population of 5,474,482.
Spanish is the most spoken language in Barcelona (according to the linguistic census held by the Government of Catalonia in 2013) and it is understood almost universally. Catalan is also very commonly spoken in the city: it is understood by 95% of the population, while 72.3% can speak it, 79% can read it, and 53% can write it. Knowledge of Catalan has increased significantly in recent decades thanks to a language immersion educational system.
After Catalan and Spanish, the most spoken languages in Barcelona are those from North Africa, such as Amazigh and Arabic, followed by Bengali, Urdu, Panjabi, Mandarin Chinese, Romanian, English, Russian and Quechua, according to data collected by the University of Barcelona.
In 1900, Barcelona had a population of 533,000, which grew steadily but slowly until 1950, when it started absorbing a high number of people from other less-industrialised parts of Spain. Barcelona's population peaked in 1979 at 1,906,998, and fell throughout the 1980s and 1990s as more people sought a higher quality of life in outlying cities in the Barcelona Metropolitan Area. After bottoming out in 2000 with 1,496,266 residents, the city's population began to rise again as younger people started to return, causing a great increase in housing prices.
Population density
Note: This text is entirely based on the municipal statistical database provided by the city council.
Barcelona is one of the most densely populated cities in Europe. For the year 2008 the city council calculated the population to 1,621,090 living in the 102.2 km2 sized municipality, giving the city an average population density of 15,926 inhabitants per square kilometre with Eixample being the most populated district.
In the case of Barcelona though, the land distribution is extremely uneven. Half of the municipality or 50.2 km2, all of it located on the municipal edge is made up of the ten least densely populated neighbourhoods containing less than 10% of the city's population, the uninhabited Zona Franca industrial area and Montjuïc forest park. Leaving the remaining 90% or slightly below 1.5 million inhabitants living on the remaining at an average density close to 28,500 inhabitants per square kilometre.
Of the 73 neighbourhoods in the city, 45 had a population density above 20,000 inhabitants per square kilometre with a combined population of 1,313,424 inhabitants living on 38.6 km2 at an average density of 33,987 inhabitants per square kilometre. The 30 most densely populated neighbourhoods accounted for 57.5% of the city population occupying only 22.7% of the municipality, or in other words, 936,406 people living at an average density of 40,322 inhabitants per square kilometre. The city's highest density is found at and around the neighbourhood of la Sagrada Família where four of the city's most densely populated neighbourhoods are located side by side, all with a population density above 50,000 inhabitants per square kilometre.
Age structure
In 1900, almost a third (28.9 percent) of the population were children (aged younger than 14 years). In 2017, this age group constituted only 12.7% of the population. In 2017, people aged between 15 and 24 years made up 9 percent of the population; those aged between 25 and 44 years made up 30.6 percent of the population; while those aged between 45 and 64 years formed 56.9% of all Barcelonans. In 1900, people aged 65 and older made up just 6.5 percent of the population. In 2017, this age group made up 21.5 percent of the population.
Migration
In 2016, about 59% of the inhabitants of the city were born in Catalonia and 18.5% coming from the rest of the country. In addition to that, 22.5% of the population was born outside of Spain, a proportion which has more than doubled since 2001 and more than quintupled since 1996 when it was 8.6% respectively 3.9%.
The most important region of origin of migrants is Europe, with many coming from Italy (26,676) or France (13,506). Moreover, many migrants come from Latin American nations such as Bolivia, Ecuador or Colombia. Since the 1990s, and similar to other migrants, many Latin Americans have settled in northern parts of the city.
There exists a relatively large Pakistani community in Barcelona with up to twenty thousand nationals. The community consists of significantly more men than women. Many of the Pakistanis are living in Ciutat Vella. First Pakistani migrants came in the 1970s, with increasing numbers in the 1990s.
Other significant migrant groups come from Asia as from China and the Philippines. There is a Japanese community clustered in Bonanova, Les Tres Torres, Pedralbes, and other northern neighbourhoods, and a Japanese international school serves that community.
Religion
Most of the inhabitants state they are Roman Catholic (208 churches). In a 2011 survey conducted by InfoCatólica, 49.5% of Barcelona residents of all ages identified themselves as Catholic. This was the first time that more than half of respondents did not identify themselves as Catholic Christians. The numbers reflect a broader trend in Spain whereby the numbers of self-identified Catholics have declined. In 2019, a survey by Centro de Investigaciones Sociológicas showed that 53.2% of residents in Barcelona identified themselves as Catholic (9.9% practising Catholics, 43.3% non-practising Catholics).
The province has the largest Muslim community in Spain, 322,698 people in Barcelona province are of Muslim religion. A considerable number of Muslims live in Barcelona due to immigration (169 locations, mostly professed by Moroccans in Spain). In 2014, 322,698 out of 5.5 million people in the province of Barcelona identified themselves as Muslim, which makes 5.6% of the total population.
The city also has the largest Jewish community in Spain, with an estimated 3,500 Jews living in the city. There are also a number of other groups, including Evangelical (71 locations, mostly professed by Roma), Jehovah's Witnesses (21 Kingdom Halls), Buddhists (13 locations), and Eastern Orthodox.
Economy
General information
The Barcelona metropolitan area comprises over 66% of the people of Catalonia, one of the richer regions in Europe and the fourth richest region per capita in Spain, with a GDP per capita amounting to €28,400 (16% more than the EU average). The greater Barcelona metropolitan area had a GDP amounting to $177 billion (equivalent to $34,821 in per capita terms, 44% more than the EU average), making it the 4th most economically powerful city by gross GDP in the European Union, and 35th in the world in 2009. Barcelona city had a very high GDP of €80,894 per head in 2004, according to Eurostat. Furthermore, Barcelona was Europe's fourth best business city and fastest improving European city, with growth improved by 17% per year .
Barcelona was the 24th most "livable city" in the world in 2015 according to lifestyle magazine Monocle. Similarly, according to Innovation Analysts 2thinknow, Barcelona occupies 13th place in the world on Innovation Cities™ Global Index. At the same time it is according to the Global Wealth and Lifestyle Report 2020 one of the most affordable cities in the world for a luxury lifestyle.
Barcelona has a long-standing mercantile tradition. Less well known is that the city industrialised early, taking off in 1833, when Catalonia's already sophisticated textile industry began to use steam power. It became the first and most important industrial city in the Mediterranean basin. Since then, manufacturing has played a large role in its history.
Borsa de Barcelona (Barcelona Stock Exchange) is the main stock exchange in the northeastern part of the Iberian Peninsula.
Barcelona was recognised as the Southern European City of the Future for 2014/15, based on its economic potential, by FDi Magazine in their bi-annual rankings.
Trade fair and exhibitions
Drawing upon its tradition of creative art and craftsmanship, Barcelona is known for its award-winning industrial design. It also has several congress halls, notably Fira de Barcelona – the second largest trade fair and exhibition centre in Europe, that host a quickly growing number of national and international events each year (at present above 50). The total exhibition floor space of Fira de Barcelona venues is , not counting Gran Via centre on the Plaza de Europa. However, the Eurozone crisis and deep cuts in business travel affected the council's positioning of the city as a convention centre.
An important business centre, the World Trade Center Barcelona, is located in Barcelona's Port Vell harbour.
The city is known for hosting well as world-class conferences and expositions, including the 1888 Exposición Universal de Barcelona, the 1929 Barcelona International Exposition (Expo 1929), the 2004 Universal Forum of Cultures and the 2004 World Urban Forum.
Tourism
Barcelona was the 20th-most-visited city in the world by international visitors and the fifth most visited city in Europe after London, Paris, Istanbul and Rome, with 5.5 million international visitors in 2011. By 2015, both Prague and Milan had more international visitors. With its popular tree-lined pedestrian street, Les Rambles (Las Ramblas), Barcelona is ranked the most popular city to visit in Spain.
Barcelona is an internationally renowned tourist destination, with numerous recreational areas, one of the best beaches in the world, mild and warm climate, historical monuments, including eight UNESCO World Heritage Sites, 519 hotels including 35 five-star hotels, and developed tourist infrastructure.
Due to its large influx of tourists each year, Barcelona, like many other tourism capitals, has to deal with pickpockets, with wallets and passports being commonly stolen items. Despite its moderate pickpocket rate, Barcelona is considered one of the safest cities in terms of security and personal safety, mainly because of a sophisticated policing strategy that has dropped crime by 32% in just over three years and has led it to be considered the 15th safest city in the world by Business Insider in 2016.
While tourism produces economic benefits, according to one report, the city is "overrun [by] hordes of tourists". In early 2017, over 150,000 protesters warned that tourism is destabilizing the city. Slogans included "Tourists go home", "Barcelona is not for sale" and "We will not be driven out". By then, the number of visitors had increased from 1.7 million in 1990 to 32 million in a city with a population of 1.62 million, increasing the cost of rental housing for residents and overcrowding the public places. While tourists spent an estimated €30 billion in 2017, they are viewed by some as a threat to Barcelona's identity.
A May 2017 article in the British online daily The Independent included Barcelona among the "Eight Places That Hate Tourists the Most" and included a comment from Mayor Ada Colau, "We don't want the city to become a cheap souvenir shop", citing Venice as an example. To moderate the problem, the city has stopped issuing licenses for new hotels and holiday apartments; it also fined AirBnb €30,000. The mayor has suggested introducing a new tourist tax and setting a limit on the number of visitors. One industry insider, Justin Francis, founder of the Responsible Travel agency, stated that steps must be taken to limit the number of visitors that are causing an "overtourism crisis" in several major European cities. "Ultimately, residents must be prioritised over tourists for housing, infrastructure and access to services because they have a long-term stake in the city's success", he said. "Managing tourism more responsibly can help", Francis later told a journalist, "but some destinations may just have too many tourists, and Barcelona may be a case of that".
Manufacturing sector
Industry generates 21% of the total gross domestic product (GDP) of the region, with the energy, chemical and metallurgy industries accounting for 47% of industrial production. The Barcelona metropolitan area had 67% of the total number of industrial establishments in Catalonia as of 1997.
Barcelona has long been an important European automobile manufacturing centre. Formerly there were automobile factories of AFA, Abadal, Actividades Industriales, Alvarez, America, Artés de Arcos, Balandrás, Baradat-Esteve, Biscúter, J. Castro, Clúa, David, Delfín, Díaz y Grilló, Ebro trucks, , Elizalde, Automóviles España, Eucort, Fenix, Fábrica Hispano, Auto Academia Garriga, Fábrica Española de Automóviles Hebe, Hispano-Suiza, Huracán Motors, Talleres Hereter, Junior SL, Kapi, La Cuadra, M.A., Automóviles Matas, Motores y Motos, Nacional Custals, National Pescara, Nacional RG, Nacional Rubi, Nacional Sitjes, Automóviles Nike, Orix, Otro Ford, Patria, Pegaso, PTV, Ricart, Ricart-España, Industrias Salvador, Siata Española, Stevenson, Romagosa y Compañía, Garaje Storm, Talleres Hereter, Trimak, Automóviles Victoria, Manufacturas Mecánicas Aleu.
Today, the headquarters and a large factory of SEAT (the largest Spanish automobile manufacturer) are in one of its suburbs. There is also a Nissan factory in the logistics and industrial area of the city. The factory of Derbi, a large manufacturer of motorcycles, scooters and mopeds, also lies near the city.
As in other modern cities, the manufacturing sector has long since been overtaken by the services sector, though it remains very important. The region's leading industries are textiles, chemical, pharmaceutical, motor, electronic, printing, logistics, publishing, in telecommunications industry and culture the notable Mobile World Congress, and information technology services.
Fashion
The traditional importance of textiles is reflected in Barcelona's drive to become a major fashion centre. There have been many attempts to launch Barcelona as a fashion capital, notably Gaudi Home.
Beginning in the summer of 2000, the city hosted the Bread & Butter urban fashion fair until 2009, when its organisers announced that it would be returning to Berlin. This was a hard blow for the city as the fair brought €100 m to the city in just three days.
From 2009, The Brandery, an urban fashion show, was held in Barcelona twice a year until 2012. According to the Global Language Monitor's annual ranking of the world's top fifty fashion capitals Barcelona was named as the seventh most important fashion capital of the world right after Milan and before Berlin in 2015.
Government and administrative divisions
As the capital of the autonomous community of Catalonia, Barcelona is the seat of the Catalan government, known as the Generalitat de Catalunya; of particular note are the executive branch, the parliament, and the High Court of Justice of Catalonia. The city is also the capital of the Province of Barcelona and the Barcelonès comarca (district).
Barcelona is governed by a city council formed by 41 city councillors, elected for a four-year term by universal suffrage. As one of the two biggest cities in Spain, Barcelona is subject to a special law articulated through the Carta Municipal (Municipal Law). A first version of this law was passed in 1960 and amended later, but the current version was approved in March 2006. According to this law, Barcelona's city council is organised in two levels: a political one, with elected city councillors, and one executive, which administers the programs and executes the decisions taken on the political level. This law also gives the local government a special relationship with the central government and it also gives the mayor wider prerogatives by the means of municipal executive commissions. It expands the powers of the city council in areas like telecommunications, city traffic, road safety and public safety. It also gives a special economic regime to the city's treasury and it gives the council a veto in matters that will be decided by the central government, but that will need a favourable report from the council.
The Comissió de Govern (Government Commission) is the executive branch, formed by 24 councillors, led by the Mayor, with 5 lieutenant-mayors and 17 city councillors, each in charge of an area of government, and 5 non-elected councillors. The plenary, formed by the 41 city councillors, has advisory, planning, regulatory, and fiscal executive functions. The six Commissions del Consell Municipal (City council commissions) have executive and controlling functions in the field of their jurisdiction. They are composed by a number of councillors proportional to the number of councillors each political party has in the plenary. The city council has jurisdiction in the fields of city planning, transportation, municipal taxes, public highways security through the Guàrdia Urbana (the municipal police), city maintenance, gardens, parks and environment, facilities (like schools, nurseries, sports centres, libraries, and so on), culture, sports, youth and social welfare. Some of these competencies are not exclusive, but shared with the Generalitat de Catalunya or the central Spanish government. In some fields with shared responsibility (such as public health, education or social services), there is a shared Agency or Consortium between the city and the Generalitat to plan and manage services.
The executive branch is led by a Chief Municipal Executive Officer which answers to the Mayor. It is made up of departments which are legally part of the city council and by separate legal entities of two types: autonomous public departments and public enterprises.
The seat of the city council is on the Plaça de Sant Jaume, opposite the seat of Generalitat de Catalunya. Since the coming of the Spanish democracy, Barcelona had been governed by the PSC, first with an absolute majority and later in coalition with ERC and ICV. After the May 2007 election, the ERC did not renew the coalition agreement and the PSC governed in a minority coalition with ICV as the junior partner.
After 32 years, on 22 May 2011, CiU gained a plurality of seats at the municipal election, gaining 15 seats to the PSC's 11. The PP hold 8 seats, ICV 5 and ERC 2.
Districts
Since 1987, the city has been divided into 10 administrative districts (districtes in Catalan, distritos in Spanish):
Ciutat Vella
Eixample
Sants-Montjuïc
Les Corts
Sarrià-Sant Gervasi
Gràcia
Horta-Guinardó
Nou Barris
Sant Andreu
Sant Martí
The districts are based mostly on historical divisions, and several are former towns annexed by the city of Barcelona in the 18th and 19th centuries that still maintain their own distinct character. Each district has its own council led by a city councillor. The composition of each district council depends on the number of votes each political party had in that district, so a district can be led by a councillor from a different party than the executive council.
Education
Barcelona has a well-developed higher education system of public universities. Most prominent among these are the University of Barcelona (established in 1450) and the more modern Pompeu Fabra University. Barcelona is also home to the Polytechnic University of Catalonia, and in the private sector the EADA Business School (founded in 1957), which became the first Barcelona institution to run manager training programmes for the business community. IESE Business School, as well as the largest private educational institution, the Ramon Llull University, which encompasses schools and institutes such as the ESADE Business School. The Autonomous University of Barcelona, another public university, is located in Bellaterra, a town in the Metropolitan Area. Toulouse Business School and the Open University of Catalonia (a private Internet-centred open university) are also based in Barcelona.
The city has a network of public schools, from nurseries to high schools, under the responsibility of a consortium led by city council (though the curriculum is the responsibility of the Generalitat de Catalunya). There are also many private schools, some of them Roman Catholic. Most such schools receive a public subsidy on a per-student basis, are subject to inspection by the public authorities, and are required to follow the same curricular guidelines as public schools, though they charge tuition. Known as escoles concertades, they are distinct from schools whose funding is entirely private (escoles privades).
The language of instruction at public schools and escoles concertades is Catalan, as stipulated by the 2009 Catalan Education Act. Spanish may be used as a language of instruction by teachers of Spanish literature or language, and foreign languages by teachers of those languages. An experimental partial immersion programme adopted by some schools allows for the teaching of a foreign language (English, generally) across the curriculum, though this is limited to a maximum of 30% of the school day. No public school or escola concertada in Barcelona may offer 50% or full immersion programmes in a foreign language, nor does any public school or escola concertada offer International Baccalaureate programmes.
Culture
Barcelona's cultural roots go back 2000 years. Since the arrival of democracy, the Catalan language (very much repressed during the dictatorship of Franco) has been promoted, both by recovering works from the past and by stimulating the creation of new works. Barcelona is designated as a world-class city by the Globalization and World Cities Study Group and Network. It has also been part of the UNESCO Creative Cities Network as a City of Literature since 2015.
Entertainment and performing arts
Barcelona has many venues for live music and theatre, including the world-renowned Gran Teatre del Liceu opera house, the Teatre Nacional de Catalunya, the Teatre Lliure and the Palau de la Música Catalana concert hall. Barcelona also is home to the Barcelona Symphony and Catalonia National Orchestra (Orquestra Simfònica de Barcelona i Nacional de Catalunya, usually known as OBC), the largest symphonic orchestra in Catalonia. In 1999, the OBC inaugurated its new venue in the brand-new Auditorium (L'Auditori). It performs around 75 concerts per season and its current director is Eiji Oue. It is home to the Barcelona Guitar Orchestra, directed by Sergi Vicente. The major thoroughfare of La Rambla is home to mime artists and street performers. Yearly, two major pop music festivals take place in the city, the Sónar Festival and the Primavera Sound Festival. The city also has a thriving alternative music scene, with groups such as The Pinker Tones receiving international attention. Barcelona is an international hub of highly active and diverse nightlife with bars, dance bars and nightclubs staying open well past midnight.
Media
El Periódico de Catalunya, La Vanguardia and Ara are Barcelona's three major daily newspapers (the first two with Catalan and Spanish editions, Ara only in Catalan) while Sport and El Mundo Deportivo (both in Spanish) are the city's two major sports daily newspapers, published by the same companies. The city is also served by a number of smaller publications such as Ara and El Punt Avui (in Catalan), by nationwide newspapers with special Barcelona editions like El País (in Spanish, with an online version in Catalan) and El Mundo (in Spanish), and by several free newspapers like 20 minutos and Què (all bilingual).
Barcelona's oldest and main online newspaper VilaWeb is also the oldest one in Europe (with Catalan and English editions).
Several major FM stations include Catalunya Ràdio, RAC 1, RAC 105 and Cadena SER. Barcelona also has a local TV station, Betevé, owned by city council. The headquarters of Televisió de Catalunya, Catalonia's public network, are located in Sant Joan Despí, in Barcelona's metropolitan area.
Sports
Barcelona has a long sporting tradition and hosted the highly successful 1992 Summer Olympics as well as several matches during the 1982 FIFA World Cup (at the two stadiums). It has hosted about 30 sports events of international significance.
FC Barcelona is a sports club best known worldwide for its football team, one of the largest and the wealthiest in the world. It has 74 national trophies (while finishing 46 times as runners-up) and 17 continental prizes (with being runners-up 11 times), including five UEFA Champions League trophies out of eight finals and three FIFA Club World Cup wins out of four finals. The club won six trophies in a calendar year in 2009, becoming one of only 2 male football teams in the world to win the coveted sextuple, apart from FC Bayern Munich in 2020. FC Barcelona also has professional teams in other sports like FC Barcelona Regal (basketball), FC Barcelona Handbol (handball), FC Barcelona Hoquei (roller hockey), FC Barcelona Ice Hockey (ice hockey), FC Barcelona Futsal (futsal) and FC Barcelona Rugby (rugby union), all at one point winners of the highest national and/or European competitions. The club's museum is the second most visited in Catalonia. The matches against cross-town rivals RCD Espanyol are of particular interest, but there are other Barcelonan football clubs in lower categories, like CE Europa and UE Sant Andreu. FC Barcelona's basketball team has a noted rivalry in the Liga ACB with nearby Joventut Badalona.
Barcelona has three UEFA elite stadiums: FC Barcelona's Camp Nou, the largest stadium in Europe with a capacity of 99,354; the publicly owned Estadi Olímpic Lluís Companys, with a capacity of 55,926; used for the 1992 Olympics; and Estadi Cornellà-El Prat, with a capacity of 40,500. Furthermore, the city has several smaller stadiums such as Mini Estadi (also owned by FC Barcelona) with a capacity of 15,000, Camp Municipal Narcís Sala with a capacity of 6,563 and Nou Sardenya with a capacity of 7,000. The city has a further three multifunctional venues for sports and concerts: the Palau Sant Jordi with a capacity of 12,000 to 24,000 (depending on use), the Palau Blaugrana with a capacity of 7,500, and the Palau dels Esports de Barcelona with a capacity of 3,500.
Barcelona was the host city for the 2013 World Aquatics Championships, which were held at the Palau San Jordi.
Several road running competitions are organised year-round in Barcelona: the Barcelona Marathon every March with over 10,000 participants in 2010, the Cursa de Bombers in April, the Cursa de El Corte Inglés in May (with about 60,000 participants each year), the Cursa de la Mercè, the Cursa Jean Bouin, the Milla Sagrada Família and the San Silvestre. There's also the Ultratrail Collserola which passes through the Collserola forest. The Open Seat Godó, a 50-year-old ATP World Tour 500 Series tennis tournament, is held annually in the facilities of the Real Club de Tenis Barcelona. Each year on Christmas Day, a 200-meter swimming race across the Old Port of Barcelona takes place. Near Barcelona, in Montmeló, the 107,000 capacity Circuit de Barcelona-Catalunya racetrack hosts the Formula One Spanish Grand Prix, the Catalan motorcycle Grand Prix, the Spanish GT Championship and races in the GP2 Series. Skateboarding and cycling are also very popular in Barcelona; in and around the city there are dozens of kilometers of bicycle paths.
Squatter Movement
Barcelona is also home to numerous social centres and illegal squats that effectively form a shadow society mainly made up of the unemployed, immigrants, dropouts, anarchists, anti-authoritarians and autonomists. Peter Gelderloos estimates that there around 200 squatted buildings and 40 social centres across the city with thousands of inhabitants, making it one of the largest squatter movements in the world. He notes that they pirate electricity, internet and water allowing them to live on less than one euro a day. He argues that these squats embrace an anarcho-communist and anti-work philosophy, often freely fixing up new houses, cleaning, patching roofs, installing windows, toilets, showers, lights and kitchens. In the wake of austerity, the squats have provided a number of social services to the surrounding residents, including bicycle repair workshops, carpentry workshops, self-defense classes, free libraries, community gardens, free meals, computer labs, language classes, theatre groups, free medical care and legal support services. The squats help elderly residents avoid eviction and organise various protests throughout Barcelona. Notable squats include Can Vies and Can Masdeu.
Transport
Airports
Barcelona is served by Barcelona-El Prat Airport, about south-west of the centre of Barcelona. It is the second-largest airport in Spain, and the largest on the Mediterranean coast, which handled more than 50.17 million passengers in 2018, showing an annual upward trend. It is a main hub for Vueling Airlines and Ryanair, and also a focus for Iberia and Air Europa. The airport mainly serves domestic and European destinations, although some airlines offer destinations in Latin America, Asia and the United States. The airport is connected to the city by highway, metro (Airport T1 and Airport T2 stations), commuter train (Barcelona Airport railway station) and scheduled bus service. A new terminal (T1) has been built, and entered service on 17 June 2009.
Some low-cost airlines, also use Girona-Costa Brava Airport, about to the north, Reus Airport, to the south, or Lleida-Alguaire Airport, about to the west, of the city. Sabadell Airport is a smaller airport in the nearby town of Sabadell, devoted to pilot training, aerotaxi and private flights.
Seaport
The Port of Barcelona has a 2000-year-old history and a great contemporary commercial importance. It is Europe's ninth largest container port, with a trade volume of 1.72 million TEU's in 2013. The port is managed by the Port Authority of Barcelona. Its are divided into three zones: Port Vell (the old port), the commercial port and the logistics port (Barcelona Free Port). The port is undergoing an enlargement that will double its size thanks to diverting the mouth of the Llobregat river to the south.
The Barcelona harbour is the leading European cruiser port and a very important Mediterranean turnaround base. In 2013, 3.6 million pleasure cruise passengers used the Port of Barcelona.
The Port Vell area also houses the Maremagnum (a commercial mall), a multiplex cinema, the IMAX Port Vell and one of Europe's largest aquariums – Aquarium Barcelona, containing 8,000 fish and 11 sharks contained in 22 basins filled with 4 million litres of sea water. The Maremagnum, being situated within the confines of the port, is the only commercial mall in the city that can open on Sundays and public holidays.
National and international rail
Barcelona is a major hub for the Spanish rail network. The city's main Inter-city rail station is Barcelona Sants railway station, whilst Estació de França terminus serves a secondary role handling suburban, regional and medium distance services. Freight services operate to local industries and to the Port of Barcelona.
RENFE's AVE high-speed rail system, which is designed for speeds of , was extended from Madrid to Barcelona in 2008 in the form of the Madrid–Barcelona high-speed rail line. A shared RENFE-SNCF high-speed rail connecting Barcelona and France (Paris, Marseilles and Toulouse, through Perpignan–Barcelona high-speed rail line) was launched in 2013. Both these lines serve Barcelona Sants terminal station.
Metro and regional rail
Barcelona is served by an extensive local public transport network that includes a metro system, a bus network, a regional railway system, trams, funiculars, rack railways, a Gondola lift and aerial cable cars. These networks and lines are run by a number of different operators but they are integrated into a coordinated fare system, administered by the Autoritat del Transport Metropolità (ATM). The system is divided into fare zones (1 to 6) and various Integrated Travel Cards are available.
The Barcelona Metro network comprises twelve lines, identified by an "L" followed by the line number as well as by individual colours. The Metro largely runs underground; eight Metro lines are operated on dedicated track by the Transports Metropolitans de Barcelona (TMB), whilst four lines are operated by the (FGC) and some of them share tracks with RENFE commuter lines.
In addition to the city Metro, several regional rail lines operated by RENFE's Rodalies de Catalunya run across the city, providing connections to outlying towns in the surrounding region.
Tram
The city's two modern tram systems, Trambaix and Trambesòs, are operated by TRAMMET. A heritage tram line, the Tramvia Blau, also operates between the metro Line 7 and the Funicular del Tibidabo.
Funicular and cable car
Barcelona's metro and rail system is supplemented by several aerial cable cars, funiculars and rack railways that provide connections to mountain-top stations. FGC operates the Funicular de Tibidabo up the hill of Tibidabo and the Funicular de Vallvidrera (FGC), while TMB runs the Funicular de Montjuïc up Montjuïc. The city has two aerial cable cars: the Montjuïc Cable Car, which serves Montjuïc castle, and the Port Vell Aerial Tramway that runs via Torre Jaume I and Torre Sant Sebastià over the port.
Bus
Buses in Barcelona are a major form of public transport, with extensive local, interurban and night bus networks. Most local services are operated by the TMB, although some other services are operated by a number of private companies, albeit still within the ATM fare structure. A separate private bus line, known as Aerobús, links the airport with the city centre, with its own fare structure.
The Estació del Nord (Northern Station), a former railway station which was renovated for the 1992 Olympic Games, now serves as the terminus for long-distance and regional bus services.
Taxi
Barcelona has a metered taxi fleet governed by the Institut Metropolità del Taxi (Metropolitan Taxi Institute), composed of more than 10,000 cars. Most of the licences are in the hands of self-employed drivers. With their black and yellow livery, Barcelona's taxis are easily spotted, and can be caught from one of many taxi ranks, hailed on street, called by telephone or via app.
On 22 March 2007, Barcelona's City Council started the Bicing service, a bicycle service understood as a public transport. Once the user has their user card, they can take a bicycle from any of the more than 400 stations spread around the city and use it anywhere the urban area of the city, and then leave it at another station. The service has been a success, with 50,000 subscribed users in three months.
Roads and highways
Barcelona lies on three international routes, including European route E15 that follows the Mediterranean coast, European route E90 to Madrid and Lisbon, and European route E09 to Paris. It is also served by a comprehensive network of motorways and highways throughout the metropolitan area, including A-2, A-7/AP-7, C-16, C-17, C-31, C-32, C-33, C-60.
The city is circled by three half ring roads or bypasses, Ronda de Dalt (B-20) (on the mountain side), Ronda del Litoral (B-10) (along the coast) and Ronda del Mig (separated into two parts: Travessera de Dalt in the north and the Gran Via de Carles III), two partially covered fast highways with several exits that bypass the city.
The city's main arteries include Diagonal Avenue, which crosses it diagonally, Meridiana Avenue which leads to Glòries and connects with Diagonal Avenue and Gran Via de les Corts Catalanes, which crosses the city from east to west, passing through its centre. The famous boulevard of La Rambla, whilst no longer an important vehicular route, remains an important pedestrian route.
Main sights
The Barri Gòtic (Catalan for "Gothic Quarter") is the centre of the old city of Barcelona. Many of the buildings date from medieval times, some from as far back as the Roman settlement of Barcelona. Catalan modernista architecture (related to the movement known as Art Nouveau in the rest of Europe) developed between 1885 and 1950 and left an important legacy in Barcelona. Several of these buildings are World Heritage Sites. Especially remarkable is the work of architect Antoni Gaudí, which can be seen throughout the city. His best-known work is the immense but still unfinished church of the Sagrada Família, which has been under construction since 1882 and is still financed by private donations. , completion is planned for 2026.
Barcelona was also home to Mies van der Rohe's Barcelona Pavilion. Designed in 1929 for the International Exposition for Germany, it was an iconic building that came to symbolise modern architecture as the embodiment of van der Rohe's aphorisms "less is more" and "God is in the details". The Barcelona pavilion was intended as a temporary structure and was torn down in 1930 less than a year after it was constructed. A modern re-creation by Spanish architects now stands in Barcelona, however, constructed in 1986.
Barcelona won the 1999 RIBA Royal Gold Medal for its architecture, the first (and , only) time that the winner has been a city rather than an individual architect. Barcelona is the home of many points of interest declared World Heritage Sites by UNESCO:
Historic buildings and monuments
Minor basilica of Sagrada Família, the symbol of Barcelona.
Palau de la Música Catalana and Hospital de Sant Pau, designed by Lluís Domènech i Montaner, included in the UNESCO Heritage List in 1997.
Works by Antoni Gaudí, including Park Güell, Palau Güell, Casa Milà (La Pedrera), Casa Vicens, Sagrada Família (Nativity façade and crypt), Casa Batlló, crypt in Church of Colònia Güell. The first three works were inscribed as a World Heritage Site in 1984. The other four were added as extensions to the site in 2005.
The Cathedral of the Holy Cross and St. Eulalia (Gothic)
Gothic basilica of Santa Maria del Mar
Gothic basilica of Santa Maria del Pi
Romanesque church of Sant Pau del Camp
Palau Reial Major, medieval residence of the sovereign Counts of Barcelona, later Kings of Aragon
The Royal Shipyard (gothic)
Monastery of Pedralbes (gothic)
The Columbus Monument
The Arc de Triomf, a triumphal arch built for entrance to 1888 Barcelona Universal Exposition.
Expiatory church of the Sacred Heart of Jesus on the summit of Tibidabo.
The Historic Building of the University of Barcelona
Museums
Barcelona has a great number of museums, which cover different areas and eras. The National Museum of Art of Catalonia possesses a well-known collection of Romanesque art, while the Barcelona Museum of Contemporary Art focuses on post-1945 Catalan and Spanish art. The Fundació Joan Miró, Picasso Museum, and Fundació Antoni Tàpies hold important collections of these world-renowned artists, as well as the Can Framis Museum, focused on post-1960 Catalan Art owned by Fundació Vila Casas. Several museums cover the fields of history and archaeology, like the Barcelona City History Museum (MUHBA), the Museum of the History of Catalonia, the Archeology Museum of Catalonia, the Maritime Museum of Barcelona, the Music Museum of Barcelona and the privately owned Egyptian Museum. The Erotic museum of Barcelona is among the most peculiar ones, while CosmoCaixa is a science museum that received the European Museum of the Year Award in 2006.
The Museum of Natural Sciences of Barcelona was founded in 1882 under the name of "Museo Martorell de Arqueología y Ciencias Naturales" (Spanish for "Martorell Museum of Archaeology and Natural Sciences"). In 2011 the Museum of Natural Sciences ended up with a merge of five institutions: the Museum of Natural Sciences of Barcelona (the main site, at the Forum Building), the Martorell Museum (the historical seat of the Museum, opened to the public from 1924 to 2010 as a geology museum), the Laboratori de Natura, at the Castle of the Three Dragons (from 1920 to 2010: the Zoology Museum), the Historical Botanical Garden of Barcelona, founded 1930, and the Botanical garden of Barcelona, founded 1999. Those two gardens are a part of the Botanical Institute of Barcelona too.
The FC Barcelona Museum is the third most popular tourist attraction in Catalonia, with 1,51 million visitors in 2013.
Parks
Barcelona contains sixty municipal parks, twelve of which are historic, five of which are thematic (botanical), forty-five of which are urban, and six of which are forest. They range from vest-pocket parks to large recreation areas. The urban parks alone cover 10% of the city (). The total park surface grows about per year, with a proportion of of park area per inhabitant.
Of Barcelona's parks, Montjuïc is the largest, with 203 ha located on the mountain of the same name. It is followed by Parc de la Ciutadella (which occupies the site of the old military citadel and which houses the Parliament building, the Barcelona Zoo, and several museums); including the zoo), the Guinardó Park (), Park Güell (designed by Antoni Gaudí; ), Oreneta Castle Park (also ), Diagonal Mar Park (, inaugurated in 2002), Nou Barris Central Park (), Can Dragó Sports Park and Poblenou Park (both ), the Labyrinth Park (), named after the garden maze it contains. There are also several smaller parks, for example, the Parc de Les Aigües (). A part of the Collserola Park is also within the city limits. PortAventura World, one of the largest resort in Europe, with 5,837,509 visitors per year, is located one hour's drive from Barcelona. Also, within the city lies Tibidabo Amusement Park, a smaller amusement park in Plaza del Tibidabo, with the Muntanya Russa amusement ride.
Beaches
Barcelona beach was listed as number one in a list of the top ten city beaches in the world according to National Geographic and Discovery Channel. Barcelona contains seven beaches, totalling of coastline. Sant Sebastià, Barceloneta and Somorrostro beaches, both in length, are the largest, oldest and the most-frequented beaches in Barcelona.
The Olympic Harbour separates them from the other city beaches: Nova Icària, Bogatell, Mar Bella, Nova Mar Bella and Llevant. These beaches (ranging from were opened as a result of the city restructuring to host the 1992 Summer Olympics, when a great number of industrial buildings were demolished. At present, the beach sand is artificially replenished given that storms regularly remove large quantities of material. The 2004 Universal Forum of Cultures left the city a large concrete bathing zone on the eastmost part of the city's coastline. Most recently, Llevant is the first beach to allow dogs access during summer season.
International relations
Twin towns – sister cities
Barcelona is twinned with:
Antwerp, Belgium (1997)
Athens, Greece (1999)
Boston, United States (1983)
Busan, South Korea (1983)
Cologne, Germany (1984)
Dublin, Ireland (1998)
Gaza City, Palestine (1998)
Havana, Cuba (1993)
Istanbul, Turkey (1997)
Kobe, Japan (1993)
Monterrey, Mexico (1977)
Montevideo, Uruguay (1985)
Montpellier, France (1963)
Rio de Janeiro, Brazil (1972)
San Francisco, United States (2010)
São Paulo, Brazil (1985)
Sarajevo, Bosnia and Herzegovina (2000)
Shanghai, China (2001)
Tel Aviv, Israel (1998)
Tunis, Tunisia (1969)
Valparaíso, Chile (2001)
Suspended twin towns / sister cities agreements
Saint Petersburg, Russia (1985, suspended in 2022)
Partnership and friendship
Barcelona also cooperates with:
Amman, Jordan
Guangzhou, China
Isfahan, Iran
Kyoto, Japan
Lampedusa, Italy
Lesbos, Greece
Maputo, Mozambique
New York City, United States
Ningbo, China
Paris, France
Rosario, Argentina
Saïda, Algeria
Seoul, South Korea
Tétouan, Morocco
Turin, Italy
Notable people
See also
Outline of Barcelona
Architecture of Barcelona
Urban planning of Barcelona
Street names in Barcelona
List of markets in Barcelona
List of tallest buildings in Barcelona
Public art in Barcelona
Mobile World Congress
OPENCities
References
Citations
Sources
Busquets, Joan. Barcelona: The Urban Evolution of a Compact City (Harvard UP, 2006) 468 pp.
Marshall, Tim, ed. Transforming Barcelona (Routledge, 2004), 267 pp.
Ramon Resina, Joan. Barcelona's Vocation of Modernity: Rise and Decline of an Urban Image (Stanford UP, 2008). 272 pp.
External links
Official website of Barcelona
Official website of Barcelona in Spain's national tourism portal
1st-century BC establishments in Spain
Coloniae (Roman)
Establishments in Spain in the Roman era
Historic Jewish communities
Mediterranean port cities and towns in Spain
Populated places in Barcelonès
Recipients of the Royal Gold Medal
Roman sites in Spain
Roman towns and cities in Spain
Populated places established in the 1st century BC | 18 |
Bandy is a winter sport and ball sport played by two teams wearing ice skates on a large ice surface (either indoors or outdoors) while using sticks to direct a ball into the opposing team's goal.
The playing surface, called a bandy field or bandy rink, is a sheet of ice which measures 90–110 metres by 45–65 metres, about the size of a football pitch. The field is considerably larger than the ice rinks commonly used for ice hockey.
The sport is considered a form of hockey and has a common background with association football, ice hockey, shinty and field hockey. Bandy's origins are debatable, but its first rules were organised and published in England in 1882.
Internationally, bandy's strongest nations in both men's and women's competitions at present are Sweden and Russia; both countries have established professional men's bandy leagues. In Russia, it is estimated that more than one million people play bandy. The sport also has organised league play and fans in other countries, including Finland, Norway and Kazakhstan. The premier international bandy competition for men is the Bandy World Championship and the premier international bandy competition for women is the Women's Bandy World Championship.
From the 1890s until 1955, there was no established international governing body for bandy. The international governing body for bandy today is the Federation of International Bandy (FIB) which formed in February 1955. In 2001, bandy was recognized as a sport by the International Olympic Committee (IOC). Both traditional eleven-a-side bandy and rink bandy (which is played on a smaller rink) are recognized by the IOC. Based on the number of participating athletes, the FIB has claimed bandy is the world's second-most participated winter sport after ice hockey, but it is not recorded how many of these participants are male and how many are female.
History
Background
The earliest origin of the sport is debated. Though many Russians see their old countrymen as the creators of the sport – reflected by the unofficial title for bandy, "Russian hockey" (русский хоккей) – Russia, England, Wales, and the Netherlands each had sports or pastimes, such as bando, which can be seen as forerunners of the present sport. The mid-18th-century Devonshire Dialogue collection lists Bandy as "a game, like that of Golf, in which the adverse parties endeavour to beat a ball (generally a knob or gnarl from the trunk of a tree,) opposite ways... the stick with which the game is played is crook'd at the end".
The sport's first published set of organized rules was codified in 1882 in England by Charles Goodman Tebbutt of the Bury Fen Bandy Club. When the international federation was founded in 1955, it came about after a compromise between Russian and English rules, in which more of the English rules prevailed.
Since association football was already popular in England, the codified bandy rules took after much of the football rules. Like association football, games are normally two 45 minute halves and there are 11 players per side. Players sticks are curved like large field hockey sticks and the bandy ball is roughly the size of a tennis ball with a cork core and hard plastic coating. Bandy balls are either orange or more commonly nowadays, cerise. Shouldering is allowed in checking situations and body contact therefore does occur, but body checking and fighting are illegal. The offside rule in bandy is in general similar to the offside rules used in association football. Goalkeepers use gloves made specifically for their position and wear them on both hands but do not use any type of stick.
Early days
Bandy as an ice skating sport first developed in Britain. English bandy developed as a winter sport in the Fens of East Anglia. Large expanses of ice would form on the flooded meadows or shallow washes in cold winters where fen skating, which has been a tradition dating back to at least medieval times, took place. Bandy's early recorded modernization period can be traced back to 1813.
Members of the Bury Fen Bandy Club published rules of the game in 1882, and introduced it into other European countries. A variety of stick and ball games involving ice skating were introduced to North America by the 1800s but failed to organize and develop popular rules codes. However, these stick and ball games became one of the eventual antecedents of the modern sport of ice hockey, whose first rules were codified in Canada in 1875, almost a decade before the rules of modern bandy were established in Britain.
The first international bandy match took place in 1891 between Bury Fen and the Haarlemsche Hockey & Bandy Club from the Netherlands (a club which after a couple of club fusions now is named HC Bloemendaal). The same year, the National Bandy Association was established in England as a governing body for the sport in England. National governing federations for bandy were also founded in the 1890s in the Netherlands and Russia and in the following decade in Finland, Sweden, and Norway.
The match later dubbed "the original bandy match", was actually held in 1875 at The Crystal Palace in London. However, at the time, the game was called "hockey on the ice", probably as it was considered an ice variant of field hockey.
An early maker of bandy sticks was the firm of Gray's, Cambridge. One such stick, now in the collections of the Museum of Cambridge, has a length of rope twisted round the handle to rescue any player who might fall through the ice, as the game was played on frozen lakes back then. An 1899 photo of two players demonstrating the game shows the sticks being held single-handed.
Historically, bandy was a popular sport in England and in some central and western European countries until the First World War, and from 1901 to 1926 it was played in the Scandinavian Nordic Games, the first international multi-sport event focused on winter sports.
Etymology
The sport's English name comes from the verb "to bandy", from the Middle French ("to strike back and forth"), and originally referred to a 17th-century Irish game similar to field hockey. The curved stick was also called a "bandy". The etymological connection to the similarly named Welsh hockey game of bando is not clear.
An old name for bandy is hockey on the ice; in the first rule books from England at the turn of the Century 1900, the sport is literally called "bandy or hockey on the ice". Since the early 20th century, the term bandy is usually preferred to prevent confusion with ice hockey.
The sport is known as bandy in many languages, with a few exceptions. In Russia, bandy is called "Russian hockey" () or more frequently, and officially, "hockey with a ball" () while ice hockey is called "hockey with a puck" () or more frequently just "hockey". If the context makes it clear that bandy is the subject, it as well can be called just "hockey". In Belarusian, Ukrainian and Bulgarian it is also called "hockey with a ball" (, and respectively). In Slovak "bandy hockey" () is the name. In Armenian, Kazakh, Kyrgyz, Mongol and Uzbek, bandy is known as "ball hockey" (, , , and respectively). In Finnish the two sports are distinguished as "ice ball" () and "ice puck" (), as well as in Hungarian (), although in Hungarian it is more often called "bandy" nowadays. In Estonian bandy is also called "ice ball" (). In Mandarin Chinese it is "bandy ball" (). In Scottish Gaelic the name is "ice shinty" (). In old times shinty or shinney were also sometimes used in English for bandy.
Because of its similarities with association football, bandy is also nicknamed "winter football" ().
Historical relationship with association football and ice hockey
Bandy and association football
With association football and hockey on ice or bandy both being popular sports in parts of Europe around 1900, bandy was highly influenced by football and taking after its main rules: having a field approximately the same size, having the same number of players on each team and having the same game time (2×45 minutes). It is natural that bandy got the nickname 'winter football'.
It was common for sports clubs to have both a bandy and a football section, with athletes playing both sports but at different times of the year. Some examples are Nottingham Forest Football and Bandy Club in England (today known just as Nottingham Forest F.C.) and Norwegian Strømsgodset IF and Mjøndalen IF, with both having an active bandy section.
In Sweden, most football clubs that were active during the first half of the 20th century also played bandy. Swedish player Orvar Bergmark earned silver medals in the world championships of both sports in the 1950s. Later, as the season for each sport increased in time, it was not as easy for the players to engage in both sports, so some clubs came to concentrate on one or the other. Many old clubs still have both sports on their program. Sten-Ove Ramberg is the last Swedish player in both national teams (1978 in bandy, 1979–1984 in football).
Bandy and ice hockey
As bandy in a way can be seen as a precursor to ice hockey, bandy has influenced the development and history of ice hockey, mainly in European and former Soviet countries. While modern ice hockey was created in Canada, a variety of games which bore a closer resemblance to bandy were initially played there after British soldiers introduced the game of bandy in the late 19th century. At the same time as modern ice hockey rules were formalized in British North America (present-day Canada), bandy rules were decided upon in Europe. A cross between English and Russian bandy rules eventually developed with the football-inspired English rules (cf the passage above about bandy and association football) becoming dominant, together with the Russian low-border along most of the two sidelines, an addition to the sport which has maintained its presence since the 1950s.
Before Canadians introduced ice hockey into Europe in the early 20th century, "hockey" was another name for bandy, and still is in parts of Russia and Kazakhstan.
Both bandy and ice hockey were played in Europe during the 20th century, especially in Sweden, Finland, and Norway. Ice hockey became more popular than bandy in most of Europe, mostly because it had become an Olympic sport, while bandy had not. Athletes in Europe who had played bandy switched to ice hockey in the 1920s to compete in the Olympics. The smaller ice fields needed for ice hockey also made its rinks easier to maintain, especially in countries with short winters. On the other hand, ice hockey was not played in the Soviet Union until the 1950s, when the USSR wanted to compete internationally. The typical European style of ice hockey, with flowing, less physical play, represents a heritage of bandy.
Modern development
First national bandy league
The first national bandy league in modern history was started in Sweden in 1902.
Bandy in the Nordic Games
Bandy was played at the Nordic Games in both Stockholm and Kristiania (present day Oslo) in 1901, 1903, 1905, 1909, 1913, 1917, 1922 and 1926, and between Swedish, Finnish and Russian teams at similar games in Helsinki in 1907. Bandy appeared as a sport in all eight editions of the Nordic Games from 1901 to 1926.
European Bandy Championships
The 1913 European Bandy Championships was the first (and to date, the only) European Championship tournament in bandy. It was held in February 1913, in St. Moritz, Switzerland with eight countries participating, but none from the Nordic countries. While Germany competed, Sweden and Russia did not, with both countries competing in the 1913 Nordic Games instead. In 2014, the Four Nation Bandy tournament was held in Davos, Switzerland, as a centenary celebration of the 1913 European Bandy Championships.
Highest altitude
The highest altitude where bandy has been played is in Khorugh, the capital of the Tajik autonomous province of Gorno-Badakhshan. Khorugh is situated 2,200 metres (7,200 ft) above sea level in the Pamir Mountains.
World Championships and Russian performance
Since the 1950s, when the Soviet Union ended its isolation and started to take part in international sports events, there has been a reason to play world championships. The International Bandy Federation was founded in 1955 and the first world championships were played in 1957 with the Soviet Union and then Russia (as its successor country in 1993) almost consistently in a top position in the sport of bandy alongside Sweden. Finland has won once, in 2004.
In a similar fashion, Russia, along with Sweden, has emerged as one of the two dominant women's bandy nations internationally in the Women's Bandy World Championship.
Women's bandy
Women's bandy uses the exact same rules as men, but the women's game is played separately. Women have been playing bandy since the sport was originally developed. Although there were several attempts in the early part of the 19th century to organise bandy leagues for women's teams, regular leagues only started in the 1970s in Sweden and Finland and then later in the 1980s in Norway and the Soviet Union.
Bandy moving indoors
Starting in the 1980s and increasingly since the turn of the millennium, more and more indoor arenas for bandy have been built (often as joint arenas to be used also for football or speed skating). The use of indoor arenas makes the effects of the weather on a game virtually insignificant, something which earlier always have been a factor to consider for the teams and the audiences. However, unlike some other sports, bandy is still the same game with the same rules indoors or outdoors and no changes are made to the rules depending on whether there's a roof overhead or not. Many games, even in the highest leagues, are still played outdoors. In Sweden there are more indoor arenas than in all other countries combined.
Overview
Bandy is played on ice, using a single round bandy ball. Two teams of 11 players each compete to get the ball into the other team's goal using bandy sticks, thereby scoring a goal. The team that has scored more goals at the end of the game is the winner. If both teams have scored an equal number of goals, then, with some exceptions, the game is a draw. The game is designed to be played on a rectangular sheet of ice, called a bandy field, which is the same size as a football (soccer) field.
In a typical game, players attempt to propel the ball toward their opponents' goal through individual control of the ball, such as by dribbling, passing the ball to a teammate, and taking shots at the goal, which is guarded by the opposing goalkeeper. Opposing players may try to regain control of the ball by intercepting a pass or tackling the opponent who controls the ball. However, physical contact between opponents is limited. Bandy is generally a free-flowing game, with play stopping only when the ball has left the field of play, or when play is stopped by the referee. After a stoppage, play can recommence with a free stroke, a penalty shot or a corner stroke. If the ball has left the field along the sidelines, the referee must decide which team touched the ball last, and award a restart stroke to the opposing team, just like football's throw-in.
In terms of rules, bandy has several rules that are similar to football. Each team has 11 players, one of whom is a goalkeeper. The offside rule, which in general is similar to the one used in football, is also employed. A goal cannot be scored from a goal throw, but unlike football, a goal can be scored from a stroke-in or a corner stroke. All free strokes are "direct" and allow a goal to be scored without another player touching the ball. A primary rule is that players (other than the goalkeepers) may not intentionally touch the ball with their heads, hands or arms during play. Although players usually use their sticks to move the ball around, they may use any part of their bodies other than their heads, hands or arms and may use their skates in a limited manner.
The rules do not specify any player positions other than goalkeeper, but a number of player specialisations have evolved. Broadly, these include three main categories:
forwards, whose main task is to score goals
defenders, who specialise in preventing their opponents from scoring
midfielders, who take the ball from the opposition and pass it to the forwards.
Players in these positions are referred to as outfield players, to discern them from the single goalkeeper. These positions are further differentiated by which side of the field the player spends most time in. For example, there are central defenders, and left and right midfielders. The ten outfield players may be arranged in these positions in any combination (for example, there may be three defenders, five midfielders, and two forwards), and the number of players in each position determines the style of the team's play; more forwards and fewer defenders would create a more aggressive and offensive-minded game, while the reverse would create a slower, more defensive style of play. While players may spend most of the game in a specific position, there are few restrictions on player movement, and players can switch positions at any time. The layout of the players on the pitch is called the team's formation, and defining the team's formation and tactics is usually the prerogative of the team's manager(s). Formation in bandy is often comparable to the formation in association football.
Rules
There are eighteen rules in official play, designed to apply to all levels of bandy, although certain modifications for groups such as juniors, veterans or women are permitted. The rules are often framed in broad terms, which allow flexibility in their application depending on the nature of the game. A game is officiated by a referee, the authority and enforcer of the rules, whose decisions are final. The referee may have one or two assistant referees. A secretary outside of the field often takes care of the match protocol.
The Bandy Playing Rules can be found on the official website of the Federation of International Bandy, and are overseen by the Rules and Referee Committee.
Players
Each team consists of a maximum of 11 players (excluding substitutes), one of whom must be the goalkeeper. A team of fewer than eight players may not start a game. Goalkeepers are the only players allowed to play the ball with their hands or arms, and they are only allowed to do so within the penalty area in front of their own goal.
Though there are a variety of positions in which the outfield (non-goalkeeper) players are strategically placed by a coach, these positions are not defined or required by the rules of the game.
The positions and formations of the players in bandy are virtually the same as the common association football positions and the same terms are used for the different positions of the players. A team usually consists of defenders, midfielders and forwards. The defenders can play in the form of centre-backs, full-backs and sometimes wing-backs, midfielders playing in the centre, attacking or defensive, and forwards in the form of centre forward, second strikers and sometimes a winger. Sometimes one player is also taking up the role of a libero.
Any number of players may be replaced by substitutes during the course of the game. Substitutions can be performed without notifying the referee and can be performed while the ball is in play. However, the substitute must leave the ice before the teammate enters it. A team can bring at the most four substitutes to the game, five if one of these is an extra goalkeeper.
Formation
Formation in bandy describes how the players in a team generally position themselves on the rink and is often comparable to the formation in association football. The team's manager(s) define the team's formation while tactics are usually their prerogative as well.
Bandy is a fluid and fast-moving game, and (with the exception of the goalkeeper) a player's position in a formation does not define their role as rigidly as for, for instance, a rugby player, nor are there episodes in play where players must expressly line up in formation (as in gridiron football). The bandy games are more similar to association football in this regard. Nevertheless, a player's position in a formation generally defines whether a player has a mostly defensive or attacking role, and whether they tend to play towards one side of the pitch or centrally.
Duration and tie-breaking measures
A standard adult bandy match consists of two periods of 45 minutes each, known as halves. Each half runs continuously, meaning the clock is not stopped when the ball is out of play; the referee can, however, make allowance for time lost through significant stoppages as described below. There is usually a 15-minute half-time break. The end of the match is known as full-time.
The referee is the official timekeeper for the match and may make an allowance for time lost through substitutions, injured players requiring attention, or other stoppages. This added time is commonly referred to as stoppage time or injury-time, and must be reported to the match secretary and the two captains. The referee alone signals the end of the match.
If it is very cold or if it is snowing, the match can be broken into thirds of 30 minutes each. At the extremely cold 1999 World Championship some matches were played in four periods of 15 minutes each and with extra long breaks in between. In the World Championships the two halves can be 30 minutes each for the nations in the B division.
In league competitions, games may end in a draw, but in some knockout competitions if a game is tied at the end of regulation time it may go into extra time, which usually consists of two further 10-minute periods. If the score is still tied after extra time, the game will be decided on penalties. The teams shoot five penalties each and if this doesn't settle the game, the teams shoot one more penalty each until one of them misses and the other scores.
Ball in and out of play
Under the rules, the two basic states of play during a game are ball in play and ball out of play. From the beginning of each playing period with a stroke-off (a set strike from the centre-spot by one team) until the end of the playing period, the ball is in play at all times, except when either the ball leaves the field of play, or play is stopped by the referee. When the ball becomes out of play, play is restarted by one of six restart methods depending on how it went out of play:
Stroke-off
Goal-throw
Corner stroke
Free-stroke
Penalty shot
Face-off
If the time runs out while a team is preparing for a free-stroke or penalty, the strike should still be made but it must go into the goal by one shot to count as a goal. Similarly, a goal made via a corner stroke should be allowed, but it must be executed using only one shot in addition to the strike needed to put the ball in play.
Free-strokes and penalty shots
Free-strokes can be awarded to a team if a player of the opposite team breaks any rule, for example, by hitting with the stick against the opponent's stick or skates. Free-strokes can also be awarded upon incorrect execution of corner-strikes, free-strikes, goal-throws, and so on. or the use of incorrect equipment, such as a broken stick.
Rather than stopping play, the referee may allow play to continue when its continuation will benefit the team against which an offence has been committed. This is known as "playing an advantage". The referee may "call back" play and penalise the original offence if the anticipated advantage does not ensue within a short period of time, typically taken to be four to five seconds. Even if an offence is not penalised because the referee plays an advantage, the offender may still be sanctioned (see below) for any associated misconduct at the next stoppage of play.
If a defender violently attacks an opponent within the penalty area, a penalty shot is awarded. Certain other offences, when carried out within the penalty area, for instance a defender holding or hooking an attacker, or blocking a goal situation with a lifted skate, thrown stick or glove and so on result in a penalty shot. Also, the defenders (with the exception of the goal-keeper) are not allowed to kneel or lie on the ice. The final offences that might mandate a penalty shot are those of hitting or blocking an opponent's stick or touching the ball with the hands, arms, stick or head. A 10-minute penalty or a red card may be issued to the offending player as well.
Warnings and penalties
A ten-minute penalty is indicated through the use of a blue card and can be caused by protesting or behaving incorrectly, attacking an opponent violently or stopping the ball incorrectly to get an advantage.
The third time a player receives a time penalty, it will be a personal penalty, meaning he or she will miss the remainder of the match. A substitute can enter the field after five or ten minutes, depending on the type of time penalty received. A full game penalty can be received upon using abusive language or directly attacking an opponent and means that the player can neither play nor be substituted for the remainder of the game. A match penalty is indicated through the use of a red card.
Offside
The offside rule effectively limits the ability to attack players to remain forward (i.e. closer to the opponent's goal-line) of the ball, the second-to-last defending player (which can include the goalkeeper), and the half-way line. This rule is in general similar to that of soccer.
Equipment
The basic equipment players are required to wear includes a pair of bandy skates, a helmet, a mouthguard and, in the case of the goalkeeper, a faceguard.
The teams must wear uniforms that make it easy to distinguish the two teams. The goalkeeper wears distinct colours to be singled out from his or her teammates, just as in football. The ice skates, sticks and any tape on the stick must be of another colour than the bandy ball, which is orange or cerise.
In addition to the aforementioned items, various pieces of gear are used to protect the knees, elbows, genitals and throat. The pants and gloves may contain padding.
Bandy stick
The stick used in bandy is an essential part of the sport. It should be made of an approved material such as wood or a similar material and should not contain any metal or sharp parts which can hurt the surrounding players.
Sticks are crooked and are available in five angles, where 1 has the smallest bend and 5 has the most. Bend 4 is the most common size in professional bandy.
The bandy stick should not have similar colours to the ball, such as orange or pink; it should be no longer than , and no wider than .
Bandy field
A bandy field is by , a total of , or about the same size as a football pitch and considerably larger than an ice hockey rink. Along the sidelines a high border (vant, sarg, wand, wall) is placed to prevent the ball from leaving the ice. It should not be attached to the ice, to glide upon collisions, and should end away from the corners.
Centered at each shortline is a wide and high goal cage and in front of the cage is a half-circular penalty area with a radius. A penalty spot is located in front of the goal and there are two free-stroke spots at the penalty area line, each surrounded by a circle.
A centre spot with a circle of radius denotes the center of the field. A centre-line is drawn through the centre spot parallel with the shortlines.
At each of the corners, a radius quarter-circle is drawn, and a dotted line is painted parallel to the shortline and away from it without extending into the penalty area. The dotted line can be replaced with a long line starting at the edge of the penalty area and extending towards the sideline, from the shortline.
The goal cage used in bandy is 3.5 m (11 ft) wide and 2.1 m (6 ft 11 in) high and is the largest one used by any organized winter team sport.
Protective equipment
Bandy players require protective equipment, some of which is designed specifically for the sport such as the bandy chinguard. Equipment is similar to that worn in ice hockey but is typically smaller, lighter, and more flexible, and more closely resembles the equipment worn in the modern sport of ringette.
All players are required to wear helmets. While some bandy players are required to wear facemasks such as young players, some outfield players only wear a helmet with a bandy chin guard. Goaltenders are the exception and must wear a helmet and facemask at all times.
International
International games in the early years
The first international games were played by club teams in the 1890s.
Starting in the first decade of the 20th Century, friendlies were played between national teams of some European countries. While games like this did not take place in central and western Europe after the 1910s, the Nordic countries of Estonia, Finland, Norway, and Sweden continued, doing it more regularly during the 1920s and 1930s with annually or semi-annually recurring friendlies between some of them.
Sweden tried to arrange friendlies with the Soviet Union in the 1940s, but it did not come to be until the 1950s.
Nordic Games
Bandy was played as one of the sports at the Nordic Games, international winter sports events held during the first few decades of the 20th Century.
International federation
The Fédération internationale de hockey sur glace, or International Ice Hockey Federation, was founded in 1908 and was governing some bandy competitions in its early years, before only concentrating on ice hockey.
The Federation of International Bandy (FIB) was formed as International Bandy Federation in 1955 and has had 33 members at most, each representing a country where bandy is played. Currently, there are 27 members of the federation. The name of the federation was changed to the present one in 2001 after the International Olympic Committee approved it as a so-called "recognized sport". The abbreviation "IBF" was at the time already used by another recognized sports federation, and IOC considers it important that the official abbreviations of sports federations are unique, so that the federations are not mistaken for one another. In 2004, FIB was fully accepted by IOC.
FIB is now a member of Association of IOC Recognised International Sports Federations.
World Championships
Men
The Bandy World Championship for men is arranged by the FIB and was first held in 1957. It was held every two years starting in 1961, and every year since 2003.
Currently, the record number of countries participating in the World Championships is twenty (2019). Since the number of countries playing bandy is not large, every country which can set up a team is welcome to take part in the World Championship. The quality of the teams varies; however, with only six nations, Sweden, the Soviet Union, Russia, Finland, Norway, and Kazakhstan, having won medals (allowing for the fact that Russia's team took over from the Soviet Union in 1993). Finland won the 2004 world championship in Västerås, Sweden, while all other championships have been won by Sweden, the Soviet Union and Russia.
The Soviet Union won all championships until 1981, when Sweden managed to break the streak of eleven straight gold medals. Sweden won again in the next tournament in 1983, but Soviet again seized the victory in 1985. The Soviet Union also won at its last two appearances, and then Sweden won in 1993, 1995 and 1997. Russia, having taken over after the Soviet Union, and Sweden have kept on winning all championships between them except for 2004, when Finland managed to claim the win.
In 2020, the B division of the World Championship was played, but the A division – which was to be played about a month later – was first postponed a couple of times due to the outbreak of the COVID-19 pandemic and later moved to the next year as the pandemic did not end. The championship tournament could however not be played in 2021 either. In 2022, the championship was finally to be held, but since it was scheduled to be played in Russia, many national federations said they did not want to participate because of the 2022 Russian invasion of Ukraine and it was cancelled by the FIB since this meant there would have been too few competing teams.
Women
The first World Championship for women took place in February 2004 in Lappeenranta, Finland. Sweden won the championship without conceding a goal. In the 2014 women's World Championship Russia won for the first time, defeating Sweden, making it the first time Sweden did not win the world title. In 2016 Sweden took the title back.
The 2018 women's tournament was played in a country situated completely in Asia for the first time, when in was hosted in Chengde, China. It was the same for the men's tournament that same year (the area north and west of the Ural River is located in Europe, thus Kazakhstan, which had hosted a world championship before, is a transcontinental country), when Harbin hosted the 2018 Division B tournament.
The 2020 championship saw China withdraw its participation due to the COVID-19 pandemic, but the tournament was held in Norway in February and the pandemic had not yet reached Europe. In 2022 when the championship was played in Sweden, China did not yet return, while Russia and Ukraine both withdrew because of the 2022 Russian invasion of Ukraine.
Youth
There are also Youth Bandy World Championships in different age groups for boys and young men and in one age group for girls. The oldest group is the under 23 championship, Bandy World Championship Y-23.
Olympic Movement
Bandy was officially recognized by the International Olympic Committee (IOC) under the Association of IOC Recognised International Sports Federations (ARISF) in 2004, and was played as a demonstration sport at the 1952 Winter Olympics in Oslo. However, it has yet to officially be played at the Olympics.
According to the FIB, bandy is the world's second-most participated winter sport after ice hockey based on the number of participating athletes. It is unclear how many of the players participate in the male category and how many in the female category. The FIB has also recorded bandy (men's) as having ranked as the number two winter sport in terms of tickets sold per day of competitions at the sport's world championship.
However, compared with the seven Winter Olympic sports, bandy's popularity among other winter sports across the globe is considered by the International Olympic Committee to have a, "gap between popularity and participation and global audiences", which is a roadblock to future Olympic inclusion.
The FIB has also stated that the sport ranks as the number two winter sport in terms of tickets sold per day of competitions at the men's world bandy championship. However, compared with the seven Winter Olympic sports, bandy's popularity among other winter sports across the globe is considered by the International Olympic Committee to have a "gap between popularity and participation and global audiences", which is a roadblock to future Olympic inclusion. In addition, the Olympic Charter requires a sport to be widely practiced by men in at least 75 countries and on four continents, and by women in no fewer than 40 countries and on three continents in order to be accepted.
FIB president Boris Skrynnik lobbied for Bandy to be included in the 2014 Winter Olympics in Sochi, given Russia's prominence in the sport. Members of the Chinese Olympic Committee were present at the 2017 world championships to meet with Skrynnik about the possibility of considering the sport for the 2022 Winter Olympics in Beijing. However, in 2018 it was announced no new sports would be added for 2022.
Asian Winter Games
At the 2011 Asian Winter Games, open to members of the Olympic Council of Asia, men's bandy was included for the first time. Three teams contested the inaugural competition, and Kazakhstan won the gold medal. The President of Kazakhstan, Nursultan Nazarbayev, attended the final.
There was no bandy competition at the next Games, the 2017 Asian Winter Games held in Japan.
Winter Universiade/Winter World University Games
Bandy made its debut at the Winter Universiade during the 2019 Games in Krasonyarsk, Russia. Originally a six-team tournament for men and a four-team tournament for women were planned to be held. However, later China withdrew from the men's tournament and was supposed to be replaced by Belarus. Since that did not happen either, participating teams among women were Russia, Sweden, Norway and the United States, while among men Russia, Sweden, Norway, Finland and Kazakhstan.
In 2019, the International University Sports Federation expected bandy to be a part of the 2023 Winter World University Games (Winter World University Games being the new name of the Winter Universiade) too, however, this does not seem to be so, as the hosts in Lake Placid, USA, has not included it in its preliminary schedules.
World Cup
The World Championships should not be confused with the annual Bandy World Cup competitions. The World Cup is for club teams.
Men
The Bandy World Cup for men in Ljusdal, Sweden, has been played annually since the 1970s and is the biggest bandy tournament for elite-level club teams. It is played indoors in Sandviken since 2009 because Ljusdal has no indoor arena. It is expected to return to Ljusdal once an indoor arena has been built. World Cup matches are played day and night, and the tournament is played in four days in late October. The teams participating are mostly, and some years exclusively, from Sweden and Russia, which has the two best leagues in the world.
The COVID-19 pandemic led to the Cup being cancelled in 2020 and 2021.
Women
There is also a club competition for women's bandy teams called Bandy World Cup Women. Its inaugural year was in 2007.
European Cup
The European Cup was first played in 1974 and was a competition featuring the national men's champion team from any European country which had a national bandy championship. This meant, at the time, that only four teams competed every year, which were the men's champions from Finland, Norway, the Soviet Union, and Sweden. After the Soviet Union had been dissolved in 1991, the Russian champions took part instead. The cup is not formally defunct, but the last installment was played in 2009.
4 Nations Tournament
The Federation of International Bandy usually arranges a four nations tournament every year between national teams from Norway, Finland, Russia and Sweden. The 2022 tournament was originally set for 21–23 January, but was cancelled after the Swedish Bandy Association announced they would not be hosting it for that season.
Rossiya Tournament (Russian Government Cup)
During the period 1972–1990, the Rossiya Tournament was held semi-annually for national teams in the years when there was no world championship. This tournament was always played in the Soviet Union and arranged by the newspaper Sovetskaya Rossiya. It was affectionately called "the small world championship". From 1992 the tournament was renamed Russian Government Cup. The last instalment was played in 2012.
Overview of international competitions
There are several existing international bandy competitions with events varying based upon age, competitive level, and sex.
Senior
Junior
Variants of bandy and sports developed from bandy
7-a-side bandy
Varieties of bandy exist, utilising the same rules only with slight differences, like seven-a-side bandy with regulation sized goal cages but without corner strokes and often on a smaller sized rink. Seven-a-side bandy was popular in central Europe and in England in the late 19th and early 20th Centuries, while eleven-a-side bandy was preferred in the Nordic countries and in Russia. Seven-a-side bandy rules were applied at the 1913 European Bandy Championships and at the Davos Cup in 2016.
Rink bandy
Rink bandy is a bandy variant played on an ice hockey-size rink. It was originally conceived as a way of practicing bandy in the summertime, when there were no bandy sized indoor rinks but ice hockey rinks had started to be built indoors. Rink bandy is played by basically the same rules as regular bandy but on a playing surface the size of an ice hockey rink with ice hockey goal cages and six players on each team (or five in the case of the USA Rink Bandy League).
There have been international competitions for rink bandy played by the best bandy players in the 1980s and 1990s, both for club teams and for national teams, there were world championships in rink bandy in those days and the Hofors World Cup for clubs was played annually from 1984 to 1998. When more indoor bandy rinks have been built, rink bandy has more become a sport for lower league teams a d recreational play.
Rink bandy was played in the 2012 European Company Sports Games program.
Some member nations of the Federation of International Bandy, which is the international governing body for rink bandy as well as bandy, do not have regulation sized bandy surfaces which are larger than the more common ice hockey ice rink and therefore only play rink bandy at home; this includes most of the World Championships Group B participants.
Rinkball
Rink bandy has in turn led to the creation of the sport of rinkball. The sport of rinkball has at times been referred to as a variant of bandy, however it organized by the 1980s and has since become an established organized sport with its own governing body and differs considerably from both bandy and ice hockey, the sport's two major influences.
Floorball
Bandy is also the predecessor of floorball, which was invented when people started playing with plastic bandy shaped sticks and lightweight balls when running on the floors of indoor gym halls.
Landbandy
In Sweden, informal games played like bandy but on ice-free ground (usually on gravel or asphalt concrete) are called landbandy (see landbandy at the Swedish language Wikipedia).
No roller or parasport variants exist
There is no formal roller sport companion to bandy involving either inline skates or parallel wheel roller skates, even if rink hockey can be considered to have some similarities with bandy. There is also no formally organized skateless ice variant of bandy, and bandy does not have any parasport variant.
Countries
China
The China Bandy Federation was set up in 2014. Since them, China has since participated in a number of world championship tournaments, with men's, women's and youth teams. China Bandy is mainly financed by private resources. The development of the sport in China is supported by the Harbin Sport University.
Czechia
A team from Prague became Austrian national bandy champions in 1911. Czechia has been playing in the World Championship since 2016. As a way of preparing as well as possible for international matches, they have invented modified rules for games on ice hockey rinks, a variety called short bandy. Their (former rink bandy) league now is called Liga českého národního bandy.
Estonia
Bandy as an organized sport was played in Estonia in the 1910s to 1930s and the country had a national championship for some years. The national team played friendlies against Finland in the 1920s and 1930s. The sport was played sporadically during the Soviet occupation 1944–1991. It has since then become more organised again, partly through exchange with Finnish clubs and enthusiasts. As of 2018, Estonia takes part in both the Bandy World Championship for men, and the Women's Bandy World Championship.
Finland
Bandy as an organized sport was introduced to Finland from Russia in the 1890s. Finland has been playing bandy friendlies against Sweden and Estonia since its independence in 1917.
The first men's Finnish national championships were held in 1908 and was the first national Finnish championship held in any team sport. National champions have been named every year except for three years in the first half of the 20th century when Finland was at war. The top national league is called Bandyliiga and is semi-professional. The best players turn fully professional by being recruited by clubs in Sweden or Russia. As of the 2020–21 season, Bandyliiga consisted of the following teams: Akilles, Botnia-69, HIFK, JPS, Kampparit, Narukerä, OLS, Veiterä and WP 35.
Finland was an original member of the Federation of International Bandy and is the only country besides Russia/Soviet Union and Sweden to have won a Bandy World Championship, which it did in 2004.
The Federation of International Bandy (FIB) is planning for a major premiere for indoor bandy in Finland in 2023 with the venue taking place at an indoor arena in Lappeenranta. When the arena is ready, an international inauguration is to take place with a 4-nation bandy tournament. Participants will include teams from Russia, Sweden, Norway and Finland. The tournament is scheduled for 20–22 January 2023.
Germany
Bandy was played in Germany in the early 20th century, including by Crown Prince Wilhelm, but the interest died out in favour of ice hockey. The Leipziger Sportclub, which arguably had the best team, was also the last club to give bandy up. The sport was reintroduced to Germany in the 2010s, with the German Bandy Federation being founded in 2013. Germany has been participating in the Bandy World Championship, a competition for male competitors, since 2014.
Kazakhstan
Bandy has a long history in many parts of Kazakhstan and it used to be one of the most popular sports in Soviet times. However, after independence it suffered a rapid decline in popularity and only remained in Oral (often called by the Russian name, "Uralsk"), where the country's only professional club Akzhaiyk is located. They presently compete in the Russian second tier division, the Russian Bandy Supreme League.
Recently bandy has started to gain popularity again outside of Oral, most notably in Petropavl and Khromtau. Those were for example the three Kazakh cities which had players in the team at the Youth-17, Youth Bandy World Championship for boys in 2016. The capital Nur-Sultan has hosted national youth championships in rink bandy as well as championships in traditional eleven-a-side bandy.
In recent years the former capital Almaty has hosted both the Asian Winter Games (with bandy on the program) as well as the Bandy World Championship for men in which Kazakhstan finished 3rd. Plans are being made to reinvigorate the bandy section of the club Dynamo Almaty, who won the Soviet Championships in 1977 and 1990 as well as the European Cup in 1978. Almaty is also the home of the headquarters of the Asian Bandy Federation. Since bandy began regaining popularity and acceptance, the state has begun supporting bandy. Medeu in Almaty is the only arena with artificial ice. A second arena in Almaty was built for the World Championship 2012, but it was taken down afterwards. Stadion Yunost in Oral was supposed to get artificial ice for the 2017–18 season. It got delayed but in 2018 it was officially ready for use.
Mongolia
The national team took a silver medal at the 2011 Asian Winter Games, which led to being chosen as the best Mongolian sport team of 2011. Mongolia was proud to win the bronze medal of the B division at the 2017 Bandy World Championship after which the President of Mongolia, Tsakhiagiin Elbegdorj, held a reception for the team.
Netherlands
Bandy as an organized sport was introduced to the Netherlands in the 1890s by Pim Mulier and the sport became popular. However, in the 1920s, the interest turned to ice hockey, but in contrast to other countries in central and western Europe, the sport has been continuously played in the Netherlands and since the 1970s, the country has become a member of FIB and games have been more formalised again. The national team started to compete at the WCS in 1991. However, without a proper venue, only rink bandy is played within the country. The national governing body is the Bandy Bond Nederland.
Norway
Bandy as an organized sport was introduced to Norway in the 1910s. The Swedes contributed largely and clubs sprang up around the capital of Kristiania (present day Oslo). Oslo, including neighbouring towns, is in the 21st Century still the region where bandy enjoys most popularity in Norway.
In 1912 the Norwegians played their first National Championship, which was played annually up to 1940. During World War II, when Norway was occupied by Germany, illegal bandy was played in hidden places in forests, on ponds and lakes. In 1943, 1944 and 1945, illegal championships were held. In 1946 legal play resumed and still goes on in form of the Norwegian Bandy Premier League (Eliteserien). After World War II the number of teams rose, as well as attendance which regularly were in the thousands, but mild winters in the 1970s and 1980s shrunk the league, and in 2003 only five clubs (teams) fought out the 1st division with low attendance numbers and little media coverage. As of 2021 there are 10 teams in the Norwegian Bandy Premier League.
Norway's best result in the World Championship is a second place in 1965.
Russia
In Russia bandy is known as hockey with a ball or simply Russian hockey. A similar game became popular among the Russian nobility in the early 1700s, with the imperial court of Peter the Great playing a predecessor of modern bandy on Saint Petersburg's frozen Neva river. Russians initially played this game using ordinary footwear with sticks made out of juniper wood, but it wasn't until later that ice skates were introduced. Bandy did not become popular among the masses throughout the Russian Empire until the second half of the 19th century. The predecessor of the current Russian Bandy Federation was founded in 1898. Bandy is considered a national sport in Russia and is the only discipline to have official support of the Russian Orthodox Church.
Traditionally the Russians used a longer skate blade than other nations, giving them the advantage of skating faster. However, they would find it more difficult to turn quickly. A bandy skate has a longer blade than an ice hockey skate, and the "Russian skate" is even longer.
Though bandy was still played in the Soviet Union after the Russian revolution, they did not partake in any international games for many decades. While agreements had previously been made to play friendlies against Sweden in the late 1940s, these plans had not come to fruition. The bandy event at the 1952 Winter Olympics in Oslo, Norway where men's bandy featured as a demonstration sport, was played without any Soviet team. However, the Soviets reconsidered their position following this competition.
When the Federation of International Bandy was formed in 1955, with the Soviet Union as one of its founding members, the Russians largely adopted the international rules of the game developed in England in the 19th century, with one notable exception. The other countries adopted the border which until then had only been used in Russia.
Since the 1950s, when the Soviet Union ended its isolation and started to take part in international sports events, the Soviet Union and then Russia (as its successor country in 1991) has consistently held a top position in the sport of bandy, both as a founding nation of the International Federation in 1955, and fielding the most successful team in the Bandy World Championship, the premiere international competition for men, (when counting the previous Soviet Union team and Russia together).
The men's Russian professional bandy league is called the Russian Bandy Super League. The Russian Bandy Supreme League is the second tier of men's Russian bandy, below the Russian Bandy Super League. In Sweden, the Elitserien (literally, the "Elite League") is the highest bandy league in the country for men, while Bandyallsvenskan is the second division. In Finland, the highest bandy league for men is the Bandyliiga.
In a similar fashion, Russia, along with Sweden, has emerged as one of the two dominant women's bandy nations internationally, regularly placing first or second at the premier international bandy competition for women, the Women's Bandy World Championship.
After the victory in the 2016 World Championship, the fourth in a row, President Vladimir Putin received four players of the national team, Head Coach and Vice-President of the Russian Bandy Federation Sergey Myaus, the Russian Bandy Federation as well as Federation of International Bandy President Boris Skrynnik in The Kremlin. He talked, among other things, about the need to give more support to Russian bandy. It was the first time a head of state had accepted a meeting to talk about Russian bandy. Attending the meeting were also Minister of Sport, Tourism and Youth policy Vitaly Mutko and presidential adviser Igor Levitin. The month after, Igor Levitin held a follow-up meeting.
Russian Championship
The men's Russian professional bandy league is called the Russian Bandy Super League. The Russian Bandy Supreme League is the second tier of men's Russian bandy, below the Russian Bandy Super League.
The Russian Bandy Super League is the top tier of the Russian bandy league system. It is professional and played every year. The winner in the final becomes Russian champion. It is considered a continuation of the Soviet Union championship, which was played annually until the dissolution of the Soviet Union in 1991.
Russian Cup
The Russian Cup has been played annually (except for just some years) since 1937, originally called the Soviet Cup.
Sweden
Bandy as an organized sport was introduced to Sweden in 1895. The Swedish royal family, noblemen and diplomats were among the first players. While the original inspiration mainly came from England, there also were early exchanges with Germany and Russia. Bandy was taken up as one of the sports at the international Nordic Games held in Sweden semi-annually from 1901. Swedish championships for men have been played annually since 1907 and Sweden was the first country to have an annual bandy league.
In the 1920s students played the game, then it spread across the country and became a largely middle-class sport. The games could have attracted huge crowds of spectators. After Slottsbrons IF won the Swedish championship in 1934 it became popular amongst workers in many smaller industrial towns and villages. Where there was a bandy club the local factory corporation also usually sponsored the club to mutual benefit as a successful team led to good PR for the company. Bandy remains the main sport in many of these places.
Bandy in Sweden is famous for its "culture" where both playing bandy and being a spectator requires great fortitude and dedication. A "" is the classic accessory for spectating and is typically made of brown leather, well worn, and contains a warm drink in a thermos and/or a bottle of liquor. Bandy is most often played at outdoor arenas during winter time, so the need for spectators to carry flasks or thermoses of 'warming' liquid like glögg is a natural effect. With the sport moving indoors in later decades and the arenas urging for non-alcoholic policies for the audiences, this tradition has partly changed, though not without opposition.
A notable tradition is "annandagsbandy", bandy games played on Saint Stephen's Day, which for many Swedes is an important Christmas season tradition and always draws bigger crowds than usual. Games traditionally begin at 1:15 pm.
Swedish Championship
In Sweden, the Elitserien (literally, the "Elite League") is the highest bandy league in the country for men, while Bandyallsvenskan is the second division. The Elite League is the top tier of Swedish bandy and is fully professional. At the end of the season, a play-off is made to make out the two teams playing the final match for the Swedish Championship. The Final is played every year on the third Saturday of March. From 1991 to 2012, it was played at Studenternas Idrottsplats in Uppsala, often drawing crowds in excess of 20,000. One reason the play-off match was set in Uppsala is because of IFK Uppsala's success at the beginning of the 20th century. IFK Uppsala won 11 titles in the Swedish Championships between 1907 and 1920, which made them the most successful bandy club in the entire country (now, however, the record is held by Västerås SK). A contributing factor was also the poor quality of the ice at Söderstadion, where the finals were held from 1967 to 1989.
In 2013 and 2014 the final was played indoors in Friends Arena, the national stadium for football in Solna, Stockholm, with a retractable roof and a capacity of 50 000. The first final at Friends Arena in 2013 drew a record crowd of 38,474 when Hammarby IF Bandy, after ending up in second place in six finals during the 2000s, won their second title. Due to declining attendance from 2015 through 2017 Tele2 Arena in southern Stockholm was chosen as a new venue. However, the new indoor venue failed to attract much more than half of the total capacity. In May 2017 it was announced that the finals will again be held at Studenternas IP in Uppsala from 2018 through at least 2021.
Svenska Cupen (The Swedish Cup)
The Svenska Cupen (), Svenska Cupen i bandy, takes place exclusively in Sweden. It is a single-elimination tournament competition in Swedish bandy and the second-most prominent bandy competition which is open only to domestic Swedish teams, after the national championship. Its inaugural year was 2005. The first women's competition was played in 2019.
Switzerland
In the late 19th and early 20th century, Switzerland had become a popular place for winter vacations and people went there from all over Europe. Winter sports like skiing, sledding and bandy was played in Geneva and other towns. Students from Oxford and Cambridge went to Switzerland to play each other – the predecessor of the recurring Ice Hockey Varsity Match was a bandy match played in St. Moritz in 1885. This popularity for Swiss venues of winter sport may have been a reason, the European Championship was held there in 1913.
Bandy has mainly been played as a recreational sport in Switzerland in the 2000s and 2010s. A Swiss men's national team was finally started up in 2017 and a Swiss women's national team made its international début in the 2018 Women's Bandy World Championship.
Ukraine
Bandy was played in Ukraine when it was part of the Soviet Union. After independence in 1991, it took some years before organised bandy formed again, but Ukrainian champions have been named annually since 2012.
United Kingdom
The first recorded games of what may be considered bandy on ice took place in The Fens during the great frost of 1813–1814, although it is probable that the game had already been played there in the previous century. Bury Fen Bandy Club from Bluntisham-cum-Earith, near St Ives, was the most successful team, said to have remained unbeaten for a hundred years until the winter of 1890–1891. Charles Goodman Tebbutt of the Bury Fen Bandy Club was responsible for the first published rules of bandy in 1882, and also for introducing the game into the Netherlands and Sweden, as well as elsewhere in England where it became popular with cricket, rowing, and hockey clubs. Tebbutt's homemade bandy stick can be seen in the Norris Museum in St Ives.
The first Ice Hockey Varsity Matches between Oxford University and Cambridge University were played to bandy rules, even if it was called hockey on the ice at the time.
England won the European Bandy Championships in 1913, but that turned out to be the grand finale, and bandy is now not very well known in England. While bandy is often thought to have been a pretty popular sport in England in the decades around 1900, not much records seem to have been kept.
A statue of a bandy player, designed by Peter Baker, was erected at the village pond of Earith to commemorate the 200th anniversary of the first documented game in 2013.
In March 2004, Norwegian ex-player Edgar Malman invited two big clubs to play a rink bandy exhibition game in Streatham, London. Russian Champions and World Cup Winner Vodnik met Swedish Champions Edsbyns IF in a match that ended 10–10. In 2010 England became a Federation of International Bandy member. The national federation is based in Cambridgeshire, the historical heartland.
The England Bandy Federation, later renamed the Great Britain Bandy Association, was set up on 2 January 2017 at a meeting held in the historic old skaters public house, the Lamb and Flag in Welney in Norfolk, England, replacing the Bandy Federation of England which was founded in 2010. In September 2017, the federation decided to widen its territory to all of the United Kingdom and changed its name to Great Britain Bandy Association. Great Britain entered a national team in the 2019 World Championships Group B in January and undefeated up to the final, won the silver medal in their final match against Estonia.
In 2002, Great Britain premiered its national women's bandy team at the 2022 Women's Bandy World Championship.
United States
Bandy in its original, informal manner disappeared from the North American continent entirely once it and elements from the early game had become absorbed into a new sport of ice hockey. While ice hockey was growing and organizing in the United States, bandy was doing the same, but only in Europe and Scandinavia. It would not arrive in its organized format in the United States until the 1970s, almost a century after its initial development.
Bandy has been played in the United States since around the 1970s, after its promotion by Russians, Swedes and Finns in an exchange with softball, a sport which was promoted by Americans during the same time in the Soviet Union, Sweden and Finland. A key-person in the establishment of the sport in America was Bob Kojetin of Minnesota Softball. The sport is centered in Minnesota, with very few teams based elsewhere. The United States national bandy team has participated in the Bandy World Championships since 1985 and is also regularly playing friendly matches against Canada. The leading organization for bandy in the USA is USA Bandy. The USA has a men's national bandy team and a women's national bandy team.
The first bandy game in the USA was played in December 1979 at the Lewis Park Bandy Rink in Edina, Minnesota. It was a friendly game between the Swedish junior national team and Swedish club team Brobergs IF.
United States bandy championships have been played annually since the early 1980s, but the sport is not widely covered by American sports media. The championship trophy is called the Gunnar Cup, named after Gunnar Fast, a Swedish army captain who helped introduce bandy to the United States around 1980.
Playing surfaces
While North American ice hockey rinks can be used for playing the bandy variant of rink bandy, places where the traditional game of bandy can be played require a larger sized playing surface, a bandy field, and are almost non-existent in North America. Minnesota, USA is home to the only regulation sized bandy "rink" in North America, the Guidant John Rose Minnesota Oval, commonly referred to as, "The Oval", and is also the largest outdoor refrigerated skating rink in North America. The rink is 110,000 square feet with more than 800 tons of refrigeration and 84 miles of pipes underneath the ice. The ice can be maintained in temperatures up to 50 degrees Fahrenheit. The Oval can hold up to 300 spectators and has hosted World Cup Speedskating, the 2016 Women's Bandy World Championship, and Aggressive Skating/Biking competitions. The Oval is used mostly for inline hockey during the summer.
National bandy federations
The following associations are the governing bodies for bandy in different countries and are member organisations of the Federation of International Bandy.
Belarus – Беларуская федэрацыя хакея з мячaм (Belarusian Bandy Federation)
Canada – Canada Bandy
People's Republic of China – China Bandy Federation
Colombia – Colombia Federation of Skating Sports
Czech Republic – Czech Association of Bandy
Estonia – Eesti Jääpalliliit (Estonian Bandy Association)
Finland – Finland's Bandy Association
Germany – German Bandy Federation
Hungary – Hungarian Bandy Federation
India – Bandy Federation of India
Italy – Federazione Italiana Bandy
Japan – Japan Bandy Federation
Kazakhstan – Kazakhstan Bandy Federation
Kyrgyzstan – Bandy Federation of Kyrgyzstan
Latvia – Latvijas Bendija Federācija
Mongolia – Bandy Federation of Mongolia
Netherlands – Bandy Bond Nederland.
Norway – Norges Bandyforbund
Russia – Федерация хоккея с мячом России (Russian Bandy Federation)
Somalia – Somali National Bandy Association
Sweden – Svenska Bandyförbundet
Switzerland – Federation of Swiss Bandy
Ukraine – Українськa Федерація хокею з м'ячем та рінк-бенді (Ukrainian Bandy and Rink bandy Federation)
United Kingdom – Great Britain Bandy Association
United States – American Bandy Association
See also
Rink bandy
Bando
Rinkball
Pond hockey
Ice hockey
Ringette
Bandy World Championship
Women's Bandy World Championship
Bandy in the United States
Bandy in Norway
Bandy in India
Canada Bandy
Swedish Bandy Association
Russian Bandy Federation
References
Bibliography
The Earl of Suffolk and Berkshire Hedley Park and Aflalo, F.G. Bandy (includes definition and rules), pp. 71–72, 1897. Published by Lawrence & Bullen, Ltd., 16 Henrietta St., Covent Garden, London.
External links
– History and rules of Bandy.
Federation of International Bandy
Bandysidan links – One of the most extensive link directories about bandy
Klein, Jeff Z. "It's Not Hockey, It's Bandy", The New York Times, Friday, 29 January 2010.
Goalwire statistics for bandy
Ball games
Former Winter Olympic sports
Ice skating sports
Sports originating in England
Sports originating in Russia
Team sports
Stick sports
Variations of hockey
1875 introductions | 8 |
Backward compatibility (sometimes known as backwards compatibility) is a property of an operating system, software, real-world product, or technology that allows for interoperability with an older legacy system, or with input designed for such a system, especially in telecommunications and computing.
Modifying a system in a way that does not allow backward compatibility is sometimes called "breaking" backward compatibility. Such breaking usually incurs various types of costs, such as switching cost.
A complementary concept is forward compatibility. A design that is forward-compatible usually has a roadmap for compatibility with future standards and products.
Usage
In hardware
A simple example of both backward and forward compatibility is the introduction of FM radio in stereo. FM radio was initially mono, with only one audio channel represented by one signal. With the introduction of two-channel stereo FM radio, many listeners had only mono FM receivers. Forward compatibility for mono receivers with stereo signals was achieved by sending the sum of both left and right audio channels in one signal and the difference in another signal. That allows mono FM receivers to receive and decode the sum signal while ignoring the difference signal, which is necessary only for separating the audio channels. Stereo FM receivers can receive a mono signal and decode it without the need for a second signal, and they can separate a sum signal to left and right channels if both sum and difference signals are received. Without the requirement for backward compatibility, a simpler method could have been chosen.
Full backward compatibility is particularly important in computer instruction set architectures, one of the most successful being the x86 family of microprocessors. Their full backward compatibility spans back to the 16-bit Intel 8086/8088 processors introduced in 1978. (The 8086/8088, in turn, were designed with easy machine-translatability of programs written for its predecessor in mind, although they were not instruction-set compatible with the 8-bit Intel 8080 processor as of 1974. The Zilog Z80, however, was fully backward compatible with the Intel 8080.)
Fully backward compatible processors can process the same binary executable software instructions as their predecessors, allowing the use of a newer processor without having to acquire new applications or operating systems. Similarly, the success of the Wi-Fi digital communication standard is attributed to its broad forward and backward compatibility; it became more popular than other standards that were not backward compatible.
In software
In software development or backward compatibility is a general notion of interoperation between software pieces that will not produce any errors when its functionality is invoked via API. The software is considered stable when its API that is used to invoke functions is stable across different versions. In operating systems upgraded to a newer versions are said to be backward compatible if executable and other files from previous versions will work as usual.
In compilers backward compatibility may refer to the ability of a compiler of a newer version of the language to accept source code of programs or data that worked under the previous version.
A data format is said to be backward compatible when a newer version of program that can open it opens it without errors just like its predecessor.
Tradeoffs
Benefits
There are several incentives for a company to implement backward compatibility. Backward compatibility can be used to preserve older software that would have otherwise been lost when a manufacturer decides to stop supporting older hardware. Classic video games are a common example used when discussing the value of supporting older software. The cultural impact of video games is a large part of their continued success, and some believe ignoring backward compatibility would cause these titles to disappear. Backward compatibility also acts as a selling point for new hardware, as an existing player base can more affordably upgrade to subsequent generations of a console. This also helps to make up for lack of content at the launch of new systems, as users can pull from the previous console's library of games while developers transition to the new hardware. Moreover, studies in the mid-1990s found that even consumers who never play older games after purchasing a new system consider backward compatibility a highly desirable feature, valuing the mere ability to continue to play an existing collection of games even if they choose never to do so. Backward compatibility with the original PlayStation (PS) software discs and peripherals is considered to have been a key selling point for the PlayStation 2 (PS2) during its early months on the market.
Despite not being included at launch, Microsoft slowly incorporated backward compatibility for select titles on the Xbox One several years into its product life cycle. Players have racked up over a billion hours with backward-compatible games on Xbox, and the newest generation of consoles such as PlayStation 5 and Xbox Series X/S also support this feature. A large part of the success and implementation of this feature is that the hardware within newer generation consoles is both powerful and similar enough to legacy systems that older titles can be broken down and re-configured to run on the Xbox One. This program has proven incredibly popular with Xbox players and goes against the recent trend of studio made remasters of classic titles, creating what some believe to be an important shift in console maker's strategies.
Costs
The monetary costs of supporting old software is considered a large drawback to the usage of backward compatibility. The associated costs of backward compatibility are a larger bill of materials if hardware is required to support the legacy systems; increased complexity of the product that may lead to longer time to market, technological hindrances, and slowing innovation; and increased expectations from users in terms of compatibility. Because of this, several console manufacturers phased out backward compatibility toward the end of the console generation in order to reduce cost and briefly reinvigorate sales before the arrival of newer hardware.
It is possible to bypass some of the hardware costs. In earlier versions of the PS2, a CPU core identical to that of the PS serves a dual purpose, either as the main CPU in PS mode, or upclocking itself to offload I/O in PS2 mode. Such an approach can backfire, however, as in the case of the Super Nintendo Entertainment System (Super NES), which opted for the peculiar 65C816 over more popular 16-bit microprocessors on the basis that it would allow easy compatibility with the original NES, but NES compatibility ultimately did not prove workable once the rest of the Super NES's architecture was designed.
Backward compatibility introduces the risk that developers will favor developing games that are compatible with both the old and new systems, since this gives them a larger base of potential buyers, resulting in a dearth of software which uses the advanced features of the new system.
With the decline in physical game sales and the rise of digital storefronts and downloads, some believe backward compatibility will soon be obsolete. Many game studios are re-mastering and re-releasing their most popular titles by improving the quality of graphics and adding new content. These remasters have found success by appealing both to nostalgic players who remember enjoying the original versions, and to newcomers who may not have had the original system it was released on. For most consumers, digital remasters are more appealing than hanging on to obsolete hardware. For the manufacturers of consoles, digital re-releases of classic titles are a large benefit. It not only removes the financial drawbacks of supporting older hardware, but also shifts all of the costs of updating software to the developers. The manufacturer gets a new addition to their system with name recognition, and the studio does not have to develop a new game.
See also
References
External links
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Babrak Karmal (Dari/Pashto: , born Sultan Hussein; 6 January 1929 – 1 or 3 December 1996) was an Afghan communist revolutionary and politician who was the leader of Afghanistan, serving in the post of general secretary of the People's Democratic Party of Afghanistan from 1979 to 1986.
Born in Kabul Province into a Tajik or Pashtun family, Karmal attended Kabul University and developed openly leftist views there, having been introduced to Marxism by Mir Akbar Khyber during his imprisonment for activities deemed too radical by the government. He became a founding member of the People's Democratic Party of Afghanistan (PDPA) and eventually became the leader of the Parcham faction when the PDPA split in 1967, with their ideological nemesis being the Khalq faction. Karmal was elected to the Lower House after the 1965 parliamentary election, serving in parliament until losing his seat in the 1969 parliamentary election.
Under Karmal's leadership, the Parchamite PDPA participated in Mohammad Daoud Khan's rise to power in 1973, and his subsequent regime. While relations were good at the beginning, Daoud began a major purge of leftist influence in the mid-1970s. This in turn led to the reformation of the PDPA in 1977, and Karmal played a role in the 1978 Saur Revolution when the PDPA took power. Karmal was appointed Deputy Chairman of the Revolutionary Council, synonymous with vice head of state, in the communist government. The Parchamite faction found itself under significant pressure by the Khalqists soon after taking power. In June 1978, a PDPA Central Committee meeting voted in favor of giving the Khalqist faction exclusive control over PDPA policy. This decision was followed by a failed Parchamite coup, after which Hafizullah Amin, a Khalqist, initiated a purge against the Parchamites. Karmal survived this purge but was exiled to Prague and eventually dismissed from his post. Instead of returning to Kabul, he feared for his life and lived with his family in the forests protected by the Czechoslovak secret police StB. The Afghan secret police KHAD had allegedly sent members to Czechoslovakia to assassinate Karmal. In late 1979 he was brought to Moscow by the KGB and eventually, in December 1979, the Soviet Union intervened in Afghanistan (with the consent of Amin's government) to stabilize the country. The Soviet troops staged a coup and assassinated Amin, replacing him with Karmal.
Karmal was promoted to Chairman of the Revolutionary Council and Chairman of the Council of Ministers on 27 December 1979. He remained in the latter office until 1981, when he was succeeded by Sultan Ali Keshtmand. Throughout his term, Karmal worked to establish a support base for the PDPA by introducing several reforms. Among these were the "Fundamental Principles of the Democratic Republic of Afghanistan", introducing a general amnesty for those people imprisoned during Nur Mohammad Taraki's and Amin's rule. He also replaced the red Khalqist flag with a more traditional one. These policies failed to increase the PDPA's legitimacy in the eyes of the Afghan people and the Afghan mujahidin rebels - he was widely seen as a Soviet puppet amongst the populace. These policy failures, and the stalemate that ensued after the Soviet intervention, led the Soviet leadership to become highly critical of Karmal's leadership. Under Mikhail Gorbachev, the Soviet Union deposed Karmal in 1986 and replaced him with Mohammad Najibullah. Following his loss of power, he was again exiled, this time to Moscow. It was Anahita Ratebzad who persuaded Najibullah to allow Babrak Karmal to return to Afghanistan in 1991, where Karmal became an associate of Abdul Rashid Dostum and possibly helped remove the Najibullah government from power in 1992. He eventually left Afghanistan again for Moscow. Not long after, in 1996, Karmal died from liver cancer.
Early life and career
Karmal was born Sultan Hussein on 6 January 1929 in Kamari, a village close to Kabul. He was the son of Muhammad Hussein, a dagar jenral (lieutenant general, three-star rank) in the Afghan Army and former governor of the province of Paktia and Herat provinces, and was the first of six siblings. His family was one of the wealthier families in Kabul. His ethnic background was publicly disputed, with some sources claiming he was Pashtun and that he was Tajik. Throughout his tenure in the Afghan Parliament, Karmal strategically sowed confusion by alternately identifying himself as Pashtun and Tajik, demonstrating a deliberate avoidance of strict ethnic categorization. Karmal's ethnicity was a subject of persistent dispute, with conflicting claims made by Pashtun sympathizers and affiliates asserting that he belonged to the Mullahkhel tribe of Khost and Paktia as a Pashtun, while Tajik sympathizers and affiliates insisted that he was a Tajik with roots originating from Kashmir. It is important to note that during and after the Cold War, many English language sources tended to categorize him as a Tajik, often with the intention of discrediting him and providing a rationale for the Russians' decision to oust him from power for not being Pashtun.
He attended Nejat High School, a German-speaking school, and graduated from it in 1948, and applied to enter the Faculty of Law and Political Science of Kabul University. Karmal's application was initially denied admission to Kabul University because of his student political activist and his openly leftist views. He was always a charismatic speaker and became involved in the student union and the Wikh-i-Zalmayan (Awakened Youth Movement), a progressive and leftist organization. He studied at the College of Law and Political Science at Kabul University from 1951 to 1953. In 1953 Karmal was arrested because of his student union activities, but was released three years later in 1956 in an amnesty by Muhammad Daoud Khan. Shortly after, in 1957, Karmal found work as an English and German translator, before quitting and leaving for military training. Karmal graduated from the College of Law and Political Science in 1960, and in 1961, he found work as an employee in the Compilation and Translation Department of the Ministry of Education. From 1961 to 1963 he worked in the Ministry of Planning. When his mother died, Karmal left with his maternal aunt to live somewhere else. His father disowned him because of his leftist views. Karmal was involved in much debauchery, which was controversial in the mostly conservative Afghan society.
Communist politics
Imprisoned from 1953 to 1956, Karmal befriended fellow inmate Mir Akbar Khyber, who introduced Karmal to Marxism. Karmal changed his name from Sultan Hussein to Babrak Karmal, which means "Comrade of the Workers'" in Pashtun, to disassociate himself from his bourgeois background. When he was released from prison, he continued his activities in the student union, and began to promote Marxism. Karmal spent the rest of the 1950s and the early 1960s becoming involved with Marxist organizations, of which there were at least four in Afghanistan at the time; two of the four were established by Karmal. When the 1964 Afghan Provisional Constitution, which legalised the establishment of new political entities, was introduced several prominent Marxists agreed to establish a communist political party. The People's Democratic Party of Afghanistan (PDPA, the Communist Party) was established in January 1965 in Nur Muhammad Taraki's home. Factionalism within the PDPA quickly became a problem; the party split into the Khalq led by Taraki alongside Hafizullah Amin, and the Parcham led by Karmal.
During the 1965 parliamentary election Karmal was one of four PDPA members elected to the lower house of parliament; the three others were Anahita Ratebzad, Nur Ahmed Nur and Fezanul Haq Fezan. No Khalqists were elected; however, Amin was 50 votes short of being elected. The Parchamite victory may be explained by the simple fact that Karmal could contribute financially to the PDPA electoral campaign. Karmal became a leading figure within the student movement in the 1960s, electing Mohammad Hashim Maiwandwal as Prime Minister after a student demonstration (called for by Karmal) concluded with three deaths under the former leadership. In 1966 inside parliament, Karmal was physically assaulted by an Islamist MP, Mohammad Nabi Mohammadi.
In 1967, the PDPA unofficially split into two formal parties, one Khalqist and one Parchamist. The dissolution of the PDPA was initiated by the closing down of the Khalqist newspaper, Khalq. Karmal criticised the Khalq for being too communist, and believed that its leadership should have hidden its Marxist orientation instead of promoting it. According to the official version of events, the majority of the PDPA Central Committee rejected Karmal's criticism. The vote was a close one, and it is reported that Taraki expanded the Central Committee to win the vote; this plan resulted in eight of the new members becoming politically unaligned with and one switching to the Parchamite side. Karmal and half the PDPA Central Committee left the PDPA to establish a Parchamite-led PDPA. Officially the split was caused by ideological differences, but the party may have divided between the different leadership styles and plans of Taraki versus Karmal. Taraki wanted to model the party after Leninist norms while Karmal wanted to establish a democratic front. Other differences were socioeconomic. The majority of Khalqists came from rural areas; hence they were poorer, and were of Pashtun origin. The Parchamites were urban, richer, and spoke Dari more often than not. The Khalqists accused the Parchamites of having a connection with the monarchy, and because of it, referred to the Parchamite PDPA as the "Royal Communist Party". Both Karmal and Amin retained their seats in the lower house of parliament in the 1969 parliamentary election.
The Daoud era
Mohammed Daoud Khan, in collaboration with the Parchamite PDPA and radical military officers, overthrew the monarchy and instituted the Republic of Afghanistan in 1973. After Daoud's seizure of power, an American embassy cable stated that the new government had established a Soviet-style Central Committee, in which Karmal and Mir Akbar Khyber were given leading positions. Most ministries were given to Parchamites; Hassan Sharq became Deputy Prime Minister, Major Faiz Mohammad became Minister of Internal Affairs and Niamatullah Pazhwak became Minister of Education. The Parchamites took control over the ministries of finance, agriculture, communications and border affairs. The new government quickly suppressed the opposition, and secured their power base. At first, the National Front government between Daoud and the Parchamites seemed to work. By 1975, Daoud had strengthened his position by enhancing the executive, legislative and judicial powers of the Presidency. To the dismay of the Parchamites, all parties other than the National Revolutionary Party (NRP, established by Daoud) were made illegal.
Shortly after the ban on opposition to the NRP, Daoud began a massive purge of Parchamites in government. Mohammad lost his position as interior minister, Abdul Qadir was demoted, and Karmal was put under government surveillance. To mitigate Daoud's suddenly anti-communist directives, the Soviet Union reestablished the PDPA; Taraki was elected its General Secretary and Karmal, Second Secretary. While the Saur Revolution (literally the April Revolution) was planned for August, the assassination of Khyber led to a chain of events which ended with the communists seizing power. Karmal, when taking power in 1979, accused Amin of ordering the assassination of Khyber.
Taraki–Amin rule
Taraki was appointed Chairman of the Presidium of the Revolutionary Council and Chairman of the Council of Ministers, retaining his post as PDPA general secretary. Taraki initially formed a government which consisted of both Khalqists and Parchamites; Karmal became Deputy Chairman of the Revolutionary Council, while Amin became Minister of Foreign Affairs and Deputy Chairman of the Council of Ministers.Mohammad Aslam Watanjar became Deputy Chairman of the Council of Ministers. The two Parchamites Abdul Qadir and Mohammad Rafi, became Minister of Defence and Minister of Public Works, respectively. The appointment of Amin, Karmal and Watanjar led to splits within the Council of Ministers: the Khalqists answered to Amin; Karmal led the civilian Parchamites; and the military officers (who were Parchamites) were answerable to Watanjar (a Khalqist). The first conflict arose when the Khalqists wanted to give PDPA Central Committee membership to military officers who had participated in the Saur Revolution; Karmal opposed such a move but was overruled. A PDPA Politburo meeting voted in favour of giving Central Committee membership to the officers.
On 27 June, three months after the Saur Revolution, Amin outmaneuvered the Parchamites at a Central Committee meeting, giving the Khalqists exclusive right over formulating and deciding policy. A purge against the Parchamites was initiated by Amin and supported by Taraki on 1 July 1979. Karmal, fearing for his safety, went into hiding in one of his Soviet friends' homes. Karmal tried to contact Alexander Puzanov, the Soviet ambassador to Afghanistan, to talk about the situation. Puzanov refused, and revealed Karmal's location to Amin. The Soviets probably saved Karmal's life by sending him to the Socialist Republic of Czechoslovakia. In exile, Karmal established a network with the remaining Parchamites in government. A coup to overthrow Amin was planned for 4 September 1979. Its leading members in Afghanistan were Qadir and the Army Chief of Staff General Shahpur Ahmedzai. The coup was planned for the Festival of Eid, in anticipation of relaxed military vigilance. The conspiracy failed when the Afghan ambassador to India told the Afghan leadership about the plan. Another purge was initiated, and Parchamite ambassadors were recalled. Few returned to Afghanistan; Karmal and Mohammad Najibullah stayed in their respective countries. The Soviets decided that Amin should be removed to make way for a Karmal-Taraki coalition government. However Amin managed to order the arrest and later the murder of Taraki.
Amin was informed of the Soviet decision to intervene in Afghanistan and was initially supportive, but was assassinated. Under the command of the Soviets, Karmal ascended to power. On 27 December 1979, Karmal's pre-recorded speech to the Afghan people was broadcast via Radio Kabul from Tashkent in the Uzbek SSR (the radio wavelength was changed to that of Kabul), saying: "Today the torture machine of Amin has been smashed, his accomplices – the primitive executioners, usurpers and murderers of tens of thousand of our fellow countrymen – fathers, mothers, sisters, brothers, sons and daughters, children and old people ..." Karmal was not in Kabul when the speech was broadcast; he was in Bagram, protected by the KGB.
That evening Yuri Andropov, the KGB Chairman, congratulated Karmal on his rise to the Chairmanship of the Presidium of the Revolutionary Council, some time before Karmal received an official appointment. Karmal returned to Kabul on 28 December. He travelled alongside a Soviet military column. For the next few days Karmal lived in a villa on the outskirts of Kabul under the protection of the KGB. On 1 January 1980 Leonid Brezhnev, the General Secretary of the Central Committee of the Communist Party of the Soviet Union, and Alexei Kosygin, the Soviet Chairman of the Council of Ministers, congratulated Karmal on his "election" as leader.
Leadership
Domestic policies
Karmal's ascension was quickly troubled as he was effectively installed by the invading Soviet Union, delegitimizing him. Unrest in the country quickly escalated, and in Kabul two major uprisings, on 3 Hoot (22 February) and the months long students' protests were early signs of trouble. Karmal would also arrest Major Saddiq Alamyar in 1980, the commander of the 444th Commando Battalion, who committed the Kerala massacre while Afghanistan was still under the leadership of the Khalq. Other perpetrators were also arrested, such as other commandos and soldiers in the 11th Division of the Afghan Army. Alamyar remained in jail for a decade, even after Karmal was removed from his post as president.
The "Fundamental Principles" and amnesty
When he came to power, Karmal promised an end to executions, the establishment of democratic institutions and free elections, the creation of a constitution, and legalization of alternative political parties. Prisoners incarcerated under the two previous governments would be freed in a general amnesty (which occurred on 6 January). He promised the creation of a coalition government which would not espouse socialism. At the same time, he told the Afghan people that he had negotiated with the Soviet Union to give economic, military and political assistance. The mistrust most Afghans felt towards the government was a problem for Karmal. Many still remembered he had said he would protect private capital in 1978—a promise later proven to be a lie.
Karmal's three most important promises were the general amnesty of prisoners, the promulgation of the Fundamental Principles of the Democratic Republic of Afghanistan and the adoption of a new flag containing the traditional black, red and green (the flag of Taraki and Amin was red). His government granted concessions to religious leaders and the restoration of confiscated property. Some property, which was confiscated during earlier land reforms, was also partially restored. All these measures, with the exception of the general amnesty of prisoners, were introduced gradually. Of 2,700 prisoners, 2,600 were released from prison; 600 of these were Parchamites. The general amnesty was greatly publicized by the government. While the event was hailed with enthusiasm by some, many others greeted the event with disdain, since their loved ones or associates had died during earlier purges. Amin had planned to introduce a general amnesty on 1 January 1980, to coincide with the PDPA's sixteenth anniversary.
Work on the Fundamental Principles had started under Amin: it guaranteed democratic rights such as freedom of speech, the right to security and life, the right to peaceful association, the right to demonstrate and the right that "no one would be accused of crime but in accord with the provisions of law" and that the accused had the right to a fair trial. The Fundamental Principles envisaged a democratic state led by the PDPA, the only party then permitted by law. The Revolutionary Council, the organ of supreme power, would convene twice every year. The Revolutionary Council in turn elected a Presidium which would take decisions on behalf of the Revolutionary Council when it was not in session. The Presidium consisted mostly of PDPA Politburo members. The state would safeguard three kinds of property: state, cooperative and private property. The Fundamental Principles said that the state had the right to change the Afghan economy from an economy where man was exploited to an economy where man was free. Another clause stated that the state had the right to take "families, both parents and children, under its supervision." While it looked democratic at the outset, the Fundamental Principles was based on contradictions.
The Fundamental Principles led to the establishment of two important state organs: the Special Revolutionary Court, a specialized court for crimes against national security and territorial integrity, and the Institute for Legal and Scientific Research and Legislative Affairs, the supreme legislative organ of state, This body could amend and draft laws, and introduce regulations and decrees on behalf of the government. The introduction of more Soviet-style institutions led the Afghan people to distrust the communist government even more.
The Fundamental Principles constitution came into power on 22 April 1980.
Dividing power: Khalq–Parcham
With Karmal's ascension to power, Parchamites began to "settle old scores". Revolutionary Troikas were created to arrest, sentence and execute people. Amin's guard were the first victims of the terror which ensued. Those commanders who had stayed loyal to Amin were arrested, filling the prisons. The Soviets protested, and Karmal replied, "As long as you keep my hands bound and do not let me deal with the Khalq faction there will be no unity in the PDPA and the government cannot become strong ... They tortured and killed us. They still hate us! They are the enemies of the party ..." Amin's daughter, along with her baby, was imprisoned for twelve years, until Mohammad Najibullah, then leader of the PDPA, released her. When Karmal took power, leading posts in the Party and Government bureaucracy were taken over by Parchamites. The Khalq faction was removed from power, and only technocrats, opportunists and individuals which the Soviets trusted would be appointed to the higher echelons of government. Khalqists remained in control of the Ministry of Interior, but Parchamites were given control over KHAD and the secret police. The Parchamites and the Khalqists controlled an equal share of the military. Two out of Karmal's three Council of Ministers deputy chairmen were Khalqists. Khalqists controlled the Ministry of Communications and the interior ministry. Parchamites, on the other hand, controlled the Ministry of Foreign Affairs and the Ministry of Defence. In addition to the changes in government, the Parchamites held clear majority in the PDPA Central Committee. Only one Khalqi, Saleh Mohammad Zeary, was a member of the PDPA Secretariat during Karmal's rule.
Over 14 and 15 March 1982 the PDPA held a party conference at the Kabul Polytechnic Institute instead of a party congress, since a party congress would have given the Khalq faction a majority and could have led to a Khalqist takeover of the PDPA. The rules of holding a party conference were different, and the Parchamites had a three-fifths majority. This infuriated several Khalqists; the threat of expulsion did not lessen their anger. The conference was not successful, but it was portrayed as such by the official media. The conference broke up after one and a half days of a 3-day long program, because of the inter-party struggle for power between the Khalqists and the Parchamites. A "program of action" was introduced, and party rules were given minor changes. As an explanation of the low party membership, the official media also made it seem hard to become a member of the party.
PDPA base
When Karmal took power, he began expanding the support base of the PDPA. Karmal tried to persuade certain groups, which had been referred to class enemies of the revolution during Taraki and Amin's rule, to support the PDPA. Karmal appointed several non-communists to top positions. Between March and May 1980, 78 out of the 191 people appointed to government posts were not members of the PDPA. Karmal reintroduced the old Afghan custom of having an Islamic invocation every time the government issued a proclamation. In his first live speech to the Afghan people, Karmal called for the establishment of the National Fatherland Front (NFF); the NFF's founding congress was held in June 1981. Unfortunately for Karmal, his policies did not lead to a notable increase in support for his regime, and it did not help Karmal that most Afghans saw the Soviet intervention as an invasion.
By 1981, the government gave up on political solutions to the conflict. At the fifth PDPA Central Committee plenum in June, Karmal resigned from his Council of Ministers chairmanship and was replaced by Sultan Ali Keshtmand, while Nur Ahmad Nur was given a bigger role in the Revolutionary Council. This was seen as "base broadening". The previous weight given to non-PDPA members in top positions ceased to be an important matter in the media by June 1981. This was significant, considering that up to five members of the Revolutionary Council were non-PDPA members. By the end of 1981, the previous contenders, who had been heavily presented in the media, were all gone; two were given ambassadorships, two ceased to be active in politics, and one continued as an advisor to the government. The other three changed sides, and began to work for the opposition.
The national policy of reconciliation continued: in January 1984 the land reform introduced by Taraki and Amin was drastically modified, the limits of landholdings were increased to win the support of middle class peasants, the literacy programme was continued, and concessions to women were made. In 1985 the Loya Jirga was reconvened. The 1985 Loya Jirga was followed by a tribal jirga in September. In 1986 Abdul Rahim Hatef, a non-PDPA member, was elected to the NFF chairmanship. During the 1985–86 elections it was said that 60 percent of the elected officials were non-PDPA members. By the end of Karmal's rule, several non-PDPA members had high-level government positions.
Civil war and military
In March 1979, the military budget was 6.4 million US$, which was 8.3 percent of the government budget, but only 2.2 of gross national product. After the Soviet intervention, the defence budget increased to 208 million US$ in 1980, and 325 million US$ by 1981. In 1982 it was reported that the government spent around 22 percent of total expenditure.
When the political solution failed (see "PDPA base" section), the Afghan government and the Soviet military decided to solve the conflict militarily. The change from a political to a military solution did not come suddenly. It began in January 1981, as Karmal doubled wages for military personnel, issued several promotions, and decorated one general and thirteen colonels. The draft age was lowered, the obligatory length of arms duty was extended and the age for reservists was increased to thirty-five years of age. In June 1981, Assadullah Sarwari lost his seat in the PDPA Politburo, replaced by Mohammad Aslam Watanjar, a former tank commander and Minister of Communications, Major General Mohammad Rafi was made Minister of Defence and Mohammad Najibullah appointed KHAD Chairman.
These measures were introduced due to the collapse of the army during the Soviet intervention. Before the intervention the army could field 100,000 troops, after the intervention only 25,000. Desertions were pandemic, and the recruitment campaigns for young people often drove them to the opposition. To better organize the military, seven military zones were established, each with its own Defence Council. The Defence Councils were established at the national, provincial and district level to empower the local PDPA. It is estimated that the Afghan government spent as much as 40 percent of government revenue on defense.
Karmal refused to recognize the rebels as genuine, saying in an interview:
Economy
During the civil war and the ensuing Soviet–Afghan War, most of the country's infrastructure was destroyed. Normal patterns of economic activity were disrupted. The Gross national product (GNP) fell substantially during Karmal's rule because of the conflict; trade and transport was disrupted with loss of labor and capital. In 1981 the Afghan GDP stood at 154.3 billion Afghan afghanis, a drop from 159.7 billion in 1978. GNP per capita decreased from 7,370 in 1978 to 6,852 in 1981. The dominant form of economic activity was in the agricultural sector. Agriculture accounted for 63 percent of gross domestic product (GDP) in 1981; 56 percent of the labor force was working in agriculture in 1982. Industry accounted for 21 percent of GDP in 1982, and employed 10 percent of the labor force. All industrial enterprises were government-owned. The service sector, the smallest of the three, accounted for 10 percent of GDP in 1981, and employed an estimated one-third of the labour force. The balance of payments, which had grown in the pre-communist administration of Muhammad Daoud Khan, decreased, turning negative by 1982 at 70.3 million $US. The only economic activity which grew substantially during Karmal's rule was export and import.
Foreign policy
Karmal observed in early 1983 that without Soviet intervention, "It is unknown what the destiny of the Afghan Revolution would be ... We are realists and we clearly realize that in store for us yet lie trials and deprivations, losses and difficulties." Two weeks before this statement Sultan Ali Keshtmand, the Chairman of the Council of Ministers, lamented the fact that half the schools and three-quarters of communications had been destroyed since 1979. The Soviet Union rejected several Western-made peace plans, such as the Carrington Plan, since they did not take into consideration the PDPA government. Most Western peace plans had been made in collaboration with the Afghan opposition forces. At the 26th Congress of the Communist Party of the Soviet Union (CPSU) Leonid Brezhnev, the General Secretary of the CPSU Central Committee, stated;
The stance of the Pakistani government was clear, demanding complete Soviet withdrawal from Afghanistan and the establishment of a non-PDPA government. Karmal, summarizing his discussions with Iran and Pakistan, said "Iran and Pakistan have so far not opted for concrete and constructive positions." During Karmal's rule Afghan–Pakistani relations remained hostile; the Soviet intervention in Afghanistan was the catalyst for the hostile relationship. The increasing numbers of Afghan refugees in Pakistan challenged the PDPA's legitimacy to rule.
The Soviet Union threatened in 1985 that it would support the Baloch separatist movement in Pakistan if the Pakistani government continued to aid the Afghan mujahideen. Karmal, problematically for the Soviets, did not want a Soviet withdrawal, and he hampered attempts to improve relations with Pakistan since the Pakistani government had refused to recognise the PDPA government.
Public image
Because Karmal was put into power without a formal ceremony as in Afghan tradition, he was seen as an illegitimate leader in many eyes of his people. A poor performance in foreign interviews also didn't help his public image where he was noted to speak like an "exhibitionist" rather than a statesman. Karmal was widely viewed as a puppet leader of the Soviet Union by Afghans and the Western press.
Despite his position, Karmal was apparently not permitted to make key decisions as he was following advice from Soviet advisers. The Soviet control of the Afghan state was apparently so much that Karmal himself admitted to a friend of his unfree life, telling him: “The Soviet comrades love me boundlessly, and for the sake of my personal safety, they don’t obey even my own orders.”
Fall from power and succession
Mikhail Gorbachev, then General Secretary of the Central Committee of the Communist Party of the Soviet Union, said, "The main reason that there has been no national consolidation so far is that Comrade Karmal is hoping to continue sitting in Kabul with our help." Karmal's position became less secure when the Soviet leadership began blaming him for the failures in Afghanistan. Gorbachev, worried over the situation, told the Soviet Politburo "If we don't change approaches [to evacuate Afghanistan], we will be fighting there for another 20 or 30 years." It is not clear when the Soviet leadership began to campaign for Karmal's dismissal, but Andrei Gromyko discussed the possibility of Karmal's resignation with Javier Pérez de Cuéllar, the Secretary-General of the United Nations in 1982. While it was Gorbachev who would dismiss Karmal, there may have been a consensus within the Soviet leadership in 1983 that Karmal should resign. Gorbachev's own plan was to replace Karmal with Mohammad Najibullah, who had joined the PDPA at its creation. Najibullah was thought highly of by Yuri Andropov, Boris Ponomarev and Dmitriy Ustinov, and negotiations for his succession may have started in 1983. Najibullah was not the Soviet leadership's only choice for Karmal's succession; a GRU report noted that the majority of the PDPA leadership would support Assadullah Sarwari's ascension to leadership. According to the GRU, Sarwari was a better candidate as he could balance between the Pashtuns, Tajiks and Uzbeks; Najibullah was a Pashtun nationalist. Another viable candidate was Abdul Qadir, who had been a participant in the Saur Revolution.
Najibullah was appointed to the PDPA Secretariat in November 1985. During Karmal's March 1986 visit to the Soviet Union, the Soviets tried to persuade Karmal that he was too ill to govern, and that he should resign. This backfired, as a Soviet doctor attending to Karmal told him he was in good health. Karmal asked to return home to Kabul, and said that he understood and would listen to the Soviet recommendations. Before leaving, Karmal promised he would step down as PDPA General Secretary. The Soviets did not trust him and sent Vladimir Kryuchkov, the head of intelligence (FCD) in the KGB, into Afghanistan. At a meeting in Kabul, Karmal confessed his undying love for the Soviet Union, comparing his ardor to his Muslim faith. Kryuchkov, concluding that he could not persuade Karmal to resign, left the meeting. After Kryuchkov left the room, the Afghan defence minister and the state security minister visited Karmal's office, telling him that he had to resign from one of his posts. Understanding that his Soviet support had been eliminated, Karmal resigned from the office of the General Secretary at the 18th PDPA Central Committee plenum. He was succeeded in his post by Najibullah.
Karmal still had support within the party, and used his base to curb Najibullah's powers. He began spreading rumors that he would be reappointed General Secretary. Najibullah's power base was in the KHAD, the Afghan equivalent to the KGB, and not the party. Considering the fact that the Soviet Union had supported Karmal for over six years, the Soviet leadership wanted to ease him out of power gradually. Yuli Vorontsov, the Soviet ambassador to Afghanistan, told Najibullah to begin undermining Karmal's power slowly. Najibullah complained to the Soviet leadership that Karmal used most of his spare time looking for errors and "speaking against the National Reconciliation programme". At a meeting of the Soviet Politburo on 13 November 1986 it was decided that Najibullah should remove Karmal; this motion was supported by Gromyko, Vorontsov, Eduard Shevardnadze, Anatoly Dobrynin and Viktor Chebrikov. A PDPA meeting in November relieved Karmal of his Revolutionary Council chairmanship, and exiled him to Moscow where he was given a state-owned apartment and a dacha. Karmal was succeeded as Revolutionary Council chairman by Haji Mohammad Tsamkani, who was not a member of the PDPA.
Later life and death
Many years after the end of his leadership, he denounced the Saur Revolution of 1978 in which he took part, taking aim at the Khalq governments of Taraki and Amin. He told a Soviet reporter:
It was the greatest crime against the people of Afghanistan. Parcham's leaders were against armed actions because the country was not ready for a revolution... I knew that people would not support us if we decided to keep power without such support.
For unknown reasons, Karmal was invited back to Kabul by Najibullah, and "for equally obscure reasons Karmal accepted", returning on 20 June 1991. (this could have been on the recommendation of Anahita Ratebzad who was very close to Karmal and also respected by Najibullah). If Najibullah's plan was to strengthen his position within the Watan Party (the renamed PDPA) by appeasing the pro-Karmal Parchamites, he failed – Karmal's apartment became a center for opposition to Najibullah's government. When Najibullah was toppled in 1992, Karmal became the most powerful politician in Kabul through leadership of the Parcham. However, his negotiations with the rebels collapsed quickly, and on 16 April 1992 the rebels, led by Gulbuddin Hekmatyar, took Kabul. After the fall of Najibullah's government, Karmal was based in Hairatan. There, it is alleged, Karmal used most of his time either trying to establish a new party, or advising people to join the secular National Islamic Movement (Junbish-i-Milli). Abdul Rashid Dostum, the leader of Junbish-i-Milli, was a supporter of Karmal during his rule. It is unknown how much control Karmal had over Dostum, but there is little evidence that Karmal was in any commanding position. Karmal's influence over Dostum appeared indirect – some of his former associates supported Dostum. Those who spoke with Karmal during this period noted his lack of interest in politics. In June 1992 it was reported that he had died in a plane crash along with Dostum, although these reports later proved to be false.
In early December 1996, Karmal died in Moscow's Central Clinical Hospital from liver cancer. The date of his death was reported by some sources as 1 December and by others as 3 December. The Taliban summed up his rule as follows:
[he] committed all kinds of crimes during his illegitimate rule ... God inflicted on him various kinds of hardship and pain. Eventually he died of cancer in a hospital belonging to his paymasters, the Russians.
Notes
References
Bibliography
External links
Biography of President Babrak Karmal
1929 births
1996 deaths
20th-century heads of state of Afghanistan
Afghan atheists
Presidents of Afghanistan
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People's Democratic Party of Afghanistan politicians
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Prisoners and detainees of Afghanistan
Afghan emigrants
Immigrants to the Soviet Union
Collaborators with the Soviet Union
Afghan emigrants to Russia
People granted political asylum in the Soviet Union
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Afghan revolutionaries | 6 |
Buddhist philosophy is the ancient Indian philosophical system that developed within the religio-philosophical tradition of Buddhism. It comprises all the philosophical investigations and systems of rational inquiry that developed among various schools of Buddhism in ancient India following the parinirvāṇa of Gautama Buddha (c. 5th century BCE), as well as the further developments which followed the spread of Buddhism throughout Asia.
Buddhism combines both philosophical reasoning and the practice of meditation. The Buddhist religion presents a multitude of Buddhist paths to liberation; with the expansion of early Buddhism from ancient India to Sri Lanka and subsequently to East Asia and Southeast Asia, Buddhist thinkers have covered topics as varied as cosmology, ethics, epistemology, logic, metaphysics, ontology, phenomenology, the philosophy of mind, the philosophy of time, and soteriology in their analysis of these paths.
Pre-sectarian Buddhism was based on empirical evidence gained by the sense organs (including the mind), and the Buddha seems to have retained a skeptical distance from certain metaphysical questions, refusing to answer them because they were not conducive to liberation but led instead to further speculation. However he also affirmed theories with metaphysical implications, such as dependent arising, karma, and rebirth.
Particular points of Buddhist philosophy have often been the subject of disputes between different schools of Buddhism, as well as between representative thinkers of Buddhist schools and Hindu or Jaina philosophers. These elaborations and disputes gave rise to various schools in early Buddhism of Abhidharma, and to the Mahāyāna traditions such as Prajñāpāramitā, Mādhyamaka, Sautrāntika, Buddha-nature, and Yogācāra. One recurrent theme in Buddhist philosophy has been the desire to find a Middle Way between philosophical views seen as extreme.
Historical phases of Buddhist philosophy
Edward Conze splits the development of Indian Buddhist philosophy into three phases:
The phase of the pre-sectarian Buddhist doctrines derived from oral traditions that originated during the life of Gautama Buddha, and are common to all later schools of Buddhism.
The second phase concerns non-Mahāyāna "scholastic" Buddhism, as evident in the Abhidharma texts beginning in the 3rd century BCE, that feature scholastic reworking and schematic classification of material in the early Buddhist texts. The Abhidhamma philosophy of the Theravada school belongs to this phase.
The third phase concerns Mahāyāna Buddhism, beginning in the late first century CE. This movement emphasizes the path of a bodhisattva and includes various schools of thought, such as Prajñāpāramitā, Mādhyamaka, Sautrāntika, Buddha-nature, and Yogācāra.
Various elements of these three phases are incorporated and/or further developed in the philosophy and worldview of the various sects of Buddhism that then emerged.
Philosophical orientation
Philosophy in ancient India was aimed mainly at spiritual liberation and had soteriological goals. In his study of the Mādhyamaka and Sautrāntika schools of Buddhist philosophy in ancient India, Peter Deller Santina writes:
For the Indian Buddhist philosophers, the teachings of Gautama Buddha were not meant to be taken on faith alone, but to be confirmed by logical analysis and inquiry (pramāṇa) of the world. The early Buddhist texts mention that a person becomes a follower of the Buddha's teachings after having pondered them over with wisdom and the gradual training also requires that a disciple "investigate" (upaparikkhati) and "scrutinize" (tuleti) the teachings. The Buddha also expected his disciples to approach him as a teacher in a critical fashion and scrutinize his actions and words, as shown in the Vīmaṃsaka Sutta.
The Buddha and early Buddhism
The Buddha
Scholarly opinion varies as to whether Gautama Buddha himself was engaged in philosophical inquiry. Siddartha Gautama (c. 5th century BCE) was a north Indian Śramaṇa (wandering ascetic), whose teachings are preserved in the Pāli Nikayas and in the Āgamas as well as in other surviving fragmentary textual collections, collectively known as the early Buddhist texts. Dating these texts is difficult, and there is disagreement on how much of this material goes back to a single religious founder. While the focus of the Buddha's teachings is about attaining the highest good of nirvāṇa, they also contain an analysis of the source of human suffering (duḥkha), the nature of personal identity (ātman), and the process of acquiring knowledge (prajña) about the world.
The Middle Way
The Buddha defined his teaching as "the Middle Way" (Pāli: majjhimāpaṭipadā). In the Dharmacakrapravartana Sūtra, this is used to refer to the fact that his teachings steer a middle course between the extremes of asceticism and bodily denial (as practiced by the Jains and other Indian ascetic groups) and sensual hedonism or indulgence. Many Śramaṇa ascetics of the Buddha's time placed much emphasis on a denial of the body, using practices such as fasting, to liberate the mind from the body. Gautama Buddha, however, realized that the mind was embodied and causally dependent on the body, and therefore that a malnourished body did not allow the mind to be trained and developed. Thus, Buddhism's main concern is not with luxury or poverty, but instead with the human response to circumstances.
Another related teaching of the historical Buddha is "the teaching through the middle" (majjhena dhammaṃ desana), which claims to be a metaphysical middle path between the extremes of eternalism and annihilationism, as well as the extremes of existence and non-existence. This idea would become central to later Buddhist metaphysics, as all Buddhist philosophies would claim to steer a metaphysical middle course.
Basic teachings
Apart from the middle way, certain basic teachings appear in many places throughout these early Buddhist texts, so older studies by various scholars conclude that the Buddha must at least have taught some of these key teachings:
The Four Noble Truths, which provide an analysis of the cause of suffering (duḥkha)
The Noble Eightfold Path, which illustrate the path to spiritual liberation (mokṣa)
The four dhyānas (meditations)
The three marks of existence, three characteristics which apply to all phenomena and which are: suffering (duḥkha), impermanence (anicca), and non-self (anattā)
The five aggregates of clinging (skandhā), which provide an analysis of personal identity and physical existence
Dependent origination (pratītyasamutpāda), a complex doctrine which analyzes the how living beings come to be and how they are conditioned by various psycho-physical processes
Karma and rebirth, actions which lead to a new existence after death, in an endless cycle of birth, death, and rebirth (saṃsāra)
Nirvāṇa, the ultimate soteriological goal which leads to the cessation of all suffering
According to N. Ross Reat, all of these doctrines are shared by the Pāli Canon of Theravāda Buddhism and the Śālistamba Sūtra belonging to the Mahāsāṃghika school. A recent study by Bhikkhu Analayo concludes that the Theravādin Majjhima Nikāya and the Sarvāstivādin Madhyama Āgama contain mostly the same major Buddhist doctrines. Richard G. Salomon, in his study of the Gandhāran Buddhist texts (which are the earliest manuscripts containing discourses attributed to Gautama Buddha), has confirmed that their teachings are "consistent with non-Mahayana Buddhism, which survives today in the Theravada school of Sri Lanka and Southeast Asia, but which in ancient times was represented by eighteen separate schools."
However, some scholars such as Schmithausen, Vetter, and Bronkhorst argue that critical analysis reveals discrepancies among these various doctrines. They present alternative possibilities for what was taught in earliest Buddhism and question the authenticity of certain teachings and doctrines. For example, some scholars think that the doctrine of karma was not central to the teachings of the historical Buddha, while others disagree with this position. Likewise, there is scholarly disagreement on whether insight into the true nature of reality (prajña) was seen as liberating in earliest Buddhism or whether it was a later addition. according to Vetter and Bronkhorst, dhyāna constituted the original "liberating practice", while discriminating insight into transiency as a separate path to liberation was a later development. Scholars such as Bronkhorst and Carol Anderson also think that the Four Noble Truths may not have been formulated in earliest Buddhism but as Anderson writes "emerged as a central teaching in a slightly later period that still preceded the final redactions of the various Buddhist canons."
According to some scholars, the philosophical outlook of earliest Buddhism was primarily negative, in the sense that it focused on what doctrines to reject and let go of more than on what doctrines to accept. Only knowledge that is useful in attaining liberation is valued. According to this theory, the cycle of philosophical upheavals that in part drove the diversification of Buddhism into its many schools and sects only began once Buddhists began attempting to make explicit the implicit philosophy of the Buddha and the early texts.
The Four Noble Truths and dependent causation
The Four Noble Truths or "Truths of the Noble One" are a central feature to the teachings of the historical Buddha and are put forth in the Dharmacakrapravartana Sūtra. The first truth of duḥkha, often translated as "suffering", is the inherent and eternal unsatisfactoriness of life. This unpleasantness is said to be not just physical pain and psychological distress, but also a kind of existential unease caused by the inevitable facts of our mortality and ultimately by the impermanence of all beings and phenomena.
Suffering also arises because of contact with unpleasant events, and due to not getting what one desires. The second truth is that this unease arises out of conditions, mainly craving (taṇhā) and ignorance (avidyā). The third truth is then the fact that whenever sentient beings let go of craving and remove ignorance through insight and knowledge, suffering ceases (nirodhā). The fourth truth is the Noble Eightfold Path, which consists of eight practices that end suffering. They are: right view, right intention, right speech, right action, right livelihood, right effort, right mindfulness, and right samādhi (concentration, mental unification, meditation). The highest good and ultimate goal taught by the historical Buddha, which is the attainment of nirvāṇa, literally means "extinguishing" and signified "the complete extinguishing of greed, hatred, and delusion (i.e. ignorance), the forces which power saṃsāra".
Nirvāṇa also means that after an enlightened being's death, there is no further rebirth. In earliest Buddhism, the concept of dependent origination (pratītya-samutpāda) was most likely limited to processes of mental conditioning and not to all physical phenomena. Gautama Buddha understood the world in procedural terms, not in terms of things or substances. His theory posits a flux of events arising under certain conditions which are interconnected and dependent, such that the processes in question at no time are considered to be static or independent. Craving (taṇhā), for example, is always dependent on, and caused by sensations gained by the sense organs (āyatana). Sensations are always dependent on contact with our surroundings. Buddha's causal theory is simply descriptive: "This existing, that exists; this arising, that arises; this not existing, that does not exist; this ceasing, that ceases." This understanding of causation as "impersonal lawlike causal ordering" is important because it shows how the processes that give rise to suffering work, and also how they can be reversed.
The removal of suffering that stemmed from ignorance (avidyā), then, requires a deep understanding of the nature of reality (prajña). While philosophical analysis of arguments and concepts is clearly necessary to develop this understanding, it is not enough to remove our unskillful mental habits and deeply ingrained prejudices, which require meditation, paired with understanding. According to the Buddha's teachings as recorded in the Gandhāran Buddhist texts, we need to train the mind in meditation to be able to truly comprehend the nature of reality, which is said to have the Three marks of existence: suffering, impermanence, and non-self (anātman). Understanding and meditation are said to work together to clearly see (vipassanā) the nature of human experience and this is said to lead to liberation.
Non-self
Gautama Buddha argued that compounded entities and sentient beings lacked essence, correspondingly the self is without essence (anātman). This means there is no part of a person which is unchanging and essential for continuity, and it means that there is no individual "part of the person that accounts for the identity of that person over time". This is in opposition to the Upanishadic concept of an unchanging ultimate self (ātman) and any view of an eternal soul. The Buddha held that attachment to the appearance of a permanent self in this world of change is the cause of suffering (duḥkha), and the main obstacle to the attainment of spiritual liberation (mokṣa).
The most widely used argument that the Buddha employed against the idea of an unchanging ego is an empiricist one, based on the observation of the five aggregates of existence (skandhā) that constitute a sentient being, and the fact that these are always changing. This argument can be put in this way:
All psycho-physical processes (skandhā) are impermanent.
If there were a self it would be permanent.
IP [There is no more to the person than the five aggregates of existence.]
∴ There is no self.
This argument requires the implied premise that the five aggregates are an exhaustive account of what makes up a person, or else the self could exist outside of these aggregates. This premise is affirmed in other Buddhist texts, such as Saṃyutta Nikāya 22.47, which states: "whatever ascetics and brahmins regard various kinds of things as self, all regard the five grasping aggregates, or one of them."
This argument is famously expounded in the Anātmalakṣaṇa Sūtra. According to this text, the apparently fixed self is merely the result of identification with the temporary aggregates of existence (skandhā), the changing processes making up an individual human being. In this view, a 'person' is only a convenient nominal designation on a certain grouping of processes and characteristics, and an 'individual' is a conceptual construction overlaid upon a stream of experiences, just like a chariot is merely a conventional designation for the parts of a chariot and how they are put together. The foundation of this argument is purely empiricist, for it is based on the fact that all we observe is subject to change, especially everything observed when looking inwardly in meditation.
Another argument supporting the doctrine of non-self, the "argument from lack of control", is based on the fact that we often seek to change certain parts of ourselves, that the "executive function" of the mind is that which finds certain things unsatisfactory and attempts to alter them. Furthermore, it is also based on the "anti-reflexivity principle" of Indian philosophy, which states an entity cannot operate on or control itself (a knife can cut other things but not itself, a finger can point at other things but not at itself, etc.). This means then, that the self could never desire to change itself and could not do so; another reason for this is that, besides Buddhism, in the orthodox schools of Hindu philosophy the unchanging ultimate self (ātman) is perfectly blissful and does not suffer. The historical Buddha used this idea to attack the concept of self. This argument could be structured thus:
If the self existed it would be the part of the person that performs the executive function, the "controller."
The self could never desire that it be changed (anti-reflexivity principle).
Each of the five kinds of psycho-physical processes (skandhā) is such that one can desire that it be changed.
IP [There is no more to the person than the five aggregates of existence.]
∴ There is no self.
This argument then denies that there is one permanent "controller" in the person. Instead, it views the person as a set of constantly changing processes which include volitional events seeking change and an awareness of that desire for change. According to Mark Siderits:"What the Buddhist has in mind is that on one occasion one part of the person might perform the executive function, on another occasion another part might do so. This would make it possible for every part to be subject to control without there being any part that always fills the role of the controller (and so is the self). On some occasions, a given part might fall on the controller side, while on other occasions it might fall on the side of the controlled. This would explain how it's possible for us to seek to change any of the skandhas while there is nothing more to us than just those skandhas."As noted by K.R. Norman and Richard Gombrich, the Buddha extended his non-self critique to the Brahmanical belief expounded in the Brihadaranyaka Upanishad that the unchanging ultimate self (ātman) was indeed the whole world, or identical with Brahman. This concept is illustrated in the Alagaddupama Sūtra, where the Buddha argues that an individual cannot experience the suffering of the entire world. He used the example of someone carrying off and burning grass and sticks from the Jeta grove and how a monk would not sense or consider themselves harmed by that action. In this example, the Buddha is arguing that we do not have direct experience of the entire world, and hence the self cannot be the whole world. In this Buddhist text, as well as in the Soattā Sūtra, the Buddha outlines six wrong views about self:
"There are six wrong views: An unwise, untrained person may think of the body, 'This is mine, this is me, this is my self'; he may think that of feelings; of perceptions; of volitions; or of what has been seen, heard, thought, cognized, reached, sought or considered by the mind. The sixth is to identify the world and self, to believe: 'At death, I shall become permanent, eternal, unchanging, and so remain forever the same; and that is mine, that is me, that is my self.' A wise and well-trained person sees that all these positions are wrong, and so he is not worried about something that does not exist."
Furthermore, Gautama Buddha argued that the world can be observed to be a cause of suffering (Brahman was held to be ultimately blissful in the orthodox schools of Hindu philosophy) and that since we cannot control the world as we wish, the world cannot be the self. The idea that "this cosmos is the self" is one of the six wrong views rejected by the historical Buddha, along with the related monistic Hindu theology which held that "everything is a Oneness" (SN 12.48 Lokayatika Sutta). The historical Buddha also held that understanding and seeing the truth of non-self led to un-attachment, and hence to the cessation of suffering, while ignorance (avidyā) about the true nature of personality (prajña) led to further suffering and attachment.
Epistemology
All schools of Indian philosophy recognize various sets of valid justifications for knowledge (pramāṇa) and many see the Vedas as providing access to truth. The historical Buddha denied the authority of the Vedas, though, like his contemporaries, he affirmed the soteriological importance of holding the right view; that is, having a proper understanding of reality. However, this understanding was not conceived primarily as metaphysical and cosmological knowledge, but as a piece of knowledge into the arising and cessation of suffering in human experience. Therefore, the Buddha's epistemic project is different from that of modern philosophy; it is primarily a solution to the fundamental human spiritual/existential problem.
Gautama Buddha's logico-epistemology has been compared to empiricism, in the sense that it was based on the experience of the world through the senses. The Buddha taught that empirical observation through the six sense fields (āyatanā) was the proper way of verifying any knowledge claims. Some Buddhist texts go further, stating that "the All", or everything that exists (sabbam), are these six sense spheres (SN 35.23, Sabba Sutta) and that anyone who attempts to describe another "All" will be unable to do so because "it lies beyond range". This text seems to indicate that for the Buddha, things in themselves or noumena are beyond our epistemological reach (avisaya).
Furthermore, in the Kālāma Sutta the Buddha tells a group of confused villagers that the only proper reason for one's beliefs is verification in one's own personal experience (and the experience of the wise) and denies any verification which stems from a personal authority, sacred tradition (anussava), or any kind of rationalism which constructs metaphysical theories (takka). In the Tevijja Sutta (DN 13), the Buddha rejects the personal authority of Brahmins because none of them can prove they have had personal experience of Brahman, nor could any of them prove its existence. The Buddha also stressed that experience is the only criterion for verification of the truth in this passage from the Majjhima Nikāya (MN.I.265):
"Monks, do you only speak that which is known by yourselves seen by yourselves, found by yourselves?"
"Yes, we do, sir."
"Good, monks, That is how you have been instructed by me in this timeless doctrine which can be realized and verified, that leads to the goal and can be understood by those who are intelligent."
Furthermore, the Buddha's standard for personal verification was a pragmatic and salvific one, for the Buddha a belief counts as truth only if it leads to successful Buddhist practice (and hence, to the destruction of craving). In the "Discourse to Prince Abhaya" (MN.I.392–4) the Buddha states this pragmatic maxim by saying that a belief should only be accepted if it leads to wholesome consequences. This tendency of the Buddha to see what is true as what was useful or "what works" has been called by Western scholars such as Mrs Rhys Davids and Vallée-Poussin a form of pragmatism. However, K. N. Jayatilleke argues the Buddha's epistemology can also be taken to be a form of correspondence theory (as per the Apannaka Sutta) with elements of coherentism, and that for the Buddha it is causally impossible for something which is false to lead to cessation of suffering and evil.
Gautama Buddha discouraged his disciples and early followers of Buddhism from indulging in intellectual disputation for its own sake, which is fruitless, and distracts one from the ultimate goals of awakening (bodhi) and liberation (mokṣa). Only philosophy and discussion which has pragmatic value for liberation from suffering is seen as important. According to the Pāli Canon, during his lifetime the Buddha remained silent when asked several metaphysical questions which he regarded as the basis for "unwise reflection". These "unanswered questions" (avyākṛta) regarded issues such as whether the universe is eternal or non-eternal (or whether it is finite or infinite), the unity or separation of the body and the self (ātman), the complete inexistence of a person after death and nirvāṇa, and others. In the Aggi-Vacchagotta Sutta, the historical Buddha stated that thinking about these imponderable issues led to "a thicket of views, a wilderness of views, a contortion of views, a writhing of views, a fetter of views".
One explanation for this pragmatic suspension of judgment or epistemic Epoché is that such questions contribute nothing to the practical methods of realizing awakeness during one's lifetime and bring about the danger of substituting the experience of liberation by a conceptual understanding of the doctrine or by religious faith. According to the Buddha, the Dharma is not an ultimate end in itself or an explanation of all metaphysical reality, but a pragmatic set of teachings. The Buddha used two parables to clarify this point, the 'Parable of the raft' and the Parable of the Poisoned Arrow. The Dharma is like a raft in the sense that it is only a pragmatic tool for attaining nirvana ("for the purpose of crossing over, not for the purpose of holding onto", MN 22); once one has done this, one can discard the raft. It is also like medicine, in that the particulars of how one was injured by a poisoned arrow (i.e. metaphysics, etc.) do not matter in the act of removing and curing the arrow wound itself (removing suffering). In this sense, the Buddha was often called "the great physician" because his goal was to cure the human condition of suffering first and foremost, not to speculate about metaphysics.
Having said this, it is still clear that resisting and even refuting a false or slanted doctrine can be useful to extricate the interlocutor, or oneself, from error; hence, to advance in the way of liberation. Witness the Buddha's confutation of several doctrines by Nigantha Nataputta and other purported sages which sometimes had large followings (e.g., Kula Sutta, Sankha Sutta, Brahmana Sutta). This shows that a virtuous and appropriate use of dialectics can take place. By implication, reasoning and argument shouldn't be disparaged by Buddhists.
After the Buddha's death, some Buddhists such as Dharmakirti went on to use the sayings of the Buddha as sound evidence equal to perception and inference.
Transcendence
Another possible reason why the Buddha refused to engage in metaphysics is that he saw ultimate reality and nirvana as devoid of sensory mediation and conception and therefore language itself is a priori inadequate to explain it. Thus, the Buddha's silence does not indicate misology or disdain for philosophy. Rather, it indicates that he viewed the answers to these questions as not understandable by the unenlightened. Dependent arising provides a framework for analysis of reality that is not based on metaphysical assumptions regarding existence or non-existence, but instead on direct cognition of phenomena as they are presented to the mind in meditation.
The Buddha of the earliest Buddhists texts describes Dharma (in the sense of "truth") as "beyond reasoning" or "transcending logic", in the sense that reasoning is a subjectively introduced aspect of the way unenlightened humans perceive things, and the conceptual framework which underpins their cognitive process, rather than a feature of things as they really are. Going "beyond reasoning" means in this context penetrating the nature of reasoning from the inside, and removing the causes for experiencing any future stress as a result of it, rather than functioning outside the system as a whole.
Meta-ethics
The Buddha's ethics are based on the soteriological need to eliminate suffering and on the premise of the law of karma. Buddhist ethics have been termed eudaimonic (with their goal being well-being) and also compared to virtue ethics (this approach began with Damien Keown). Keown writes that Buddhist Nirvana is analogous to the Aristotelian Eudaimonia, and that Buddhist moral acts and virtues derive their value from how they lead us to or act as an aspect of the nirvanic life.
The Buddha outlined five precepts (no killing, stealing, sexual misconduct, lying, or drinking alcohol) which were to be followed by his disciples, lay and monastic. There are various reasons the Buddha gave as to why someone should be ethical.
First, the universe is structured in such a way that if someone intentionally commits a misdeed, a bad karmic fruit will be the result. Hence, from a pragmatic point of view, it is best to abstain from these negative actions which bring forth negative results. However, the important word here is intentionally: for the Buddha, karma is nothing else but intention/volition, and hence unintentionally harming someone does not create bad karmic results. Unlike the Jains who believed that karma was a quasi-physical element, for the Buddha karma was a volitional mental event, what Richard Gombrich calls 'an ethnicized consciousness'.
This idea leads into the second moral justification of the Buddha: intentionally performing negative actions reinforces and propagates mental defilements which keep persons bound to the cycle of rebirth and interfere with the process of liberation, and hence intentionally performing good karmic actions is participating in mental purification which leads to nirvana, the highest happiness. This perspective sees immoral acts as unskillful (akusala) in our quest for happiness, and hence it is pragmatic to do good.
The third meta-ethical consideration takes the view of not-self and our natural desire to end our suffering to its logical conclusion. Since there is no self, there is no reason to prefer our own welfare over that of others because there is no ultimate grounding for the differentiation of "my" suffering and someone else's. Instead, an enlightened person would just work to end suffering tout court, without thinking of the conventional concept of persons. According to this argument, anyone who is selfish does so out of ignorance of the true nature of personal identity and irrationality.
Buddhist schools and Abhidharma
The main Indian Buddhist philosophical schools practiced a form of analysis termed Abhidharma which sought to systematize the teachings of the early Buddhist discourses (sutras). Abhidharma analysis broke down human experience into momentary phenomenal events or occurrences called "dharmas". Dharmas are impermanent and dependent on other causal factors, they arise and pass as part of a web of other interconnected dharmas, and are never found alone. The Abhidharma schools held that the teachings of the Buddha in the sutras were merely conventional, while the Abhidharma analysis was ultimate truth (paramattha sacca), the way things really are when seen by an enlightened being. The Abhidharmic project has been likened as a form of phenomenology or process philosophy.
Abhidharma philosophers not only outlined what they believed to be an exhaustive listing of dharmas (Pali: dhammas), which are the ultimate phenomena, events or processes (and include physical and mental phenomena), but also the causal relations between them. In the Abhidharmic analysis, the only thing which is ultimately real is the interplay of dharmas in a causal stream; everything else is merely conceptual (paññatti) and nominal.
This view has been termed "mereological reductionism" by Mark Siderits because it holds that only impartite entities are real, not wholes. Abhidharmikas such as Vasubandhu argued that conventional things (tables, persons, etc.) "disappear under analysis" and that this analysis reveals only a causal stream of phenomenal events and their relations. The mainstream Abhidharmikas defended this view against their main Hindu rivals, the Nyaya school, who were substance theorists and posited the existence of universals. Some Abhidharmikas such as the Prajñaptivāda were also strict nominalists, and held that all things - even dharmas - were merely conceptual.
The Abhidharma schools
An important Abhidhamma work from the Theravāda school is the Kathāvatthu ("Points of controversy"), attributed to the Indian scholar-monk Moggaliputta-Tissa (–247 BCE). This text is important because it attempts to refute several philosophical views which had developed after the death of the Buddha, especially the theory that 'all exists' (sarvāstivāda), the theory of momentariness (khāṇavāda) and the personalist view (pudgalavada). These were the major philosophical theories that divided the Buddhist Abhidharma schools in India.
After being brought to Sri Lanka in the first century BCE, the Pali language Theravada Abhidhamma tradition was heavily influenced by the works of Buddhaghosa (4-5th century AD), the most important philosopher and commentator of the Theravada school. The Theravada philosophical enterprise was mostly carried out in the genre of Atthakatha (commentaries) as well as sub-commentaries (tikas) on the classic Pali Abhidhamma texts. Abhidhamma study also included smaller doctrinal summaries and compendiums, like the Abhidhammattha-saṅgaha (The Compendium of Things contained in the Abhidhamma).
The Sarvāstivāda-Vaibhāṣika (sometimes just "Vaibhāṣika") was one of the major Buddhist philosophical schools in India, and they were so named because of their belief that dharmas exist in all three times: past, present and future. Though the Sarvāstivāda Abhidharma system began as a mere categorization of mental events, their philosophers and exegetes such as Dharmatrata and Katyāyāniputra, the compiler of the Mahāvibhāṣa ("Great Commentary"), eventually refined this system into a robust realism, which also included a type of essentialism or substance theory. This realism was based on the nature of dharmas, which was called svabhava ("self-nature" or "intrinsic existence"). Svabhava is a sort of essence, though it is not a completely independent essence, since all dharmas were said to be causally dependent. The Sarvāstivāda system extended this realism across time, effectively positing a type of eternalism with regards to time; hence, the name of their school means "the view that everything exists". Vaibhāṣika remained an influential school in North India during the medieval period. Perhaps the most influential figure in this tradition was the great scholar Saṃghabhadra. Another key figure was Śubhagupta (720–780), who was a Vaibhāṣika thinker within the epistemological (pramana) tradition.
Other Buddhist schools such as the Prajñaptivāda ("the nominalists"), as well as the Caitika Mahāsāṃghikas refused to accept the concept of svabhava. Thus, not all Abhidharma sources defend svabhava. For example, the main topic of the Tattvasiddhi Śāstra by Harivarman (3-4th century CE), an influential Abhidharma text, is the emptiness (shunyata) of dharmas. Indeed, this anti-essentialist nominalism was widespread among the Mahāsāṃghika sects. Another important feature of the Mahāsāṃghika tradition was its unique theory of consciousness. Many of the Mahāsāṃghika sub-schools defended a theory of self-awareness (svasaṃvedana) which held that consciousness can be simultaneously aware of itself as well as its intentional object. Some of these schools also held that the mind's nature (cittasvabhāva) is fundamentally pure (mulavisuddha), but it can be contaminated by adventitious defilements.
The Theravādins and other schools, such as the Sautrāntikas ("those who follow the sutras"), often attacked the theories of the Sarvāstivādins, especially their theory of time. A major figure in this argument was the scholar Vasubandhu, a Sarvāstivādin monk himself (who was also influenced by the critiques of the Sautrantika school), who critiqued the theory of all exists and argued for philosophical presentism in his comprehensive treatise, the Abhidharmakośa. This work is the major Abhidharma text used in Tibetan and East Asian Buddhism today. The Theravāda also holds that dharmas only exist in the present, and are thus also presentists.
The Theravāda presentation of Abhidharma is also not as concerned with ontology as the Sarvāstivāda view, but is more of a phenomenological schema. Hence the concept of svabhava (Pali: sabhava) for the Theravādins is more of a certain characteristic or dependent feature of a dharma, than any sort of essence or metaphysical grounding. As the Sinhalese scholar Y. Karunadasa writes, the Pali tradition only postulates sabhava "for the sake of definition and description." However, ultimately each dhamma (particular phenomenon) is not a singular independent existence. Thus, Karunadasa rejects the view that Theravada Abhidhamma defends an ontological pluralism (but it is also not monism either, since there is no single underlying ground of all things or metaphysical substratum). Instead they are merely processes that happen "due to the interplay of a multitude of conditions." Karunadasa also describes the Theravada system as a "critical realism" which sees the ultimate existents as the myriad irreducible dhammas, and which also accepts the existence of an external world with entities that truly exist independently of cognition (as opposed to Mahayana forms of idealism).
Another important theory held by some Sarvāstivādins, Theravādins and Sautrāntikas was the theory of "momentariness" (Skt., kṣāṇavāda, Pali, khāṇavāda). This theory held that dhammas only last for a minute moment (ksana) after they arise. The Sarvāstivādins saw these 'moments' in an atomistic way, as the smallest length of time possible (they also developed a material atomism). Reconciling this theory with their eternalism regarding time was a major philosophical project of the Sarvāstivāda. The Theravādins initially rejected this theory, as evidenced by the Khaṇikakathā of the Kathavatthu which attempts to refute the doctrine that "all phenomena (dhamma) are as momentary as a single mental entity." However, momentariness with regards to mental dhammas (but not physical or rūpa dhammas) was later adopted by the Sri Lankan Theravādins, and it is possible that it was first introduced by the scholar Buddhagosa.
All Abhidharma schools also developed complex theories of causation and conditionality to explain how dharmas interacted with each other. Another major philosophical project of the Abhidharma schools was the explanation of perception. Some schools such as the Sarvastivadins explained perception as a type of phenomenalist realism while others such as the Sautrantikas preferred representationalism and held that we only perceive objects indirectly. The major argument used for this view by the Sautrāntikas was the "time-lag argument." According to Mark Siderits: "The basic idea behind the argument is that since there is always a tiny gap between when the sense comes in contact with the external object and when there is sensory awareness, what we are aware of can't be the external object that the senses were in contact with, since it no longer exists." This is related to the theory of extreme momentariness.
One major philosophical view which was rejected by all the schools mentioned above was the view held by the Pudgalavadin or 'personalist' schools. They seemed to have held that there was a sort of 'personhood' in some ultimately real sense which was not reducible to the five aggregates. This controversial claim was in contrast to the other Buddhists of the time who held that a personality was a mere conceptual construction (prajñapti) and only conventionally real.
Indian Mahāyāna philosophy
From about the 1st century BCE, a new textual tradition began to arise in Indian Buddhist thought called Mahāyāna (Great Vehicle), which would slowly come to dominate Indian Buddhist philosophy. During the medieval period of Indian history, Buddhist philosophy thrived in large monastery-university complexes such as Nalanda, Vikramasila, and Vallabhi. These institutions became major centers of philosophical learning in North India (where both Buddhist and also non-Buddhist thought was studied and debated). Mahāyāna philosophers continued the philosophical projects of Abhidharma, while at the same time critiquing them and introducing many new concepts and ideas. Since the Mahāyāna held to the pragmatic concept of truth which states that doctrines are regarded as conditionally "true" in the sense of being spiritually beneficial, these new theories and practices were seen as 'skillful means' (upaya).
The Mahayana also promoted the bodhisattva ideal, which included an attitude of compassion for all sentient beings. The Bodhisattva is someone who chooses to remain in samsara (the cycle of birth and death) to benefit all other beings who are suffering.
Major Mahayana philosophical schools and traditions include the Prajñaparamita, Madhyamaka, Yogācāra, Tathagatagarbha, the epistemological school of Dignaga, and in China the Huayan, Tiantai and Zen schools.
Prajñāpāramitā and Madhyamaka
The earliest Prajñāpāramitā-sutras ("perfection of insight" sutras) (circa 1st century BCE) emphasize the shunyata (emptiness) of all phenomena. It is thus a radical global nominalism and anti-essentialism, which sees all things as illusions and all of reality as a dreamlike appearance without any fundamental essence. The Prajñāpāramitā is said to be a transcendent spiritual knowledge of the nature of ultimate reality, which empty of any essence or foundation, like a universal mirage.
Thus, the Diamond Sutra (Vajracchedikā Prajñāpāramitā Sūtra) states:
The Heart Sutra famously affirms the emptiness (shunyata) of all phenomena:
Oh, Sariputra, form does not differ from emptiness, and emptiness does not differ from form.Form is emptiness and emptiness is form; the same is true for feelings, perceptions, volitions and consciousness.The Prajñāpāramitā sources also note that this applies to every single phenomenon, even Buddhahood. The goal of the Buddhist aspirant in the Prajñāpāramitā texts is to awaken to the perfection of wisdom ("prajñāpāramitā"), a non-conceptual transcendent wisdom that knows the emptiness of all things while not being attached to anything (including the very idea of emptiness itself or perfect wisdom).
The Prajñāpāramitā teachings are associated with the work of the Buddhist philosopher Nāgārjuna ( – ) and the Madhyamaka (Middle way, or "Centrism") school. Nāgārjuna was one of the most influential Indian Mahayana thinkers. He gave the classical arguments for the empty nature of all dharmas and attacked the essentialism found in various Abhidharma schools (and also in Hindu philosophy) in his magnum opus, The Root Verses on the Middle Way (Mūlamadhyamakakārikā). In the Mūlamadhyamakakārikā, Nagarjuna relies on reductio ad absurdum arguments to refute various theories which assume svabhava (an inherent essence or "own being"), dravya (substances) or any theory of existence (bhava). In this work, he covers topics such as causation, motion, and the sense faculties.
Nāgārjuna asserted a direct connection between, even identity of, dependent origination, non-self (anatta), and emptiness (śūnyatā). He pointed out that implicit in the early Buddhist concept of dependent origination is the lack of anatta (substantial being) underlying the participants in origination, so that they have no independent existence, a state identified as śūnyatā (i.e., emptiness of a nature or essence (svabhāva sunyam).
Later philosophers of the Madhyamaka school built upon Nāgārjuna's analysis and defended Madhyamaka against their opponents. These included Āryadeva (3rd century CE), Nāgārjuna's pupil; Candrakīrti (600–), who wrote an important commentary on the Mūlamadhyamakakārikā; and Shantideva (8th century), who is the key Mahayana ethicist.
The commentator Buddhapālita (c. 470–550) has been understood as the originator of the 'prāsaṅgika' approach which is based on critiquing essentialism only through reductio arguments. He was criticized by Bhāvaviveka ( – ), who argued for the use of properly logical syllogisms to positively argue for emptiness (instead of just refuting the theories of others). These two approaches were later termed the prāsaṅgika and the svātantrika approaches to Madhyamaka by Tibetan philosophers and commentators.
Influenced by the work of Dignaga, Bhāvaviveka's Madhyamika philosophy makes use of Buddhist epistemology. Candrakīrti, on the other hand, critiqued Bhāvaviveka's adoption of the epistemological (pramana) tradition on the grounds that it contained subtle essentialism. He quotes Nagarjuna's famous statement in the Vigrahavyavartani which says "I have no thesis" for his rejection of positive epistemic Madhyamaka statements. Candrakīrti held that a true Madhyamika could only use "consequence" (prasanga), in which one points out the inconsistencies of their opponent's position without asserting an "autonomous inference" (svatantra), for no such inference can be ultimately true from the point of view of Madhyamaka.
In China, the Madhyamaka school (known as Sānlùn) was founded by Kumārajīva (344–413 CE), who translated the works of Nagarjuna to Chinese. Other Chinese Madhymakas include Kumārajīva 's pupil Sengzhao, Jizang (549–623), who wrote over 50 works on Madhyamaka, and Hyegwan, a Korean monk who brought Madhyamaka teachings to Japan.
Yogācāra
The Yogācāra school (Yoga practice) was a Buddhist philosophical tradition which arose in between the 2nd century CE and the 4th century CE and is associated with the philosophers and brothers Asanga and Vasubandhu and with various sutras such as the Sandhinirmocana Sutra and the Lankavatara Sutra. The central feature of Yogācāra thought is the concept of vijñapti-mātra, often translated as "impressions only" or "appearance only". This has been interpreted as a form of Idealism or as a form of Phenomenology. Other names for the Yogācāra school are 'vijñanavada' (the doctrine of consciousness) and 'cittamatra' (mind-only).
Yogācāra thinkers like Vasubandhu argued against the existence of external objects by pointing out that we only ever have access to our own mental impressions, and hence our inference of the existence of external objects is based on faulty logic. Vasubandhu's Triṃśikā-vijñaptimātratā (The Proof that There Are Only Impressions in Thirty Verses), begins thus:
I. This [world] is nothing but impressions, since it manifests itself as an unreal object,
Just like the case of those with cataracts seeing unreal hairs in the moon and the like.
According to Vasubandhu then, all our experiences are like seeing hairs on the moon when we have cataracts, that is, we project our mental images into something "out there" when there are no such things. Vasubandhu then goes on to use the dream argument to argue that mental impressions do not require external objects to (1) seem to be spatio-temporally located, (2) to seem to have an inter-subjective quality, and (3) to seem to operate by causal laws. The fact that purely mental events can have causal efficacy and be intersubjective is proved by the event of a wet dream and by the mass or shared hallucinations created by the karma of certain types of beings. After having argued that impressions-only is a theory that can explain our everyday experience, Vasubandhu then appeals to parsimony - since we do not need the concept of external objects to explain reality, then we can do away with those superfluous concepts altogether as they are most likely just mentally superimposed on our concepts of reality by the mind. Yogācārins like Vasubandhu also attacked the realist theories of Buddhist atomism and the Abhidharma theory of svabhava. He argued that atoms, as conceived by the atomists (un-divisible entities), would not be able to come together to form larger aggregate entities, and hence that they were illogical concepts.
Inter-subjective reality for Vasubandhu is then the causal interaction between various mental streams and their karma, and does not include any external physical objects. The soteriological importance of this theory is that, by removing the concept of an external world, it also weakens the 'internal' sense of self as an observer which is supposed to be separate from the external world. To dissolve the dualism of inner and outer is also to dissolve the sense of self and other. The later Yogacara commentator Sthiramati explains this thus:There is a grasper if there is something to be grasped, but not in the absence of what is to be grasped. Where there is nothing to be grasped, the absence of a grasper also follows, there is not just the absence of the thing to be grasped. Thus there arises the extra-mundane non-conceptual cognition that is alike without object and without cognizer.
Apart from its defense of an idealistic metaphysics and its attacks on realism, Yogācāra sources also developed a new theory of mind, based on the Eight Consciousnesses, which includes the innovative doctrine of the subliminal storehouse consciousness (Skt: ālayavijñāna).
Yogācāra thinkers also developed a positive account of ultimate reality based on three basic modes or "natures" (svabhāva). This metaphysical doctrine is central to their view of the ultimate and to their understanding of the doctrine of emptiness (śūnyatā).
The Dignāga-Dharmakīrti tradition
Dignāga (–540) and Dharmakīrti (c. 6-7th century) were Buddhist philosophers who developed a system of epistemology (pramana) and logic in their debates with the Brahminical philosophers in order to defend Buddhist doctrine. This tradition is called "those who follow reasoning" (Tibetan: rigs pa rjes su 'brang ba); in modern literature, it is sometimes known by the Sanskrit "pramāṇavāda", or "the Epistemological School." They were associated with the Yogacara and Sautrantika schools, and defended theories held by both of these schools.
Dignāga's influence was profound and led to an "epistemological turn" among all Buddhists and also all Sanskrit language philosophers in India after his death. In the centuries following Dignāga's work, Sanskrit philosophers became much more focused on defending all of their propositions with fully developed theories of knowledge.
The "School of Dignāga" includes later philosophers and commentators like Santabhadra, Dharmottara (8th century), Prajñakaragupta (740–800 C.E.), Jñanasrimitra (975–1025), Ratnakīrti (11th century) and Śaṅkaranandana (fl. c. 9th or 10th century). The epistemology they developed defends the view that there are only two 'instruments of knowledge' or 'valid cognitions' (pramana): "perception" (pratyaksa) and "inference" (anumāṇa). Perception is a non-conceptual awareness of particulars which is bound by causality, while inference is reasonable, linguistic and conceptual.
These Buddhist philosophers argued in favor of the theory of momentariness, the Yogācāra "awareness only" view, the reality of particulars (svalakṣaṇa), atomism, nominalism and the self-reflexive nature of consciousness (svasaṃvedana). They attacked Hindu theories of God (Isvara), universals, the authority of the Vedas, and the existence of a permanent soul (atman).
Later Yogācāra developments
After the time of Asanga and Vasubandhu, the Yogācāra school developed in different directions. One branch focused on epistemology (this would become the school of Dignaga). Another branch focused on expanding the Yogācāra's metaphysics and philosophy. This latter tradition includes figures like Dharmapala of Nalanda, Sthiramati, Chandragomin (who was known to have debated the Madhyamaka thinker Candrakirti), and Śīlabhadra (a top scholar at Nalanda). Yogācārins such as Paramartha and Guṇabhadra brought the school to China and translated Yogacara works there, where it is known as Wéishí-zōng or Fǎxiàng-zōng. An important contribution to East Asian Yogācāra is Xuanzang's Cheng Weishi Lun, or "Discourse on the Establishment of Consciousness Only".
A later development is the rise of a syncretic tradition of Yogācāra-tathāgatagarbha thought. This group adopted the doctrine of tathāgatagarbha (the buddha-womb, buddha-source, or "buddha-within") found in various tathāgatagarbha sutras. This hybrid school eventually went on to equate the tathāgatagarbha with the pure aspect of the storehouse consciousness. Some key sources of this school are the Laṅkāvatāra Sūtra, Ratnagotravibhāga (Uttaratantra), and in China, the influential Mahayana Awakening of Faith treatise. One key figure of this tradition was Paramārtha, an Indian monk who was an important translator in China. He promoted a new theory that said there was a "stainless consciousness" (amala-vijñāna, a pure wisdom within all beings), which he equated with the buddha-nature (tathāgatagarbha). This synthetic tradition also became important in later Indian Buddhism, where the Ratnagotravibhāga became the key text.
Another later development was the synthesis of Yogācāra with Madhyamaka. Jñānagarbha (8th century) and his student Śāntarakṣita (725–788) brought together Yogacara, Madhyamaka and the Dignaga school of epistemology into a philosophical synthesis known as the Yogācāra-Svatantrika-Mādhyamika. Śāntarakṣita was also instrumental in the introduction of Buddhism and the Sarvastivadin monastic ordination lineage to Tibet, which was conducted at Samye. Śāntarakṣita's disciples included Haribhadra and Kamalaśīla. This philosophical tradition is influential in Tibetan Buddhist thought.
Perhaps the most important debate among late Yogācāra philosophers was the debate between alikākāravāda (Tib. rnam rdzun pa, False Aspectarians, also known as Nirākāravāda) and Satyākāravāda (rnam bden pa, True Aspectarians, also known as sākāravāda). The crux of the debate was the question of whether mental appearances, images or “aspects” (ākāra) are true (satya) or false (alika). The Satyākāravāda camp, defended by scholars like Jñānaśrīmitra (ca. 980–1040), held that images in consciousness have a real existence, since they arise from a real consciousness. Meanwhile, Alikākāravāda defenders like Ratnākaraśānti (ca. 970–1045) argues that mental appearances do not really exist and are false (alīka) or illusory. For these thinkers, the only thing which is real is a pure self-aware consciousness which is contentless (nirākāra, “without images”).
Buddha-nature thought
The tathāgathagarbha sutras, in a departure from mainstream Buddhist language, insist that there is a real potential for awakening is inherent to every sentient being. They marked a shift from a largely apophatic (negative) method within Buddhism to a decidedly more cataphatic (positive) mode. The main topic of this genre of literature is the tathāgata-garbha, which can mean the womb or embryo of a Tathāgata (i.e. a Buddha) and is what allows someone to become a Buddha. Another similar term used for this idea is buddhadhātu (buddha-nature or source of the Buddhas).
Prior to the period of these scriptures, Mahāyāna metaphysics had been dominated by teachings on emptiness. The language used by this approach is primarily negative, and the buddha-nature literature can be seen as an attempt to state orthodox Buddhist teachings of dependent origination using positive language instead, to prevent people from being turned away from Buddhism by a false impression of nihilism. In these sutras, the perfection of the wisdom of not-self is stated to be the true self (atman). The word "self" (atman) is used in a way idiosyncratic to these sutras; the "true self" is described as the perfection of the wisdom of not-self in the Buddha-Nature Treatise (Fóxìng lùn, 佛性論, T. 1610) of Paramārtha, for example. The ultimate goal of the path is then characterized using a range of positive language that had been used previously in Indian philosophy by essentialist philosophers, but which was now adapted to describe the positive realities of Buddhahood.
Perhaps the most influential source in the Indian tradition for this teaching is the Ratnagotravibhāga (5th century CE). This śāstra brought together all the major themes of the tathāgatagārbha theory into a single treatise. The Ratnagotravibhāga sees the tathāgatagarbha as being an inherent nature in all things which is omnipresent, all-pervasive, non-conceptual, free of suffering and inherently blissful. It also describes buddha nature as “the intrinsically stainless nature of the mind” (cittaprakṛtivaimalya). Indeed, in many later Indian sources, the tathāgathagarbha teachings also come to be identified with the similar doctrine of the luminous mind (prabhasvara-citta). This ancient idea holds that the mind is inherently pure, and that defilements are only adventitious. In the Ratnagotravibhāga, this originally pure (prakṛtipariśuddha) nature (i.e. the fully purified buddha-nature) is further described through numerous terms such as: unconditioned (asaṃskṛta), unborn (ajāta), unarisen (anutpanna), eternal (nitya), changeless (dhruva), and permanent (śāśvata).
According to some scholars, tathāgatagarbha does not represent a substantial self; rather, it is a positive language expression of emptiness and represents the potentiality to realize Buddhahood through Buddhist practices. In this interpretation, the intention of the teaching of tathāgatagarbha is soteriological rather than metaphysical.
Vajrayāna Buddhism
Vajrayāna (also Mantrayāna, Sacret Mantra, Tantrayāna and Esoteric Buddhism) is a Mahayana Buddhist tradition associated with a group of texts known as the Buddhist Tantras which had developed into a major force in India by the eighth century. By this time Indian Tantric scholars were developing philosophical defenses, hermeneutics and explanations of the Buddhist tantric systems, especially through commentaries on key tantras such as the Guhyasamāja Tantra, Mahavairocana sutra, and the Guhyagarbha Tantra.
While the view of the Vajrayāna was based on the earlier Madhyamaka, Yogacara and Buddha-nature theories, it saw itself as being a faster vehicle to liberation containing many skillful methods (upaya) of tantric ritual. The need for an explication and defense of the Tantras arose out of the unusual nature of the rituals associated with them, which included the use of secret mantras, alcohol, sexual yoga, complex visualizations of mandalas filled with wrathful deities and other practices which were discordant with or at least novel in comparison to traditional Buddhist practice.
The Guhyasamāja Tantra, for example, states: "you should kill living beings, speak lying words, take things that are not given and have sex with many women". Other features of tantra included a focus on the physical body as the means to liberation, and a reaffirmation of feminine elements, feminine deities and a positive view of sexuality.
The defense of these tantric practices is based on the theory of transformation which states that negative mental factors and physical actions can be cultivated and transformed in a ritual setting. The Hevajra tantra states:
Those things by which evil men are bound, others turn into means and gain thereby release from the bonds of existence. By passion the world is bound, by passion too it is released, but by heretical Buddhists, this practice of reversals is not known.
Another hermeneutic of Buddhist Tantric commentaries such as the Vimalaprabha (Stainless Light) of Pundarika (a commentary on the Kalacakra Tantra) is one of interpreting taboo or unethical statements in the Tantras as metaphorical statements about tantric practice and physiology. For example, in the Vimalaprabha, "killing living beings" refers to stopping the prana at the top of the head. In the Tantric Candrakirti's Pradipoddyotana, a commentary to the Guhyasamaja Tantra, killing living beings is glossed as "making them void" by means of a "special samadhi" which according to Bus-ton is associated with completion stage tantric practice.
Douglas Duckworth notes that Vajrayāna philosophical outlook is one of embodiment, which sees the physical and cosmological body as already containing wisdom and divinity. Liberation (nirvana) and Buddhahood are not seen as something outside the body, or an event in the future, but as imminently present and accessible right now through unique tantric practices like deity yoga. Hence, Vajrayāna is also called the "resultant vehicle", that is to say, it is the spiritual vehicle that relies on the immanent nature of the result of practice (liberation), which is already present in all beings. Duckworth names the philosophical view of Vajrayāna as a form of pantheism, by which he means the belief that every existing entity is in some sense divine and that all things express some form of unity.
Major Indian Tantric Buddhist philosophers such as Buddhaguhya, Padmavajra (author of the Guhyasiddhi commentary), Nagarjuna (the 7th-century disciple of Saraha), Indrabhuti (author of the Jñānasiddhi), Anangavajra, Dombiheruka, Durjayacandra, Ratnākaraśānti and Abhayakaragupta wrote tantric texts and commentaries systematizing the tradition.
Others such as Vajrabodhi and Śubhakarasiṃha brought tantra to Tang China (716 to 720), and tantric philosophy continued to be developed in Chinese and Japanese by thinkers such as Yi Xing (683–727) and Kūkai (774– 835).
In Tibet, philosophers such as Sakya Pandita (1182-28–1251), Longchenpa (1308–1364) and Tsongkhapa (1357–1419) continued the tradition of Buddhist Tantric philosophy in Classical Tibetan.
Tibetan Buddhist philosophy
Tibetan Buddhist philosophy is mainly a continuation and refinement of the Indian Mahayana philosophical traditions. The initial efforts of Śāntarakṣita and Kamalaśīla brought their eclectic scholarly tradition to Tibet.
The initial work of early Tibetan Buddhist philosophers was in the translation of classical Indian philosophical treatises and the writing of commentaries. This initial period is from the 8th to the 10th century. Early Tibetan commentator-philosophers were heavily influenced by the work of Dharmakirti and these include Ngok Loden Sherab (1059-1109) and Chaba Chökyi Senge (1182-1251). Their works are now lost.
The 12th and 13th centuries saw the translation of the works of Chandrakirti, the promulgation of his views in Tibet by scholars such as Patsab Nyima Drakpa, Kanakavarman and Jayananda (12th century) and the development of the Tibetan debate between the prasangika and svatantrika views which continues to this day among Tibetan Buddhist schools. The main disagreement between these views is the use of reasoned argument. For Śāntarakṣita's school, reason is useful in establishing arguments that lead one to a correct understanding of emptiness. Then, through the use of meditation, one can reach non-conceptual gnosis that does not rely on reason. However, Chandrakirti rejects this idea, because meditation on emptiness cannot possibly involve any object. Reason's role for him is purely negative. Reason is used to negate any essentialist view, and then eventually reason must also negate itself, along with any conceptual proliferation (prapañca).
Another very influential figure from this early period is Mabja Jangchub Tsöndrü (d. 1185), who wrote an important commentary on Nagarjuna's Mūlamadhyamakakārikā. Mabja was studied under the Dharmakirtian Chaba and also the Candrakirti scholar Patsab. His work shows an attempt to steer a middle course between their views, he affirms the conventional usefulness of pramāṇa epistemology, but also accepts Candrakirti's prasangika views. Mabja's Madhyamaka scholarship was very influential on later Tibetan Madhyamikas such as Longchenpa, Tsongkhapa, Gorampa, and Mikyö Dorje.
There are various Tibetan Buddhist schools or monastic orders. According to Georges B.J. Dreyfus, within Tibetan thought, the Sakya school holds a mostly anti-realist philosophical position (which sees saṁvṛtisatya / conventional truth as an illusion), while the Gelug school tends to defend a form of realism (which accepts that conventional truth is in some sense real and true, yet dependently originated). The Kagyu and Nyingma schools also tend to follow Sakya anti-realism (with some differences).
Shentong and Buddha nature
The 14th century saw increasing interest in the Buddha nature texts and doctrines. This can be seen in the work of the third Kagyu Karmapa Rangjung Dorje (1284-1339), especially his treatise "Profound Inner Meaning". This treatise describes ultimate nature or suchness as Buddha nature which is the basis for nirvana and samsara, radiant in nature and empty in essence, surpassing thought.
One of the most important theoriests of buddha-nature in Tibet was the scholar-yogi Dölpopa Shérap Gyeltsen (c. 1292–1361). A figure of the Jonang school, Dölpopa developed a view called shentong (Wylie: gzhan , 'other emptiness'), based on earlier Yogacara and Buddha-nature ideas present in Indian sources (including the buddha-nature literature, the Kālacakratantra and the works of Ratnākaraśānti). The shentong view holds that Buddhahood is already immanent in all living beings as an eternal and all-pervaside non-dual wisdom he termed "all-basis wisdom" or "gnosis of the ground of all" (Tib. kun gzhi ye shes, Skt. ālaya-jñāna). This view holds that all relative phenomena are empty of inherent existence, but that the ultimate reality, the buddha-wisdom (buddha jñana) is not empty of its own inherent existence.
According to Dölpopa, all beings are said to have the Buddha nature, the non-dual wisdom which is real, unchanging, permanent, non-conditioned, eternal, blissful and compassionate. This ultimate buddha wisdom is "uncreated and indestructible, unconditioned and beyond the chain of dependent origination" and is the basis for both samsara and nirvana. Dolpopa's shentong view also taught that ultimate reality was truly a "Great Self" or "Supreme Self" referring to works such as the Mahāyāna Mahāparinirvāṇa Sūtra, the Aṅgulimālīya Sūtra and the Śrīmālādevī Siṃhanāda Sūtra.
The shentong view had an influence on philosophers of other schools, such as Nyingma and Kagyu thinkers, and was also widely criticized in some circles as being similar to the Hindu notions of Atman. The Shentong philosophy was also expounded in Tibet and Mongolia by the later Jonang scholar Tāranātha (1575–1634) and numerous later figures of the Jonang tradition. In the late 17th century, the Jonang order and its teachings came under attack by the 5th Dalai Lama, who converted the majority of their monasteries in Tibet to the Gelug order, although several survived in secret.
Gelug
Je Tsongkhapa (Dzong-ka-ba) (1357–1419) founded the Gelug school of Tibetan Buddhism, which came to dominate the country through the office of the Dalai Lama and is the major defender of the Prasaṅgika Madhyamaka view. His work is influenced by the philosophy of Candrakirti and Dharmakirti. Tsongkhapa's magnum opus is The Ocean of Reasoning, a Commentary on Nagarjuna's Mulamadhyamakakarika. Gelug philosophy is based upon the study of Madhyamaka texts and Tsongkhapa's works as well as formal debate (rtsod pa).
Tsongkhapa defended Prasangika Madhyamaka as the highest view and critiqued the svatantrika position. Tsongkhapa argued that, because svatantrika conventionally establishes things by their own characteristics, they fail to completely understand the emptiness of phenomena and hence do not achieve the same realization. Drawing on Chandrakirti, Tsongkhapa rejected the Yogacara teachings, even as a provisional stepping point to the Madhyamaka view. Tsongkhapa was also critical of the Shengtong view of Dolpopa, which he saw as dangerously absolutist and hence outside the middle way. Tsongkhapa identified two major flaws in interpretations of Madhyamika, under-negation (of svabhava or own essence), which could lead to Absolutism, and over-negation, which could lead to Nihilism. Tsongkhapa's solution to this dilemma was the promotion of the use of inferential reasoning only within the conventional realm of the two truths framework, allowing for the use of reason for ethics, conventional monastic rules and promoting a conventional epistemic realism, while holding that, from the view of ultimate truth (paramarthika satya), all things (including Buddha nature and Nirvana) are empty of inherent existence (svabhava), and that true liberation is this realization of emptiness.
Sakya scholars such as Rongtön and Gorampa disagreed with Tsongkhapa, and argued that the prasangika svatantrika distinction was merely pedagogical. Gorampa also critiqued Tsongkhapa's realism, arguing that the structures which allow an empty object to be presented as conventionally real eventually dissolve under analysis and are thus unstructured and non-conceptual (spros bral). Tsongkhapa's students Gyel-tsap, Kay-drup, and Ge-dun-drup set forth an epistemological realism against the Sakya scholars' anti-realism.
Sakya
Sakya Pandita (1182–1251) was a 13th-century head of the Sakya school and ruler of Tibet. He was also one of the most important Buddhist philosophers in the Tibetan tradition, writing works on logic and epistemology and promoting Dharmakirti's Pramanavarttika (Commentary on Valid Cognition) as central to the scholastic study. Sakya Pandita's 'Treasury of Logic on Valid Cognition' (Tshad ma rigs pa'i gter) set forth the classic Sakya epistemic anti-realist position, arguing that concepts such as universals are not known through valid cognition and hence are not real objects of knowledge. Sakya Pandita was also critical of theories of sudden awakening, which were held by some teachers of the "Chinese Great Perfection" in Tibet.
Later Sakyas such as Gorampa (1429–1489) and Sakya Chokden (1428–1507) would develop and defend Sakya anti-realism, and they are seen as the major interpreters and critics of Sakya Pandita's philosophy. Sakya Chokden also critiqued Tsongkhapa's interpretation of Madhyamaka and Dolpopa's Shentong. In his Definite ascertainment of the middle way, Chokden criticized Tsongkhapa's view as being too logo-centric and still caught up in conceptualization about the ultimate reality which is beyond language. Sakya Chokden's philosophy attempted to reconcile the views of the Yogacara and Madhyamaka, seeing them both as valid and complementary perspectives on ultimate truth. Madhyamaka is seen by Chokden as removing the fault of taking the unreal as being real, and Yogacara removes the fault of the denial of Reality. Likewise, the Shentong and Rangtong views are seen as complementary by Sakya Chokden; Rangtong negation is effective in cutting through all clinging to wrong views and conceptual rectification, while Shentong is more amenable for describing and enhancing meditative experience and realization. Therefore, for Sakya Chokden, the same realization of ultimate reality can be accessed and described in two different but compatible ways.
Nyingma
The Nyingma school is strongly influenced by the view of Dzogchen (Great Perfection) and the Dzogchen Tantric literature. Longchenpa (1308–1364) was a major philosopher of the Nyingma school and wrote an extensive number of works on the Tibetan practice of Dzogchen and on Buddhist Tantra. These include the Seven Treasures, the Trilogy of Natural Ease, and his Trilogy of Dispelling Darkness. Longchenpa's works provide a philosophical understanding of Dzogchen, a defense of Dzogchen in light of the sutras, as well as practical instructions. For Longchenpa, the ground of reality is luminous emptiness, rigpa ("knowledge"), or buddha nature, and this ground is also the bridge between sutra and tantra. Longchenpa's philosophy sought to establish the positive aspects of Buddha nature thought against the totally negative theology of Madhyamika without straying into the absolutism of Dolpopa. For Longchenpa, the basis for Dzogchen and Tantric practice in Vajrayana is the "Ground" or "Basis" (gzhi), the immanent Buddha nature, "the primordially luminous reality that is unconditioned and spontaneously present" which is "free from all elaborated extremes".
Rimé movement
The 19th century saw the rise of the Rimé movement (non-sectarian, unbiased) which sought to push back against the politically dominant Gelug school's criticisms of the Sakya, Kagyu, Nyingma and Bon philosophical views, and develop a more eclectic or universal system of textual study. Jamyang Khyentse Wangpo (1820-1892) and Jamgön Kongtrül (1813-1899) were the founders of Rimé. The Rimé movement came to prominence at a point in Tibetan history when the religious climate had become partisan. The aim of the movement was "a push towards a middle ground where the various views and styles of the different traditions were appreciated for their individual contributions rather than being refuted, marginalized, or banned."
Philosophically, Jamgön Kongtrül defended Shentong as being compatible with Madhyamaka while another Rimé scholar Jamgon Ju Mipham Gyatso (1846–1912) criticized Tsongkhapa from a Nyingma perspective. Mipham argued that the view of the middle way is Unity (zung 'jug), meaning that from the ultimate perspective the duality of sentient beings and Buddhas is also dissolved. Mipham also affirmed the view of rangtong (self emptiness).
The later Nyingma scholar Botrul (1894–1959) classified the major Tibetan Madhyamaka positions as shentong (other emptiness), Nyingma rangtong (self emptiness) and Gelug bdentong (emptiness of true existence). The main difference between them is their "object of negation"; shengtong states that inauthentic experience is empty, rangtong negates any conceptual reference and bdentong negates any true existence.
The 14th Dalai Lama was also influenced by this non-sectarian approach. Having studied under teachers from all major Tibetan Buddhist schools, his philosophical position tends to be that the different perspectives on emptiness are complementary:
There is a tradition of making a distinction between two different perspectives on the nature of emptiness: one is when emptiness is presented within a philosophical analysis of the ultimate reality of things, in which case it ought to be understood in terms of a non-affirming negative phenomena. On the other hand, when it is discussed from the point of view of experience, it should be understood more in terms of an affirming negation – 14th Dalai Lama
East Asian Buddhism
Tiantai
The schools of Buddhism that had existed in China prior to the emergence of the Tiantai are generally believed to represent direct transplantations from India, with little modification to their basic doctrines and methods. The Tiantai school, founded by Zhiyi (538–597), was the first truly unique Chinese Buddhist philosophical school. Tiantai doctrine sought to bring together all Buddhist teachings into a comprehensive system based on the ekayana ("one vehicle") doctrine taught in the Lotus Sutra.
Tiantai's metaphysics is an immanent holism, which sees every phenomenon (dharma) as conditioned and manifested by the whole of reality (the totality of all other dharmas). Every instant of experience is a reflection of every other, and hence, suffering and nirvana, good and bad, Buddhahood and evildoing, are all "inherently entailed" within each other.
Tiantai metaphysics is entailed in their teaching of the "three truths", which is an extension of the Mādhyamaka two truths doctrine. The three truths are: the conventional truth of appearance, the truth of emptiness and the third truth of 'the exclusive Center' (但中 danzhong) or middle way, which is beyond conventional truth and emptiness. This third truth is the Absolute and expressed by the claim that nothing is "Neither-Same-Nor-Different" than anything else, but rather each 'thing' is the absolute totality of all things manifesting as a particular, everything is mutually contained within each thing. Everything is a reflection of "The Ultimate Reality of All Appearances" (諸法實相 zhufashixiang) and each thought "contains three thousand worlds". This perspective allows the Tiantai school to state such seemingly paradoxical things as "evil is ineradicable from the highest good, Buddhahood." Moreover, in Tiantai, nirvana and samsara are ultimately the same; as Zhiyi writes, "a single, unalloyed reality is all there is – no entities whatever exist outside of it."
While Zhiyi did write "one thought contains three thousand worlds", this does not entail idealism. According to Zhiyi, "the objects of the [true] aspects of reality are not something produced by Buddhas, gods, or men. They exist inherently on their own and have no beginning" (The Esoteric Meaning, 210). This is then a form of realism, which sees the mind as real as the world, interconnected with and inseparable from it. In Tiantai thought, ultimate reality is simply the very phenomenal world of interconnected events or dharmas.
Other key figures of Tiantai thought are Zhanran (711–782) and Siming Zhili (960–1028). Zhanran developed the idea that non-sentient beings have buddha nature, since they are also a reflection of the Absolute. In Japan, this school was known as Tendai and was first brought to the island by Saicho. Tendai thought is more syncretic and draws on Huayan and East Asian Esoteric Buddhism.
Huayan
The Huayan school is the other native Chinese doctrinal system. Huayan is known for the doctrine of "interpenetration" (Sanskrit: yuganaddha), based on the Avataṃsaka Sūtra (Flower Garland Sutra). Huayan holds that all phenomena (Sanskrit: dharmas) are deeply interconnected, mutually arising and that every phenomenon contains all other phenomena. Various metaphors and images are used to illustrate this idea. The first is known as Indra's net. The net is set with jewels which have the extraordinary property that they reflect all of the other jewels, while the reflections also contain every other reflection, ad infinitum. The second image is that of the world text. This image portrays the world as consisting of an enormous text which is as large as the universe itself. The words of the text are composed of the phenomena that make up the world. However, every atom of the world contains the whole text within it. It is the work of a Buddha to let out the text so that beings can be liberated from suffering.
Fazang (Fa-tsang, 643–712), one of the most important Huayan thinkers, wrote 'Essay on the Golden Lion' and 'Treatise on the Five Teachings', which contain other metaphors for the interpenetration of reality. He also used the metaphor of a house of mirrors. Fazang introduced the distinction of "the Realm of Principle" and "the Realm of Things". This theory was further developed by Cheng-guan (738–839) into the major Huayan thesis of "the fourfold Dharmadhatu" (dharma realm): the Realm of Principle, the Realm of Things, the Realm of the Noninterference between Principle and Things, and the Realm of the Noninterference of All Things. The first two are the universal and the particular, the third is the interpenetration of universal and particular, and the fourth is the interpenetration of all particulars. The third truth was explained by the metaphor of a golden lion: the gold is the universal and the particular is the shape and features of the lion.
While both Tiantai and Huayan hold to the interpenetration and interconnection of all things, their metaphysics have some differences. Huayan metaphysics is influenced by Yogacara thought and is closer to idealism. The Avatamsaka sutra compares the phenomenal world to a dream, an illusion, and a magician's conjuring. The sutra states nothing has true reality, location, beginning and end, or substantial nature. The Avatamsaka also states that "The triple world is illusory – it is only made by one mind", and Fazang echoes this by writing, "outside of mind there is not a single thing that can be apprehended." Furthermore, according to Huayan thought, each mind creates its own world "according to their mental patterns", and "these worlds are infinite in kind" and constantly arising and passing away. However, in Huayan, the mind is not real either, but also empty. The true reality in Huayan, the noumenon, or "Principle", is likened to a mirror, while phenomena are compared to reflections in the mirror. It is also compared to the ocean, and phenomena to waves.
In Korea, this school was known as Hwaeom and is represented in the work of Wonhyo (617–686), who also wrote about the idea of essence-function, a central theme in Korean Buddhist thought. In Japan, Huayan is known as Kegon and one of its major proponents was Myōe, who also introduced Tantric practices.
Chan and Japanese Buddhism
The philosophy of Chinese Chan Buddhism and Japanese Zen is based on various sources; these include Chinese Madhyamaka (Sānlùn), Yogacara (Wéishí), the Laṅkāvatāra Sūtra, and the Buddha nature texts. An important issue in Chan is that of subitism or "sudden awakening", the idea that insight happens all at once in a flash of insight. This view was promoted by Shenhui and is a central issue discussed in the Platform Sutra, a key Chan scripture composed in China.
Huayan philosophy also had an influence on Chan. The theory of the Fourfold Dharmadhatu influenced the Five Ranks of Dongshan Liangjie (806-869), the founder of the Caodong Chan lineage. Guifeng Zongmi, who was also a patriarch of Huayan Buddhism, wrote extensively on the philosophy of Chan and on the Avatamsaka sutra.
Japanese Buddhism during the 6th and 7th centuries saw an increase in the proliferation of new schools and forms of thought, a period known as the six schools of Nara (Nanto Rokushū). The Kamakura Period (1185–1333) also saw another flurry of intellectual activity. During this period, the influential figure of Nichiren (1222–1282) made the practice and universal message of the Lotus Sutra more readily available to the population. He is of particular importance in the history of thought and religion, as his teachings constitute a separate sect of Buddhism, one of the only major sects to have originated in Japan
Also during the Kamakura period, the founder of Soto Zen, Dogen (1200–1253), wrote many works on the philosophy of Zen, and the Shobogenzo is his magnum opus. In Korea, Chinul was an important exponent of Seon Buddhism at around the same time.
Esoteric Buddhism
Tantric Buddhism arrived in China in the 7th century, during the Tang dynasty. In China, this form of Buddhism is known as Mìzōng (密宗), or "Esoteric School", and Zhenyan (true word, Sanskrit: Mantrayana). Kūkai (AD774–835) is a major Japanese Buddhist philosopher and the founder of the Tantric Shingon (true word) school in Japan. He wrote on a wide variety of topics such as public policy, language, the arts, literature, music and religion. After studying in China under Huiguo, Kūkai brought together various elements into a cohesive philosophical system of Shingon.
Kūkai's philosophy is based on the Mahavairocana Tantra and the Vajrasekhara Sutra (both from the seventh century). His Benkenmitsu nikkyôron (Treatise on the Differences Between Esoteric and Exoteric Teachings) outlines the difference between exoteric, mainstream Mahayana Buddhism (kengyô) and esoteric Tantric Buddhism (mikkyô). Kūkai provided the theoretical framework for the esoteric Buddhist practices of Mantrayana, bridging the gap between the doctrine of the sutras and tantric practices. At the foundation of Kūkai's thought is the Trikaya doctrine, which holds there are three "bodies of the Buddha".
According to Kūkai, esoteric Buddhism has the Dharmakaya (Jpn: hosshin, embodiment of truth) as its source, which is associated with Vairocana Buddha (Dainichi). Hosshin is embodied absolute reality and truth. Hosshin is mostly ineffable but can be experienced through esoteric practices such as mudras and mantras. While Mahayana is taught by the historical Buddha (nirmāṇakāya), it does not have ultimate reality as its source or the practices to experience the esoteric truth. For Shingon, from an enlightened perspective, the whole phenomenal world itself is also the teaching of Vairocana. The body of the world, its sounds and movements, is the body of truth (dharma) and furthermore it is also identical with the personal body of the cosmic Buddha. For Kūkai, world, actions, persons and Buddhas are all part of the cosmic monologue of Vairocana, they are the truth being preached, to its own self manifestations. This is hosshin seppô (literally: "the dharmakâya's expounding of the Dharma") which can be accessed through mantra which is the cosmic language of Vairocana emanating through cosmic vibration concentrated in sound. In a broad sense, the universe itself is a huge text expressing ultimate truth (Dharma) which must be "read".
Dainichi means "Great Sun" and Kūkai uses this as a metaphor for the great primordial Buddha, whose teaching and presence illuminates and pervades all, like the light of the sun. This immanent presence also means that every being already has access to the liberated state (hongaku) and Buddha nature, and that, because of this, there is the possibility of "becoming Buddha in this very embodied existence" (sokushinjôbutsu). This is achieved because of the non-dual relationship between the macrocosm of Hosshin and the microcosm of the Shingon practitioner.
Kūkai's exposition of what has been called Shingon's "metaphysics" is based on the three aspects of the cosmic truth or Hosshin – body, appearance and function. The body is the physical and mental elements, which are the body and mind of the cosmic Buddha and which is also empty (Shunyata). The physical universe for Shingon contains the interconnected mental and physical events. The appearance aspect is the form of the world, which appears as mandalas of interconnected realms and is depicted in mandala art such as the Womb Realm mandala. The function is the movement and change which happens in the world, which includes change in forms, sounds and thought. These forms, sounds and thoughts are expressed by the Shingon practitioner in various rituals and tantric practices which allow them to connect with and inter-resonate with Dainichi and hence attain liberation here and now.
Modern philosophy
In Sri Lanka, Buddhist modernists such as Anagarika Dharmapala (1864-1933) and the American convert Henry Steel Olcott sought to show that Buddhism was rational and compatible with modern Scientific ideas such as the theory of evolution. Dharmapala also argued that Buddhism included a strong social element, interpreting it as liberal, altruistic and democratic.
A later Sri Lankan philosopher, K. N. Jayatilleke (1920–1970), wrote the classic modern account of Buddhist epistemology (Early Buddhist Theory of Knowledge, 1963). His student David Kalupahana wrote on the history of Buddhist thought and psychology. Other important Sri Lankan Buddhist thinkers include Ven Ñāṇananda (Concept and Reality), Walpola Rahula, Hammalawa Saddhatissa (Buddhist Ethics, 1987), Gunapala Dharmasiri (A Buddhist critique of the Christian concept of God, 1988), P. D. Premasiri and R. G. de S. Wettimuny.
In 20th-century China, the modernist Taixu (1890-1947) advocated a reform and revival of Buddhism. He promoted an idea of a Buddhist Pure Land, not as a metaphysical place in Buddhist cosmology but as something possible to create here and now in this very world, which could be achieved through a "Buddhism for Human Life" () which was free of supernatural beliefs. Taixu also wrote on the connections between modern science and Buddhism, ultimately holding that "scientific methods can only corroborate the Buddhist doctrine, they can never advance beyond it". Like Taixu, Yin Shun (1906–2005) advocated a form of Humanistic Buddhism grounded in concern for humanitarian issues, and his students and followers have been influential in promoting Humanistic Buddhism in Taiwan. This period also saw a revival of the study of Weishi (Yogachara), by Yang Rensan (1837-1911), Ouyang Jinwu (1871-1943) and Liang Shuming (1893–1988).
One of Tibetan Buddhism's most influential modernist thinkers is Gendün Chöphel (1903–1951), who, according to Donald S. Lopez Jr., "was arguably the most important Tibetan intellectual of the twentieth century." Gendün Chöphel travelled throughout India with the Indian Buddhist Rahul Sankrityayan and wrote a wide variety of material, including works promoting the importance of modern science to his Tibetan countrymen and also Buddhist philosophical texts such as Adornment for Nagarjuna's Thought. Another very influential Tibetan Buddhist modernist was Chögyam Trungpa, whose Shambhala Training was meant to be more suitable to modern Western sensitivities by offering a vision of "secular enlightenment".
In Southeast Asia, thinkers such as Buddhadasa, Thích Nhất Hạnh, Sulak Sivaraksa and Aung San Suu Kyi have promoted a philosophy of socially Engaged Buddhism and have written on the socio-political application of Buddhism. Likewise, Buddhist approaches to economic ethics (Buddhist economics) have been explored in the works of E. F. Schumacher, Prayudh Payutto, Neville Karunatilake and Padmasiri de Silva. The study of the Pali Abhidhamma tradition continued to be influential in Myanmar, where it was developed by monks such as Ledi Sayadaw and Mahasi Sayadaw.
Japanese philosophy was heavily influenced by the work of the Kyoto School which included Kitaro Nishida, Keiji Nishitani, Hajime Tanabe and Masao Abe. These thinkers brought Buddhist ideas in dialogue with Western philosophy, especially European phenomenologists and existentialists. The most important trend in Japanese Buddhist thought after the formation of the Kyoto school is Critical Buddhism, which argues against several Mahayana concepts such as Buddha nature and original enlightenment. In Nichiren Buddhism, the work of Daisaku Ikeda has also been popular.
The Japanese Zen Buddhist D.T. Suzuki (1870–1966) was instrumental in bringing Zen Buddhism to the West and his Buddhist modernist works were very influential in the United States. Suzuki's worldview was a Zen Buddhism influenced by Romanticism and Transcendentalism, which promoted spiritual freedom as "a spontaneous, emancipatory consciousness that transcends rational intellect and social convention." This idea of Buddhism influenced the Beat writers, and a contemporary representative of Western Buddhist Romanticism is Gary Snyder. The American Theravada Buddhist monk Thanissaro Bhikkhu has critiqued 'Buddhist Romanticism' in his writings.
Western Buddhist monastics and priests such as Nanavira Thera, Bhikkhu Bodhi, Nyanaponika Thera, Robert Aitken, Taigen Dan Leighton, and Matthieu Ricard have written texts on Buddhist philosophy. A feature of Buddhist thought in the West has been a desire for dialogue and integration with modern science and psychology, and various modern Buddhists such as B. Alan Wallace, James H. Austin, Mark Epstein and the 14th Dalai Lama have worked and written on this issue.
Another area of convergence has been Buddhism and environmentalism, which is explored in the work of Joanna Macy. Another Western Buddhist philosophical trend has been the project to secularize Buddhism, as seen in the works of Stephen Batchelor.
In the West, Comparative philosophy between Buddhist and Western thought began with the work of Charles A. Moore, who founded the journal Philosophy East and West. Contemporary Western Academics such as Mark Siderits, Jan Westerhoff, Jonardon Ganeri, Miri Albahari, Owen Flanagan, Damien Keown, Tom Tillemans, David Loy, Evan Thompson and Jay Garfield have written various works which interpret Buddhist ideas through Western philosophy.
Comparison with other philosophies
Scholars such as Thomas McEvilley, Christopher I. Beckwith, and Adrian Kuzminski have identified cross influences between ancient Buddhism and the ancient Greek philosophy of Pyrrhonism. The Greek philosopher Pyrrho spent 18 months in India as part of Alexander the Great's court on Alexander's conquest of western India, where ancient biographers say his contact with the gymnosophists caused him to create his philosophy. Because of the high degree of similarity between Nāgārjuna's philosophy and Pyrrhonism, particularly the surviving works of Sextus Empiricus, Thomas McEvilley suspects that Nāgārjuna was influenced by Greek Pyrrhonist texts imported into India.
Baruch Spinoza, though he argued for the existence of a permanent reality, asserts that all phenomenal existence is transitory. In his opinion sorrow is conquered "by finding an object of knowledge which is not transient, not ephemeral, but is immutable, permanent, everlasting." The Buddha taught that the only thing which is eternal is Nirvana. David Hume, after a relentless analysis of the mind, concluded that consciousness consists of fleeting mental states. Hume's Bundle theory is a very similar concept to the Buddhist skandhas, though his skepticism about causation leads him to opposite conclusions in other areas. Arthur Schopenhauer's philosophy parallels Buddhism in his affirmation of asceticism and renunciation as a response to suffering and desire (cf. Schopenhauer's The World as Will and Representation, 1818).
Ludwig Wittgenstein's "language-game" closely parallel the warning that intellectual speculation or papañca is an impediment to understanding, as found in the Buddhist Parable of the Poison Arrow. Friedrich Nietzsche, although himself dismissive of Buddhism as yet another nihilism, had a similar impermanent view of the self. Heidegger's ideas on being and nothingness have been held by some to be similar to Buddhism today.
An alternative approach to the comparison of Buddhist thought with Western philosophy is to use the concept of the Middle Way in Buddhism as a critical tool for the assessment of Western philosophies. In this way, Western philosophies can be classified in Buddhist terms as eternalist or nihilist. In a Buddhist view, all philosophies are considered non-essential views (ditthis) and not to be clung to.
See also
Buddhism and science
Buddhist ethics
Buddhist logic
Critical Buddhism
God in Buddhism
List of Buddhist terms and concepts
List of Buddhist topics
List of sutras
Madhyamaka
Mindstream
Reality in Buddhism
Notes
References
Sources
External links
Buddhism in a Nutshell
2500 Years of Buddhism by Prof. P.Y. Bapat (1956) at archive.org
Nāstika
Tibetan Buddhism | 9 |
is a Japanese mecha-anime television series created by designer Keiichi Sato and director Kazuyoshi Katayama for Sunrise. The writing staff was assembled by the series' head writer, Chiaki J. Konaka, who is known for his work on Serial Experiments Lain and Hellsing. The story takes place forty years after a mysterious occurrence causes the residents of Paradigm City to lose their memories. The series follows Roger Smith, Paradigm City's top Negotiator. He provides this "much needed service" with the help of a robot named R. Dorothy Wayneright and his butler Norman Burg. When the need arises, Roger calls upon Big O, a giant relic from the city's past.
The television series was designed as a tribute to Japanese and Western shows from the 1960s and 1970s. The series is presented in the style of film noir and combines themes of detective fiction and mecha anime. The setpieces are reminiscent of tokusatsu productions of the 1950s and 1960s, particularly Toho's kaiju movies, and the score is an eclectic mix of styles and musical homages.
The Big O aired on Wowow satellite television from October 13, 1999, and January 19, 2000. The English-language version premiered on Cartoon Network's Toonami on April 2, 2001, and ended on April 23, 2001. Originally planned as a 26-episode series, low viewership in Japan reduced production to the first 13. Positive international reception resulted in a second season consisting of the remaining 13 episodes, co-produced by Cartoon Network, Sunrise, and Bandai Visual. Season two premiered on Japan's Sun Television on January 2, 2003, and the American premiere took place seven months later. Following the closure of Bandai Entertainment by parent company Bandai (owned by Bandai Namco Holdings) in 2012, Sunrise announced at Otakon 2013 that Sentai Filmworks acquired both seasons of The Big O.
Synopsis
Setting
The Big O is set in the fictional city-state of . The city is located on a seacoast and is surrounded by a vast desert wasteland. The partially domed city is wholly controlled by the monopolistic Paradigm Corporation, resulting in a corporate police state. Paradigm is known as because forty years prior to the story, destroyed the world outside the city and left the survivors without any prior memories. The city is characterized by severe class inequity; the higher-income population resides inside the more pleasant domes, with the remainder left in tenements outside. Residents of the city believe that they are the last survivors of the world and no other nations exist outside the city. Androids and giant robots known as "Megadeus" coexist with the residents of Paradigm City and residents do not find them unusual.
Plot
After failing to negotiate with terrorists at the cost of his client's life, Roger Smith is obligated to care for Dorothy Wayneright, a young female android. Over the course of the series, Roger Smith continues to accept negotiation work from the residents of Paradigm City, he often leads to uncovering the nature and mystery of Paradigm City and encountering megadeus or other giant enemies that require Big O. Supporting characters are Angel, a mysterious woman in search of memories; Dan Dastun, chief of the military police of Paradigm city and old friend of Roger Smith; and Norman Burg, the butler of Roger Smith and mechanic of Big O.
The main antagonist is Alex Rosewater, chairman of Paradigm City whose goal is to revive the megadeus "Big Fau" in attempts to become the god of Paradigm City. Other recurring antagonists are Jason Beck, criminal and con-artist attempting to humiliate Roger Smith; Schwarzwald, an ex-reporter obsessed with finding the truth of Paradigm City and also pilot of the megadeus "Big Duo"; Vera Ronstadt, leader of a group of foreigners known as the Union searching for memories and revenge against Paradigm City; and Alan Gabriel, a cyborg assassin working for Alex Rosewater and the Union.
The series ends with the awakening of a new megadeus, and the revelation that the world is a simulated reality. A climactic battle ensues between Big O and Big Fau, after which reality is systematically erased by the new megadeus, an incarnation of Angel, recognized as "Big Venus" by Dorothy. Roger implores Angel to "let go of the past" regardless of its existential reality, and focus only on the present and the future. In an isolated control room, the real Angel observes Roger and her past encounters with him on a series of television monitors. On the control panel lies Metropolis, a book featured prominently since the thirteenth episode; the cover features an illustration of angel wings and gives the author's name as "Angel Rosewater". Big Venus and Big O physically merge, causing the virtual reality to reset. The final scene shows Roger Smith driving down a restored Paradigm city with Dorothy and Angel observing him from the side of the road.
Production and release
Development of the retro-styled series began in 1996. Keiichi Sato came up with the concept of The Big O: a giant city-smashing robot, piloted by a man in black, in a Gotham-like environment. He later met up with Kazuyoshi Katayama, who had just finished directing Those Who Hunt Elves, and started work on the layouts and character designs. But when things "were about to really start moving," production on Katayama's Sentimental Journey began, putting plans on hold. Meanwhile, Sato was heavily involved with his work on City Hunter.
Sato admits it all started as "a gimmick for a toy" but the representatives at Bandai Hobby Division did not see the same potential. From there on, the dealings would be with Bandai Visual, but Sunrise still needed some safeguards and requested more robots be designed to increase prospective toy sales. In 1999, with the designs complete, Chiaki J. Konaka was brought on as head writer. Among other things, Konaka came up with the idea of "a town without memory" and his writing staff put together the outline for a 26-episodes series.
The Big O premiered on October 13, 1999, on Wowow. When the production staff was informed the series would be shortened to 13 episodes, the writers decided to end it with a cliffhanger, hoping the next 13 episodes would be picked up. In April 2001, The Big O premiered on Cartoon Network's Toonami lineup.
The series garnered positive fan response internationally that resulted in a second season co-produced by Cartoon Network and Sunrise. Season two premiered on Japan's Sun Television in January 2003, with the American premiere taking place seven months later as an Adult Swim exclusive. The second season would not be seen on Toonami until July 27, 2013, 10 years after it began airing on Adult Swim.
The second season was scripted by Chiaki Konaka with input from the American producers. Cartoon Network raised two requests for the second season: more action and reveal the mystery in the first season, although Kazuyoshi Katayama admitted that he did not intend to reveal it, just to make an anthology of adventures setting in the universe. Along with the 13 episodes of season two, Cartoon Network had an option for 26 additional episodes to be written by Konaka, but according to Jason DeMarco, executive producer for season two, the middling ratings and DVD sales in the United States and Japan made any further episodes impossible to be produced.
Following the closure of Bandai Entertainment by parent company in 2012, Sunrise announced at Otakon 2013 that Sentai Filmworks rescued both seasons of The Big O. On June 20, 2017, Sentai Filmworks released both seasons on Blu-ray.
Music
The Big O was scored by Geidai alumnus Toshihiko Sahashi. His composition is richly symphonic and classical, with a number of pieces delving into electronica and jazz. Chosen because of his "frightening amount of musical knowledge about TV dramas overseas," Sahashi integrates musical homages into the soundtrack. The background music draws from film noir, spy films and sci-fi television series like The Twilight Zone. The battle themes are reminiscent of Akira Ifukube's compositions for the Godzilla series.
The first opening theme is the Queen-influenced "Big-O!". Composed, arranged and performed by Rui Nagai, the song resembles the theme to the Flash Gordon film. The second opening theme is "Respect," composed by Sahashi. The track is an homage to the music of UFO, composed by Barry Gray. In 2007, Rui Nagai composed "Big-O! Show Must Go On," a 1960s hard rock piece, for Animax's reruns of the show; this composition replaced the original opening themes for the Blu-Ray release of the series. The closing theme is the slow love ballad "And Forever..." written by Chie and composed by Ken Shima. The duet is performed by Robbie Danzie and Naoki Takao.
Along with Sahashi's original compositions, the soundtrack features Chopin's Prelude No. 15 and a jazz saxophone rendition of "Jingle Bells." The complete score was released in two volumes by Victor Entertainment.
Design
The Big O is the brainchild of Keiichi Sato and Kazuyoshi Katayama, an homage to the shows they grew up with. The show references the works of tokusatsu produced by the Toei Company and Tsuburaya Productions, as well as shows such as Super Robot Red Baron and Super Robot Mach Baron and "old school" super robot anime. The series is done in the style of film noir and pulp fiction and combines the feel of a detective show with the giant robot genre.
Style
The Big O shares many of its themes, diction, archetypes and visual iconography with film noirs of the 1940s like The Big Sleep (1946). The series incorporates the use of long dark shadows in the tradition of chiaroscuro and tenebrism. Film noir is also known for its use of odd angles, such as Roger's low shot introduction in the first episode. Noir cinematographers favoured this angle because it made characters almost rise from the ground, giving them dramatic girth and symbolic overtones. Other disorientating devices like dutch angles, mirror reflection and distorting shots are employed throughout the series.
The characters of The Big O fit the noir and pulp fiction archetypes. Roger Smith is a protagonist in the mold of Chandler's Philip Marlowe or Hammett's Sam Spade. He is canny and cynical, a disillusioned cop-turned-negotiator whose job has more in common with detective-style work than negotiating. Big Ear is Roger's street informant and Dan Dastun is the friend on the police force. The recurring Beck is the imaginative thug compelled by delusions of grandeur while Angel fills the role of the femme fatale. Minor characters include crooked cops, corrupt business men and deranged scientists.
The dialogue in the series is recognized for its witty, wry sense of humor. The characters come off as charming and exchange banter not often heard in anime series, as the dialogue has the tendency to be straightforward. The plot is moved along by Roger's voice-over narration, a device used in film noir to place the viewer in the mind of the protagonist so it can intimately experience the character's angst and partly identify with the narrator.
The tall buildings and giant domes create a sense of claustrophobia and paranoia characteristic of the style. The rural landscape, Ailesberry Farm, contrasts Paradigm City. Noir protagonists often look for sanctuary in such settings but they just as likely end up becoming a killing ground. The series score is representative of its setting. While no classic noir possesses a jazz score, the music could be heard in nightclubs within the films. Roger's recurring theme, a lone saxophone accompaniment to the protagonist's narration, best exemplifies the noir stylings of the series.
Amnesia is a common plot device in film noir. Because most of these stories focused on a character proving his innocence, authors up the ante by making him an amnesiac, unable to prove his innocence even to himself.
Influences
Before The Big O, Sunrise was a subcontractor for Warner Bros. Animation's Batman: The Animated Series, one of the series' influences. Cartoon Network, under the Toonami flag advertised the series as "One part Bond. One part Bruce Wayne. One part City Smashing Robot."
Roger Smith is a pastiche of the Bruce Wayne persona and the Batman. The character design resembles Wayne, complete with slicked-back hair and double-breasted business suit. Like Bruce, Roger prides himself in being a rich playboy to the extent that one of his household's rules is only women may be let into his mansion without his permission. Like Batman, Roger Smith carries a no-gun policy, albeit more flexible. Unlike the personal motives of the Batman, Roger enforces this rule for "it's all part of being a gentleman." Among Roger's gadgetry is the Griffon, a large, black hi-tech sedan comparable to the Batmobile, a grappling cable that shoots out his wristwatch and the giant robot that Angel calls "Roger's alter ego."
The Big O'''s cast of supporting characters includes Norman, Roger's faithful mechanically-inclined butler who fills the role of Alfred Pennyworth; R. Dorothy Wayneright, who plays the role of the sidekick; and Dan Dastun, a good honest cop who, like Jim Gordon, is both a friend to the hero and greatly respected by his comrades.
The other major influence is Mitsuteru Yokoyama's Giant Robo. Before working on The Big O, Kazuyoshi Katayama and other animators worked with Yasuhiro Imagawa on Giant Robo: The Day the Earth Stood Still. The feature, a "retro chic" homage to Yokoyama's career, took seven years to produce and suffered low sales and high running costs. Frustrated by the experience, Katayama and his staff put all their efforts into making "good" with The Big O.
Like Giant Robo, the megadeuses of Big O are metal behemoths. The designs are strange and "more macho than practical," sporting big stovepipe arms and exposed rivets. Unlike the giants of other mecha series, the megadeuses do not exhibit ninja-like speed nor grace. Instead, the robots are armed with "old school" weaponry such as missiles, piston powered punches, machine guns and laser cannons.
Katayama also cited Super Robot Red Baron and Super Robot Mach Baron among influences on the inspiration of The Big O. Believing that because Red Baron had such a low budget and the big fights always happened outside of a city setting, he wanted Big O to be the show he felt Red Baron could be with a bigger budget. He also spoke of how he first came up with designs for the robots first as if they were making designs to appeal to toy companies, rather than how Gundam was created with a toy company wanting an anime to represent their new product. Big O's large pumping piston "Sudden Impact" arms, for example, he felt would be cool gimmicks in a toy.
Related media
PublicationsThe Big O was conceived as a media franchise. To this effect, Sunrise requested a manga be produced along with the animated series. The Big O manga started serialization in Kodansha's Magazine Z in July 1999, three months before the anime premiere. Authored by Hitoshi Ariga, the manga uses Keiichi Sato's concept designs in an all-new story. The series ended in October 2001. The issues were later collected in six volumes. The English version of the manga is published by Viz Media.
In anticipation of the broadcast of the second season, a new manga series was published. , authored by Hitoshi Ariga. Lost Memory takes place between volumes five and six of the original manga. The issues were serialized in Magazine Z from November 2002 to September 2003 and were collected in two volumes. , a novel by Yuki Taniguchi, was released 16 July 2003 by Tokuma Shoten.The Big O Visual: The official companion to the TV series () was published by Futabasha in 2003. The book contains full-color artwork, character bios and concept art, mecha sketches, video/LD/DVD jacket illustrations, history on the making of The Big O, staff interviews, "Roger's Monologues" comic strip and the original script for the final episode of the series.
Audio drama
"Walking Together On The Yellow Brick Road" was released by Victor Entertainment on 21 September 2000. The drama CD was written by series head writer Chiaki J. Konaka and featured the series' voice cast. An English translation, written by English dub translator David Fleming, was posted on Konaka's website.
Video games
The first season of Big O is featured in Super Robot Wars D for the Game Boy Advance in 2003. The series, including its second season, is also featured in Super Robot Wars Z, released in 2008. The Big O became a mainstay of the "Z" games, appearing in each entry of the subseries.
Toys and model kits
Bandai released a non-scale model kit of Big O in 2000. Though it was an easy snap-together kit, it required painting, as all of the parts (except the clear orange crown and canopy) were molded in dark gray. The kit included springs that enabled the slide-action Side Piles on the forearms to simulate Big O's Sudden Impact maneuver. Also included was an unpainted Roger Smith figure.
PVC figures of Big O and Big Duo (Schwarzwald's Megadeus) were sold by Bandai America. Each came with non-poseable figures of Roger, Dorothy and Angel. Mini-figure sets were sold in Japan and America during the run of the second season. The characters included Big O (standard and attack modes), Roger, Dorothy & Norman, Griffon (Roger's car), Dorothy-1 (Big O's first opponent), Schwarzwald and Big Duo.
In 2009, Bandai released a plastic/diecast figure of the Big O under their Soul of Chogokin line. The figure has the same features as the model kit, but with added detail and accessories. Its design was closely supervised by original designer Keiichi Sato.
In 2011, Max Factory released action figures of Roger and Dorothy through their Figma toyline. Like most Figmas, they are very detailed, articulated and come with accessories and interchangeable faces. In the same year, Max Factory also released a 12-inch, diecast figure of Big O under their Max Gokin line. The figure contained most of the accessories as the Soul of Chogokin figure but also included some others that could be bought separately from the SOC figure, such as the Mobydick (hip) Anchors and Roger Smith's car: the Griffon. Like the Soul of Chogokin figure, its design was also supervised by Keiichi Sato. As well, in that same year, Max Factory released soft vinyl figures of Big Duo and Big Fau, in-scale with the Max Gokin Big O. These figures are high in detail but limited in articulation, such as the arms and legs being the only things to move. To date, this is the only action figure of Big Fau.
ReceptionThe Big O premiered on October 13, 1999. The show was not a hit in its native Japan, rather it was reduced from an outlined 26 episodes to 13 episodes. Western audiences were more receptive and the series achieved the success its creators were looking for. In an interview with AnimePlay, Keiichi Sato said "This is exactly as we had planned", referring to the success overseas.<ref name = "AnimePlay">{{cite journal |last= Shimura |first= Shinichi |title= Anime rebel with a cause: The Big O's Keiichi Sato | journal= AnimePlay | volume = 5 | year = 2004 | pages = 22–26 }}</ref>
Several words appear constantly in the English-language reviews; adjectives like "hip", "sleek," "stylish",
"classy", and, above all, "cool" serve to describe the artwork, the concept, and the series itself. Reviewers have pointed out references and homages to various works of fiction, namely Batman, Giant Robo, the works of Isaac Asimov, Fritz Lang's Metropolis, James Bond, and Cowboy Bebop. But "while saying that may cause one to think the show is completely derivative", reads an article at Anime on DVD, "The Big O still manages to stand out as something original amongst the other numerous cookie-cutter anime shows." One reviewer cites the extensive homages as one of the series problems and calls to unoriginality on the creators' part.
The first season's reception was positive. Anime on DVD recommends it as an essential series. Chris Beveridge of the aforementioned site gave an A− to Vols. 1 and 2, and a B+ to Vols. 3 and 4. Mike Toole of Anime Jump gave it 4.5 (out of a possible 5) stars, while the review at the Anime Academy gave it a grade of 83, listing the series' high points as being "unique", the characters "interesting," and the action "nice." Reviewers, and fans alike, agree the season's downfall was the ending, or its lack thereof. The dangling plot threads frustrated the viewers and prompted Cartoon Network's involvement in the production of further episodes.
The look and feel of the show received a big enhancement in the second season. This time around, the animation is "near OVA quality" and the artwork "far more lush and detailed." Also enhanced are the troubles of the first season. The giant robot battles still seem out of place to some, while others praise the "over-the-top-ness" of their execution.
For some reviewers, the second season "doesn't quite match the first" addressing to "something" missing in these episodes. Andy Patrizio of IGN points out changes in Roger Smith's character, who "lost some of his cool and his very funny side in the second season." Like a repeat of season one, this season's ending is considered its downfall. Chris Beveridge of Anime on DVD wonders if this was head writer "Konaka's attempt to throw his hat into the ring for creating one of the most confusing and oblique endings of any series." Patrizio states "the creators watched The Truman Show and The Matrix a few times too many."
The series continues to have a strong cult following into the 2010s. In 2014 BuzzFeed writer Ryan Broderick ranked The Big O as one of the best anime series to binge-watch. Dan Casey host of The Nerdist's Dan Cave stated The Big O was the anime series he was most eager to see rebooted or remade, along with Trigun and Soul Eater. In 2017, Ollie Barder of Forbes wrote, "From the classic and retro styled mecha design of Keiichi Sato to the overall film noir visual tone of the series, The Big O was a fascinating and visually very different kind of show. It also had a fantastic voice cast, with probably the most notable of these being Akiko Yajima as the voice of Roger's disapproving android Dorothy." In 2019, Crunchyroll writer Thomas Zoth ranked The Big O'' as his top 10 anime since the 1990s.
References
Notes
Citations
External links
1999 anime television series debuts
1999 manga
2000 Japanese television series endings
2002 manga
2003 Japanese television series endings
2003 anime television series debuts
Animated television series about robots
Anime with original screenplays
Bandai Entertainment anime titles
Bandai Namco franchises
Bandai Visual
Fiction about amnesia
Japanese adult animated science fiction television series
Kodansha manga
Madman Entertainment anime
Neo-noir television series
Post-apocalyptic anime and manga
Seinen manga
Sentai Filmworks
Sunrise (company)
Super robot anime and manga
Toonami
Viz Media manga
Wowow original programming | 6 |
In computing, BIOS (, ; Basic Input/Output System, also known as the System BIOS, ROM BIOS, BIOS ROM or PC BIOS) is firmware used to provide runtime services for operating systems and programs and to perform hardware initialization during the booting process (power-on startup). The BIOS firmware comes pre-installed on an IBM PC or IBM PC compatible's system board and exists in some UEFI-based systems to maintain compatibility with operating systems that do not support UEFI native operation. The name originates from the Basic Input/Output System used in the CP/M operating system in 1975. The BIOS originally proprietary to the IBM PC has been reverse engineered by some companies (such as Phoenix Technologies) looking to create compatible systems. The interface of that original system serves as a de facto standard.
The BIOS in modern PCs initializes and tests the system hardware components (Power-on self-test), and loads a boot loader from a mass storage device which then initializes a kernel. In the era of DOS, the BIOS provided BIOS interrupt calls for the keyboard, display, storage, and other input/output (I/O) devices that standardized an interface to application programs and the operating system. More recent operating systems do not use the BIOS interrupt calls after startup.
Most BIOS implementations are specifically designed to work with a particular computer or motherboard model, by interfacing with various devices especially system chipset. Originally, BIOS firmware was stored in a ROM chip on the PC motherboard. In later computer systems, the BIOS contents are stored on flash memory so it can be rewritten without removing the chip from the motherboard. This allows easy, end-user updates to the BIOS firmware so new features can be added or bugs can be fixed, but it also creates a possibility for the computer to become infected with BIOS rootkits. Furthermore, a BIOS upgrade that fails could brick the motherboard. The last version of Microsoft Windows to officially support running on PCs which use legacy BIOS firmware is Windows 10 as Windows 11 requires a UEFI-compliant system.
Unified Extensible Firmware Interface (UEFI) is a successor to the legacy PC BIOS, aiming to address its technical limitations.
History
The term BIOS (Basic Input/Output System) was created by Gary Kildall and first appeared in the CP/M operating system in 1975, describing the machine-specific part of CP/M loaded during boot time that interfaces directly with the hardware. (A CP/M machine usually has only a simple boot loader in its ROM.)
Versions of MS-DOS, PC DOS or DR-DOS contain a file called variously "IO.SYS", "IBMBIO.COM", "IBMBIO.SYS", or "DRBIOS.SYS"; this file is known as the "DOS BIOS" (also known as the "DOS I/O System") and contains the lower-level hardware-specific part of the operating system. Together with the underlying hardware-specific but operating system-independent "System BIOS", which resides in ROM, it represents the analogue to the "CP/M BIOS".
The BIOS originally proprietary to the IBM PC has been reverse engineered by some companies (such as Phoenix Technologies) looking to create compatible systems.
With the introduction of PS/2 machines, IBM divided the System BIOS into real- and protected-mode portions. The real-mode portion was meant to provide backward compatibility with existing operating systems such as DOS, and therefore was named "CBIOS" (for "Compatibility BIOS"), whereas the "ABIOS" (for "Advanced BIOS") provided new interfaces specifically suited for multitasking operating systems such as OS/2.
User interface
The BIOS of the original IBM PC and XT had no interactive user interface. Error codes or messages were displayed on the screen, or coded series of sounds were generated to signal errors when the power-on self-test (POST) had not proceeded to the point of successfully initializing a video display adapter. Options on the IBM PC and XT were set by switches and jumpers on the main board and on expansion cards. Starting around the mid-1990s, it became typical for the BIOS ROM to include a "BIOS configuration utility" (BCU) or "BIOS setup utility", accessed at system power-up by a particular key sequence. This program allowed the user to set system configuration options, of the type formerly set using DIP switches, through an interactive menu system controlled through the keyboard. In the interim period, IBM-compatible PCsincluding the IBM ATheld configuration settings in battery-backed RAM and used a bootable configuration program on floppy disk, not in the ROM, to set the configuration options contained in this memory. The floppy disk was supplied with the computer, and if it was lost the system settings could not be changed. The same applied in general to computers with an EISA bus, for which the configuration program was called an EISA Configuration Utility (ECU).
A modern Wintel-compatible computer provides a setup routine essentially unchanged in nature from the ROM-resident BIOS setup utilities of the late 1990s; the user can configure hardware options using the keyboard and video display. The modern Wintel machine may store the BIOS configuration settings in flash ROM, perhaps the same flash ROM that holds the BIOS itself.
Operation
System startup
Early Intel processors started at physical address 000FFFF0h. Systems with later processors provide logic to start running the BIOS from the system ROM.
If the system has just been powered up or the reset button was pressed ("cold boot"), the full power-on self-test (POST) is run. If Ctrl+Alt+Delete was pressed ("warm boot"), a special flag value stored in nonvolatile BIOS memory ("CMOS") tested by the BIOS allows bypass of the lengthy POST and memory detection.
The POST identifies, tests and initializes system devices such as the CPU, chipset, RAM, motherboard, video card, keyboard, mouse, hard disk drive, optical disc drive and other hardware, including integrated peripherals.
Early IBM PCs had a routine in the POST that would download a program into RAM through the keyboard port and run it. This feature was intended for factory test or diagnostic purposes.
Boot process
After the option ROM scan is completed and all detected ROM modules with valid checksums have been called, or immediately after POST in a BIOS version that does not scan for option ROMs, the BIOS calls INT 19h to start boot processing. Post-boot, programs loaded can also call INT 19h to reboot the system, but they must be careful to disable interrupts and other asynchronous hardware processes that may interfere with the BIOS rebooting process, or else the system may hang or crash while it is rebooting.
When INT 19h is called, the BIOS attempts to locate boot loader software on a "boot device", such as a hard disk, a floppy disk, CD, or DVD. It loads and executes the first boot software it finds, giving it control of the PC.
The BIOS uses the boot devices set in Nonvolatile BIOS memory (CMOS), or, in the earliest PCs, DIP switches. The BIOS checks each device in order to see if it is bootable by attempting to load the first sector (boot sector). If the sector cannot be read, the BIOS proceeds to the next device. If the sector is read successfully, some BIOSes will also check for the boot sector signature 0x55 0xAA in the last two bytes of the sector (which is 512 bytes long), before accepting a boot sector and considering the device bootable.
When a bootable device is found, the BIOS transfers control to the loaded sector. The BIOS does not interpret the contents of the boot sector other than to possibly check for the boot sector signature in the last two bytes. Interpretation of data structures like partition tables and BIOS Parameter Blocks is done by the boot program in the boot sector itself or by other programs loaded through the boot process.
A non-disk device such as a network adapter attempts booting by a procedure that is defined by its option ROM or the equivalent integrated into the motherboard BIOS ROM. As such, option ROMs may also influence or supplant the boot process defined by the motherboard BIOS ROM.
With the El Torito optical media boot standard, the optical drive actually emulates a 3.5" high-density floppy disk to the BIOS for boot purposes. Reading the "first sector" of a CD-ROM or DVD-ROM is not a simply defined operation like it is on a floppy disk or a hard disk. Furthermore, the complexity of the medium makes it difficult to write a useful boot program in one sector. The bootable virtual floppy disk can contain software that provides access to the optical medium in its native format.
Boot priority
The user can select the boot priority implemented by the BIOS. For example, most computers have a hard disk that is bootable, but sometimes there is a removable-media drive that has higher boot priority, so the user can cause a removable disk to be booted.
In most modern BIOSes, the boot priority order can be configured by the user. In older BIOSes, limited boot priority options are selectable; in the earliest BIOSes, a fixed priority scheme was implemented, with floppy disk drives first, fixed disks (i.e., hard disks) second, and typically no other boot devices supported, subject to modification of these rules by installed option ROMs. The BIOS in an early PC also usually would only boot from the first floppy disk drive or the first hard disk drive, even if there were two drives installed.
Boot failure
On the original IBM PC and XT, if no bootable disk was found, ROM BASIC was started by calling INT 18h. Since few programs used BASIC in ROM, clone PC makers left it out; then a computer that failed to boot from a disk would display "No ROM BASIC" and halt (in response to INT 18h).
Later computers would display a message like "No bootable disk found"; some would prompt for a disk to be inserted and a key to be pressed to retry the boot process. A modern BIOS may display nothing or may automatically enter the BIOS configuration utility when the boot process fails.
Boot environment
The environment for the boot program is very simple: the CPU is in real mode and the general-purpose and segment registers are undefined, except SS, SP, CS, and DL. CS:IP always points to physical address 0x07C00. What values CS and IP actually have is not well defined. Some BIOSes use a CS:IP of 0x0000:0x7C00 while others may use 0x07C0:0x0000. Because boot programs are always loaded at this fixed address, there is no need for a boot program to be relocatable. DL may contain the drive number, as used with INT 13h, of the boot device. SS:SP points to a valid stack that is presumably large enough to support hardware interrupts, but otherwise SS and SP are undefined. (A stack must be already set up in order for interrupts to be serviced, and interrupts must be enabled in order for the system timer-tick interrupt, which BIOS always uses at least to maintain the time-of-day count and which it initializes during POST, to be active and for the keyboard to work. The keyboard works even if the BIOS keyboard service is not called; keystrokes are received and placed in the 15-character type-ahead buffer maintained by BIOS.) The boot program must set up its own stack, because the size of the stack set up by BIOS is unknown and its location is likewise variable; although the boot program can investigate the default stack by examining SS:SP, it is easier and shorter to just unconditionally set up a new stack.
At boot time, all BIOS services are available, and the memory below address 0x00400 contains the interrupt vector table. BIOS POST has initialized the system timers, interrupt controller(s), DMA controller(s), and other motherboard/chipset hardware as necessary to bring all BIOS services to ready status. DRAM refresh for all system DRAM in conventional memory and extended memory, but not necessarily expanded memory, has been set up and is running. The interrupt vectors corresponding to the BIOS interrupts have been set to point at the appropriate entry points in the BIOS, hardware interrupt vectors for devices initialized by the BIOS have been set to point to the BIOS-provided ISRs, and some other interrupts, including ones that BIOS generates for programs to hook, have been set to a default dummy ISR that immediately returns. The BIOS maintains a reserved block of system RAM at addresses 0x00400–0x004FF with various parameters initialized during the POST. All memory at and above address 0x00500 can be used by the boot program; it may even overwrite itself.
Extensions (option ROMs)
Peripheral cards such as hard disk drive host bus adapters and video cards have their own firmware, and BIOS extension option ROM may be a part of the expansion card firmware, which provide additional functionality to BIOS. Code in option ROMs runs before the BIOS boots the operating system from mass storage. These ROMs typically test and initialize hardware, add new BIOS services, or replace existing BIOS services with their own services. For example, a SCSI controller usually has a BIOS extension ROM that adds support for hard drives connected through that controller. An extension ROM could in principle contain operating system, or it could implement an entirely different boot process such as network booting. Operation of an IBM-compatible computer system can be completely changed by removing or inserting an adapter card (or a ROM chip) that contains a BIOS extension ROM.
The motherboard BIOS typically contains code for initializing and bootstrapping integrated display and integrated storage. In addition, plug-in adapter cards such as SCSI, RAID, network interface cards, and video cards often include their own BIOS (e.g. Video BIOS), complementing or replacing the system BIOS code for the given component. Even devices built into the motherboard can behave in this way; their option ROMs can be a part of the motherboard BIOS.
An add-in card requires an option ROM if the card is not supported by the motherboard BIOS and the card needs to be initialized or made accessible through BIOS services before the operating system can be loaded (usually this means it is required in the boot process). An additional advantage of ROM on some early PC systems (notably including the IBM PCjr) was that ROM was faster than main system RAM. (On modern systems, the case is very much the reverse of this, and BIOS ROM code is usually copied ("shadowed") into RAM so it will run faster.)
Boot procedure
If an expansion ROM wishes to change the way the system boots (such as from a network device or a SCSI adapter) in a cooperative way, it can use the BIOS Boot Specification (BBS) API to register its ability to do so. Once the expansion ROMs have registered using the BBS APIs, the user can select among the available boot options from within the BIOS's user interface. This is why most BBS compliant PC BIOS implementations will not allow the user to enter the BIOS's user interface until the expansion ROMs have finished executing and registering themselves with the BBS API.
Also, if an expansion ROM wishes to change the way the system boots unilaterally, it can simply hook INT 19h or other interrupts normally called from interrupt 19h, such as INT 13h, the BIOS disk service, to intercept the BIOS boot process. Then it can replace the BIOS boot process with one of its own, or it can merely modify the boot sequence by inserting its own boot actions into it, by preventing the BIOS from detecting certain devices as bootable, or both. Before the BIOS Boot Specification was promulgated, this was the only way for expansion ROMs to implement boot capability for devices not supported for booting by the native BIOS of the motherboard.
Initialization
After the motherboard BIOS completes its POST, most BIOS versions search for option ROM modules, also called BIOS extension ROMs, and execute them. The motherboard BIOS scans for extension ROMs in a portion of the "upper memory area" (the part of the x86 real-mode address space at and above address 0xA0000) and runs each ROM found, in order. To discover memory-mapped option ROMs, a BIOS implementation scans the real-mode address space from 0x0C0000 to 0x0F0000 on 2 KB (2,048 bytes) boundaries, looking for a two-byte ROM signature: 0x55 followed by 0xAA. In a valid expansion ROM, this signature is followed by a single byte indicating the number of 512-byte blocks the expansion ROM occupies in real memory, and the next byte is the option ROM's entry point (also known as its "entry offset"). If the ROM has a valid checksum, the BIOS transfers control to the entry address, which in a normal BIOS extension ROM should be the beginning of the extension's initialization routine.
At this point, the extension ROM code takes over, typically testing and initializing the hardware it controls and registering interrupt vectors for use by post-boot applications. It may use BIOS services (including those provided by previously initialized option ROMs) to provide a user configuration interface, to display diagnostic information, or to do anything else that it requires. It is possible that an option ROM will not return to BIOS, pre-empting the BIOS's boot sequence altogether.
An option ROM should normally return to the BIOS after completing its initialization process. Once (and if) an option ROM returns, the BIOS continues searching for more option ROMs, calling each as it is found, until the entire option ROM area in the memory space has been scanned.
Physical placement
Option ROMs normally reside on adapter cards. However, the original PC, and perhaps also the PC XT, have a spare ROM socket on the motherboard (the "system board" in IBM's terms) into which an option ROM can be inserted, and the four ROMs that contain the BASIC interpreter can also be removed and replaced with custom ROMs which can be option ROMs. The IBM PCjr is unique among PCs in having two ROM cartridge slots on the front. Cartridges in these slots map into the same region of the upper memory area used for option ROMs, and the cartridges can contain option ROM modules that the BIOS would recognize. The cartridges can also contain other types of ROM modules, such as BASIC programs, that are handled differently. One PCjr cartridge can contain several ROM modules of different types, possibly stored together in one ROM chip.
Operating system services
The BIOS ROM is customized to the particular manufacturer's hardware, allowing low-level services (such as reading a keystroke or writing a sector of data to diskette) to be provided in a standardized way to programs, including operating systems. For example, an IBM PC might have either a monochrome or a color display adapter (using different display memory addresses and hardware), but a single, standard, BIOS system call may be invoked to display a character at a specified position on the screen in text mode or graphics mode.
The BIOS provides a small library of basic input/output functions to operate peripherals (such as the keyboard, rudimentary text and graphics display functions and so forth). When using MS-DOS, BIOS services could be accessed by an application program (or by MS-DOS) by executing an INT 13h interrupt instruction to access disk functions, or by executing one of a number of other documented BIOS interrupt calls to access video display, keyboard, cassette, and other device functions.
Operating systems and executive software that are designed to supersede this basic firmware functionality provide replacement software interfaces to application software. Applications can also provide these services to themselves. This began even in the 1980s under MS-DOS, when programmers observed that using the BIOS video services for graphics display were very slow. To increase the speed of screen output, many programs bypassed the BIOS and programmed the video display hardware directly. Other graphics programmers, particularly but not exclusively in the demoscene, observed that there were technical capabilities of the PC display adapters that were not supported by the IBM BIOS and could not be taken advantage of without circumventing it. Since the AT-compatible BIOS ran in Intel real mode, operating systems that ran in protected mode on 286 and later processors required hardware device drivers compatible with protected mode operation to replace BIOS services.
In modern PCs running modern operating systems (such as Windows and Linux) the BIOS interrupt calls is used only during booting and initial loading of operating systems. Before the operating system's first graphical screen is displayed, input and output are typically handled through BIOS. A boot menu such as the textual menu of Windows, which allows users to choose an operating system to boot, to boot into the safe mode, or to use the last known good configuration, is displayed through BIOS and receives keyboard input through BIOS.
Many modern PCs can still boot and run legacy operating systems such as MS-DOS or DR-DOS that rely heavily on BIOS for their console and disk I/O, providing that the system has a BIOS, or a CSM-capable UEFI firmware.
Processor microcode updates
Intel processors have reprogrammable microcode since the P6 microarchitecture. AMD processors have reprogrammable microcode since the K7 microarchitecture. The BIOS contain patches to the processor microcode that fix errors in the initial processor microcode; microcode is loaded into processor's SRAM so reprogramming is not persistent, thus loading of microcode updates is performed each time the system is powered up. Without reprogrammable microcode, an expensive processor swap would be required; for example, the Pentium FDIV bug became an expensive fiasco for Intel as it required a product recall because the original Pentium processor's defective microcode could not be reprogrammed. Operating systems can update main processor microcode also.
Identification
Some BIOSes contain a software licensing description table (SLIC), a digital signature placed inside the BIOS by the original equipment manufacturer (OEM), for example Dell. The SLIC is inserted into the ACPI data table and contains no active code.
Computer manufacturers that distribute OEM versions of Microsoft Windows and Microsoft application software can use the SLIC to authenticate licensing to the OEM Windows Installation disk and system recovery disc containing Windows software. Systems with a SLIC can be preactivated with an OEM product key, and they verify an XML formatted OEM certificate against the SLIC in the BIOS as a means of self-activating (see System Locked Preinstallation, SLP). If a user performs a fresh install of Windows, they will need to have possession of both the OEM key (either SLP or COA) and the digital certificate for their SLIC in order to bypass activation. This can be achieved if the user performs a restore using a pre-customised image provided by the OEM. Power users can copy the necessary certificate files from the OEM image, decode the SLP product key, then perform SLP activation manually.
Overclocking
Some BIOS implementations allow overclocking, an action in which the CPU is adjusted to a higher clock rate than its manufacturer rating for guaranteed capability. Overclocking may, however, seriously compromise system reliability in insufficiently cooled computers and generally shorten component lifespan. Overclocking, when incorrectly performed, may also cause components to overheat so quickly that they mechanically destroy themselves.
Modern use
Some older operating systems, for example MS-DOS, rely on the BIOS to carry out most input/output tasks within the PC.
Calling real mode BIOS services directly is inefficient for protected mode (and long mode) operating systems. BIOS interrupt calls are not used by modern multitasking operating systems after they initially load.
In 1990s, BIOS provided some protected mode interfaces for Microsoft Windows and Unix-like operating systems, such as Advanced Power Management (APM), Plug and Play BIOS, Desktop Management Interface (DMI), VESA BIOS Extensions (VBE), e820 and MultiProcessor Specification (MPS). Starting from the 2000, most BIOSes provide ACPI, SMBIOS, VBE and e820 interfaces for modern operating systems.
After operating systems load, the System Management Mode code is still running in SMRAM. Since 2010, BIOS technology is in a transitional process toward UEFI.
Configuration
Setup utility
Historically, the BIOS in the IBM PC and XT had no built-in user interface. The BIOS versions in earlier PCs (XT-class) were not software configurable; instead, users set the options via DIP switches on the motherboard. Later computers, including all IBM-compatibles with 80286 CPUs, had a battery-backed nonvolatile BIOS memory (CMOS RAM chip) that held BIOS settings. These settings, such as video-adapter type, memory size, and hard-disk parameters, could only be configured by running a configuration program from a disk, not built into the ROM. A special "reference diskette" was inserted in an IBM AT to configure settings such as memory size.
Early BIOS versions did not have passwords or boot-device selection options. The BIOS was hard-coded to boot from the first floppy drive, or, if that failed, the first hard disk. Access control in early AT-class machines was by a physical keylock switch (which was not hard to defeat if the computer case could be opened). Anyone who could switch on the computer could boot it.
Later, 386-class computers started integrating the BIOS setup utility in the ROM itself, alongside the BIOS code; these computers usually boot into the BIOS setup utility if a certain key or key combination is pressed, otherwise the BIOS POST and boot process are executed.
A modern BIOS setup utility has a text user interface (TUI) or graphical user interface (GUI) accessed by pressing a certain key on the keyboard when the PC starts. Usually, the key is advertised for short time during the early startup, for example "Press DEL to enter Setup". The actual key depends on specific hardware. Features present in the BIOS setup utility typically include:
Configuring, enabling and disabling the hardware components
Setting the system time
Setting the boot order
Setting various passwords, such as a password for securing access to the BIOS user interface and preventing malicious users from booting the system from unauthorized portable storage devices, or a password for booting the system
Hardware monitoring
A modern BIOS setup screen often features a PC Health Status or a Hardware Monitoring tab, which directly interfaces with a Hardware Monitor chip of the mainboard. This makes it possible to monitor CPU and chassis temperature, the voltage provided by the power supply unit, as well as monitor and control the speed of the fans connected to the motherboard.
Once the system is booted, hardware monitoring and computer fan control is normally done directly by the Hardware Monitor chip itself, which can be a separate chip, interfaced through I2C or SMBus, or come as a part of a Super I/O solution, interfaced through Industry Standard Architecture (ISA) or Low Pin Count (LPC). Some operating systems, like NetBSD with envsys and OpenBSD with sysctl hw.sensors, feature integrated interfacing with hardware monitors.
However, in some circumstances, the BIOS also provides the underlying information about hardware monitoring through ACPI, in which case, the operating system may be using ACPI to perform hardware monitoring.
Reprogramming
In modern PCs the BIOS is stored in rewritable EEPROM or NOR flash memory, allowing the contents to be replaced and modified. This rewriting of the contents is sometimes termed flashing. It can be done by a special program, usually provided by the system's manufacturer, or at POST, with a BIOS image in a hard drive or USB flash drive. A file containing such contents is sometimes termed "a BIOS image". A BIOS might be reflashed in order to upgrade to a newer version to fix bugs or provide improved performance or to support newer hardware.
Hardware
The original IBM PC BIOS (and cassette BASIC) was stored on mask-programmed read-only memory (ROM) chips in sockets on the motherboard. ROMs could be replaced, but not altered, by users. To allow for updates, many compatible computers used re-programmable BIOS memory devices such as EPROM, EEPROM and later flash memory (usually NOR flash) devices. According to Robert Braver, the president of the BIOS manufacturer Micro Firmware, Flash BIOS chips became common around 1995 because the electrically erasable PROM (EEPROM) chips are cheaper and easier to program than standard ultraviolet erasable PROM (EPROM) chips. Flash chips are programmed (and re-programmed) in-circuit, while EPROM chips need to be removed from the motherboard for re-programming. BIOS versions are upgraded to take advantage of newer versions of hardware and to correct bugs in previous revisions of BIOSes.
Beginning with the IBM AT, PCs supported a hardware clock settable through BIOS. It had a century bit which allowed for manually changing the century when the year 2000 happened. Most BIOS revisions created in 1995 and nearly all BIOS revisions in 1997 supported the year 2000 by setting the century bit automatically when the clock rolled past midnight, 31 December 1999.
The first flash chips were attached to the ISA bus. Starting in 1998, the BIOS flash moved to the LPC bus, following a new standard implementation known as "firmware hub" (FWH). In 2005, the BIOS flash memory moved to the SPI bus.
The size of the BIOS, and the capacity of the ROM, EEPROM, or other media it may be stored on, has increased over time as new features have been added to the code; BIOS versions now exist with sizes up to 32 megabytes. For contrast, the original IBM PC BIOS was contained in an 8 KB mask ROM. Some modern motherboards are including even bigger NAND flash memory ICs on board which are capable of storing whole compact operating systems, such as some Linux distributions. For example, some ASUS notebooks included Splashtop OS embedded into their NAND flash memory ICs. However, the idea of including an operating system along with BIOS in the ROM of a PC is not new; in the 1980s, Microsoft offered a ROM option for MS-DOS, and it was included in the ROMs of some PC clones such as the Tandy 1000 HX.
Another type of firmware chip was found on the IBM PC AT and early compatibles. In the AT, the keyboard interface was controlled by a microcontroller with its own programmable memory. On the IBM AT, that was a 40-pin socketed device, while some manufacturers used an EPROM version of this chip which resembled an EPROM. This controller was also assigned the A20 gate function to manage memory above the one-megabyte range; occasionally an upgrade of this "keyboard BIOS" was necessary to take advantage of software that could use upper memory.
The BIOS may contain components such as the Memory Reference Code (MRC), which is responsible for the memory initialization (e.g. SPD and memory timings initialization).
Modern BIOS includes
Intel Management Engine or AMD Platform Security Processor firmware.
Vendors and products
IBM published the entire listings of the BIOS for its original PC, PC XT, PC AT, and other contemporary PC models, in an appendix of the IBM PC Technical Reference Manual for each machine type. The effect of the publication of the BIOS listings is that anyone can see exactly what a definitive BIOS does and how it does it.
In May 1984 Phoenix Software Associates released its first ROM-BIOS, which enabled OEMs to build essentially fully compatible clones without having to reverse-engineer the IBM PC BIOS themselves, as Compaq had done for the Portable, helping fuel the growth in the PC-compatibles industry and sales of non-IBM versions of DOS. And the first American Megatrends (AMI) BIOS was released on 1986.
New standards grafted onto the BIOS are usually without complete public documentation or any BIOS listings. As a result, it is not as easy to learn the intimate details about the many non-IBM additions to BIOS as about the core BIOS services.
Many PC motherboard suppliers licensed the BIOS "core" and toolkit from a commercial third party, known as an "independent BIOS vendor" or IBV. The motherboard manufacturer then customized this BIOS to suit its own hardware. For this reason, updated BIOSes are normally obtained directly from the motherboard manufacturer. Major IBV included American Megatrends (AMI), Insyde Software, Phoenix Technologies, and Byosoft. Microid Research and Award Software were acquired by Phoenix Technologies in 1998; Phoenix later phased out the Award brand name. General Software, which was also acquired by Phoenix in 2007, sold BIOS for embedded systems based on Intel processors.
Open-source BIOS firmware
The open-source community increased their effort to develop a replacement for proprietary BIOSes and their future incarnations with an open-sourced counterparts. Open Firmware was an early attempt to make open source standard for booting firmware. It was initially endorsed by IEEE in its IEEE 1275-1994 standard but was withdrawn in 2005. Later examples include the libreboot, coreboot and OpenBIOS/Open Firmware projects. AMD provided product specifications for some chipsets, and Google is sponsoring the project. Motherboard manufacturer Tyan offers coreboot next to the standard BIOS with their Opteron line of motherboards.
Security
EEPROM and Flash memory chips are advantageous because they can be easily updated by the user; it is customary for hardware manufacturers to issue BIOS updates to upgrade their products, improve compatibility and remove bugs. However, this advantage had the risk that an improperly executed or aborted BIOS update could render the computer or device unusable. To avoid these situations, more recent BIOSes use a "boot block"; a portion of the BIOS which runs first and must be updated separately. This code verifies if the rest of the BIOS is intact (using hash checksums or other methods) before transferring control to it. If the boot block detects any corruption in the main BIOS, it will typically warn the user that a recovery process must be initiated by booting from removable media (floppy, CD or USB flash drive) so the user can try flashing the BIOS again. Some motherboards have a backup BIOS (sometimes referred to as DualBIOS boards) to recover from BIOS corruptions.
There are at least five known viruses that attack the BIOS. Two of which were for demonstration purposes. The first one found in the wild was Mebromi, targeting Chinese users.
The first BIOS virus was BIOS Meningitis, which instead of erasing BIOS chips it infected them. BIOS Meningitis was relatively harmless, compared to a virus like CIH.
The second BIOS virus was CIH, also known as the "Chernobyl Virus", which was able to erase flash ROM BIOS content on compatible chipsets. CIH appeared in mid-1998 and became active in April 1999. Often, infected computers could no longer boot, and people had to remove the flash ROM IC from the motherboard and reprogram it. CIH targeted the then-widespread Intel i430TX motherboard chipset and took advantage of the fact that the Windows 9x operating systems, also widespread at the time, allowed direct hardware access to all programs.
Modern systems are not vulnerable to CIH because of a variety of chipsets being used which are incompatible with the Intel i430TX chipset, and also other flash ROM IC types. There is also extra protection from accidental BIOS rewrites in the form of boot blocks which are protected from accidental overwrite or dual and quad BIOS equipped systems which may, in the event of a crash, use a backup BIOS. Also, all modern operating systems such as FreeBSD, Linux, macOS, Windows NT-based Windows OS like Windows 2000, Windows XP and newer, do not allow user-mode programs to have direct hardware access using a hardware abstraction layer.
As a result, as of 2008, CIH has become essentially harmless, at worst causing annoyance by infecting executable files and triggering antivirus software. Other BIOS viruses remain possible, however; since most Windows home users without Windows Vista/7's UAC run all applications with administrative privileges, a modern CIH-like virus could in principle still gain access to hardware without first using an exploit. The operating system OpenBSD prevents all users from having this access and the grsecurity patch for the Linux kernel also prevents this direct hardware access by default, the difference being an attacker requiring a much more difficult kernel level exploit or reboot of the machine.
The third BIOS virus was a technique presented by John Heasman, principal security consultant for UK-based Next-Generation Security Software. In 2006, at the Black Hat Security Conference, he showed how to elevate privileges and read physical memory, using malicious procedures that replaced normal ACPI functions stored in flash memory.
The fourth BIOS virus was a technique called "Persistent BIOS infection." It appeared in 2009 at the CanSecWest Security Conference in Vancouver, and at the SyScan Security Conference in Singapore. Researchers Anibal Sacco and Alfredo Ortega, from Core Security Technologies, demonstrated how to insert malicious code into the decompression routines in the BIOS, allowing for nearly full control of the PC at start-up, even before the operating system is booted. The proof-of-concept does not exploit a flaw in the BIOS implementation, but only involves the normal BIOS flashing procedures. Thus, it requires physical access to the machine, or for the user to be root. Despite these requirements, Ortega underlined the profound implications of his and Sacco's discovery: "We can patch a driver to drop a fully working rootkit. We even have a little code that can remove or disable antivirus."
Mebromi is a trojan which targets computers with AwardBIOS, Microsoft Windows, and antivirus software from two Chinese companies: Rising Antivirus and Jiangmin KV Antivirus. Mebromi installs a rootkit which infects the Master boot record.
In a December 2013 interview with 60 Minutes, Deborah Plunkett, Information Assurance Director for the US National Security Agency claimed the NSA had uncovered and thwarted a possible BIOS attack by a foreign nation state, targeting the US financial system. The program cited anonymous sources alleging it was a Chinese plot. However follow-up articles in The Guardian, The Atlantic, Wired and The Register refuted the NSA's claims.
Newer Intel platforms have Intel Boot Guard (IBG) technology enabled, this technology will check the BIOS digital signature at startup, and the IBG public key is fused into the PCH. End users can't disable this function.
Alternatives and successors
Unified Extensible Firmware Interface (UEFI) supplements the BIOS in many new machines. Initially written for the Intel Itanium architecture, UEFI is now available for x86 and Arm platforms; the specification development is driven by the Unified EFI Forum, an industry Special Interest Group. EFI booting has been supported in only Microsoft Windows versions supporting GPT, the Linux kernel 2.6.1 and later, and macOS on Intel-based Macs. , new PC hardware predominantly ships with UEFI firmware. The architecture of the rootkit safeguard can also prevent the system from running the user's own software changes, which makes UEFI controversial as a legacy BIOS replacement in the open hardware community. Also, Windows 11 requires UEFI to boot.
Other alternatives to the functionality of the "Legacy BIOS" in the x86 world include coreboot and libreboot.
Some servers and workstations use a platform-independent Open Firmware (IEEE-1275) based on the Forth programming language; it is included with Sun's SPARC computers, IBM's RS/6000 line, and other PowerPC systems such as the CHRP motherboards, along with the x86-based OLPC XO-1.
As of at least 2015, Apple has removed legacy BIOS support from MacBook Pro computers. As such the BIOS utility no longer supports the legacy option, and prints "Legacy mode not supported on this system". In 2017, Intel announced that it would remove legacy BIOS support by 2020. Since 2019, new Intel platform OEM PCs no longer support the legacy option.
See also
Double boot
Extended System Configuration Data (ESCD)
Input/Output Control System
Advanced Configuration and Power Interface (ACPI)
Ralf Brown's Interrupt List (RBIL) interrupts, calls, interfaces, data structures, memory and port addresses, and processor opcodes for the x86 architecture
System Management BIOS (SMBIOS)
Unified Extensible Firmware Interface (UEFI)
Notes
References
Further reading
BIOS Disassembly Ninjutsu Uncovered, 1st edition, a freely available book in PDF format
More Power To Firmware, free bonus chapter to the Mac OS X Internals: A Systems Approach book
External links
CP/M technology
DOS technology
Windows technology | 20 |
In condensed matter physics, a Bose–Einstein condensate (BEC) is a state of matter that is typically formed when a gas of bosons at very low densities is cooled to temperatures very close to absolute zero (−273.15 °C or −459.67 °F). Under such conditions, a large fraction of bosons occupy the lowest quantum state, at which microscopic quantum mechanical phenomena, particularly wavefunction interference, become apparent macroscopically.
This state was first predicted, generally, in 1924–1925 by Albert Einstein, crediting a pioneering paper by Satyendra Nath Bose on the new field now known as quantum statistics. In 1995, the Bose–Einstein condensate was created by Eric Cornell and Carl Wieman of the University of Colorado Boulder using rubidium atoms; later that year, Wolfgang Ketterle of MIT produced a BEC using sodium atoms. In 2001 Cornell, Wieman and Ketterle shared the Nobel Prize in Physics "for the achievement of Bose-Einstein condensation in dilute gases of alkali atoms, and for early fundamental studies of the properties of the condensates."
History
Bose first sent a paper to Einstein on the quantum statistics of light quanta (now called photons), in which he derived Planck's quantum radiation law without any reference to classical physics. Einstein was impressed, translated the paper himself from English to German and submitted it for Bose to the Zeitschrift für Physik, which published it in 1924. (The Einstein manuscript, once believed to be lost, was found in a library at Leiden University in 2005.) Einstein then extended Bose's ideas to matter in two other papers. The result of their efforts is the concept of a Bose gas, governed by Bose–Einstein statistics, which describes the statistical distribution of identical particles with integer spin, now called bosons. Bosons, particles that include the photon as well as atoms such as helium-4 (), are allowed to share a quantum state. Einstein proposed that cooling bosonic atoms to a very low temperature would cause them to fall (or "condense") into the lowest accessible quantum state, resulting in a new form of matter.
In 1938, Fritz London proposed the BEC as a mechanism for superfluidity in and superconductivity.
The quest to produce a Bose–Einstein condensate in the laboratory was stimulated by a paper published in 1976 by two Program Directors at the National Science Foundation (William Stwalley and Lewis Nosanow). This led to the immediate pursuit of the idea by four independent research groups; these were led by Isaac Silvera (University of Amsterdam), Walter Hardy (University of British Columbia), Thomas Greytak (Massachusetts Institute of Technology) and David Lee (Cornell University).
On 5 June 1995, the first gaseous condensate was produced by Eric Cornell and Carl Wieman at the University of Colorado at Boulder NIST–JILA lab, in a gas of rubidium atoms cooled to 170 nanokelvins (nK). Shortly thereafter, Wolfgang Ketterle at MIT produced a Bose–Einstein Condensate in a gas of sodium atoms. For their achievements Cornell, Wieman, and Ketterle received the 2001 Nobel Prize in Physics. These early studies founded the field of ultracold atoms, and hundreds of research groups around the world now routinely produce BECs of dilute atomic vapors in their labs.
Since 1995, many other atomic species have been condensed, and BECs have also been realized using molecules, quasi-particles, and photons.
Critical temperature
This transition to BEC occurs below a critical temperature, which for a uniform three-dimensional gas consisting of non-interacting particles with no apparent internal degrees of freedom is given by:
where:
{|cellspacing="0" cellpadding="0"
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| is the critical temperature,
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| the particle density,
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| the mass per boson,
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| the reduced Planck constant,
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| the Boltzmann constant and
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| the Riemann zeta function;
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Interactions shift the value and the corrections can be calculated by mean-field theory.
This formula is derived from finding the gas degeneracy in the Bose gas using Bose–Einstein statistics.
Derivation
Ideal Bose gas
For an ideal Bose gas we have the equation of state:
where is the per particle volume, the thermal wavelength, the fugacity and
It is noticeable that is a monotonically growing function of in , which are the only values for which the series converge.
Recognizing that the second term on the right-hand side contains the expression for the average occupation number of the fundamental state , the equation of state can be rewritten as
Because the left term on the second equation must always be positive, and because , a stronger condition is
which defines a transition between a gas phase and a condensed phase. On the critical region it is possible to define a critical temperature and thermal wavelength:
recovering the value indicated on the previous section. The critical values are such that if or we are in the presence of a Bose–Einstein condensate.
Understanding what happens with the fraction of particles on the fundamental level is crucial. As so, write the equation of state for , obtaining
and equivalently .
So, if the fraction and if the fraction . At temperatures near to absolute 0, particles tend to condensate in the fundamental state, which is the state with momentum .
Models
Bose Einstein's non-interacting gas
Consider a collection of N non-interacting particles, which can each be in one of two quantum states, and . If the two states are equal in energy, each different configuration is equally likely.
If we can tell which particle is which, there are different configurations, since each particle can be in or independently. In almost all of the configurations, about half the particles are in and the other half in . The balance is a statistical effect: the number of configurations is largest when the particles are divided equally.
If the particles are indistinguishable, however, there are only N+1 different configurations. If there are K particles in state , there are particles in state . Whether any particular particle is in state or in state cannot be determined, so each value of K determines a unique quantum state for the whole system.
Suppose now that the energy of state is slightly greater than the energy of state by an amount E. At temperature T, a particle will have a lesser probability to be in state by . In the distinguishable case, the particle distribution will be biased slightly towards state . But in the indistinguishable case, since there is no statistical pressure toward equal numbers, the most-likely outcome is that most of the particles will collapse into state .
In the distinguishable case, for large N, the fraction in state can be computed. It is the same as flipping a coin with probability proportional to p = exp(−E/T) to land tails.
In the indistinguishable case, each value of K is a single state, which has its own separate Boltzmann probability. So the probability distribution is exponential:
For large N, the normalization constant C is . The expected total number of particles not in the lowest energy state, in the limit that , is equal to
It does not grow when N is large; it just approaches a constant. This will be a negligible fraction of the total number of particles. So a collection of enough Bose particles in thermal equilibrium will mostly be in the ground state, with only a few in any excited state, no matter how small the energy difference.
Consider now a gas of particles, which can be in different momentum states labeled . If the number of particles is less than the number of thermally accessible states, for high temperatures and low densities, the particles will all be in different states. In this limit, the gas is classical. As the density increases or the temperature decreases, the number of accessible states per particle becomes smaller, and at some point, more particles will be forced into a single state than the maximum allowed for that state by statistical weighting. From this point on, any extra particle added will go into the ground state.
To calculate the transition temperature at any density, integrate, over all momentum states, the expression for maximum number of excited particles, :
When the integral (also known as Bose–Einstein integral) is evaluated with factors of and ℏ restored by dimensional analysis, it gives the critical temperature formula of the preceding section. Therefore, this integral defines the critical temperature and particle number corresponding to the conditions of negligible chemical potential . In Bose–Einstein statistics distribution, is actually still nonzero for BECs; however, is less than the ground state energy. Except when specifically talking about the ground state, can be approximated for most energy or momentum states as .
Bogoliubov theory for weakly interacting gas
Nikolay Bogoliubov considered perturbations on the limit of dilute gas, finding a finite pressure at zero temperature and positive chemical potential. This leads to corrections for the ground state. The Bogoliubov state has pressure (T = 0): .
The original interacting system can be converted to a system of non-interacting particles with a dispersion law.
Gross–Pitaevskii equation
In some simplest cases, the state of condensed particles can be described with a nonlinear Schrödinger equation, also known as Gross–Pitaevskii or Ginzburg–Landau equation. The validity of this approach is actually limited to the case of ultracold temperatures, which fits well for the most alkali atoms experiments.
This approach originates from the assumption that the state of the BEC can be described by the unique wavefunction of the condensate . For a system of this nature, is interpreted as the particle density, so the total number of atoms is
Provided essentially all atoms are in the condensate (that is, have condensed to the ground state), and treating the bosons using mean-field theory, the energy (E) associated with the state is:
Minimizing this energy with respect to infinitesimal variations in , and holding the number of atoms constant, yields the Gross–Pitaevski equation (GPE) (also a non-linear Schrödinger equation):
where:
{|cellspacing="0" cellpadding="0"
|-
|
| is the mass of the bosons,
|-
|
| is the external potential, and
|-
|
| represents the inter-particle interactions.
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In the case of zero external potential, the dispersion law of interacting Bose–Einstein-condensed particles is given by so-called Bogoliubov spectrum (for ):
The Gross-Pitaevskii equation (GPE) provides a relatively good description of the behavior of atomic BEC's. However, GPE does not take into account the temperature dependence of dynamical variables, and is therefore valid only for .
It is not applicable, for example, for the condensates of excitons, magnons and photons, where the critical temperature is comparable to room temperature.
Numerical solution
The Gross-Pitaevskii equation is a partial differential equation in space and time variables. Usually it does not have analytic solution and
different numerical methods, such as split-step
Crank-Nicolson
and Fourier spectral methods, are used for its solution. There are different Fortran and C programs for its solution for contact interaction
and long-range dipolar interaction which can be freely used.
Weaknesses of Gross–Pitaevskii model
The Gross–Pitaevskii model of BEC is a physical approximation valid for certain classes of BECs. By construction, the GPE uses the following simplifications: it assumes that interactions between condensate particles are of the contact two-body type and also neglects anomalous contributions to self-energy. These assumptions are suitable mostly for the dilute three-dimensional condensates. If one relaxes any of these assumptions, the equation for the condensate wavefunction acquires the terms containing higher-order powers of the wavefunction. Moreover, for some physical systems the amount of such terms turns out to be infinite, therefore, the equation becomes essentially non-polynomial. The examples where this could happen are the Bose–Fermi composite condensates, effectively lower-dimensional condensates, and dense condensates and superfluid clusters and droplets. It is found that one has to go beyond the Gross-Pitaevskii equation. For example, the logarithmic term found in the Logarithmic Schrödinger equation must be added to the Gross-Pitaevskii equation along with a Ginzburg-Sobyanin contribution to correctly determine that the speed of sound scales as the cubic root of pressure for Helium-4 at very low temperatures in close agreement with experiment.
Other
However, it is clear that in a general case the behaviour of Bose–Einstein condensate can be described by coupled evolution equations for condensate density, superfluid velocity and distribution function of elementary excitations. This problem was solved in 1977 by Peletminskii et al. in microscopical approach. The Peletminskii equations are valid for any finite temperatures below the critical point. Years after, in 1985, Kirkpatrick and Dorfman obtained similar equations using another microscopical approach. The Peletminskii equations also reproduce Khalatnikov hydrodynamical equations for superfluid as a limiting case.
Superfluidity of BEC and Landau criterion
The phenomena of superfluidity of a Bose gas and superconductivity of a strongly-correlated Fermi gas (a gas of Cooper pairs) are tightly connected to Bose–Einstein condensation. Under corresponding conditions, below the temperature of phase transition, these phenomena were observed in helium-4 and different classes of superconductors. In this sense, the superconductivity is often called the superfluidity of Fermi gas. In the simplest form, the origin of superfluidity can be seen from the weakly interacting bosons model.
Experimental observation
Superfluid helium-4
In 1938, Pyotr Kapitsa, John Allen and Don Misener discovered that helium-4 became a new kind of fluid, now known as a superfluid, at temperatures less than 2.17 K (the lambda point). Superfluid helium has many unusual properties, including zero viscosity (the ability to flow without dissipating energy) and the existence of quantized vortices. It was quickly believed that the superfluidity was due to partial Bose–Einstein condensation of the liquid. In fact, many properties of superfluid helium also appear in gaseous condensates created by Cornell, Wieman and Ketterle (see below). Superfluid helium-4 is a liquid rather than a gas, which means that the interactions between the atoms are relatively strong; the original theory of Bose–Einstein condensation must be heavily modified in order to describe it. Bose–Einstein condensation remains, however, fundamental to the superfluid properties of helium-4. Note that helium-3, a fermion, also enters a superfluid phase (at a much lower temperature) which can be explained by the formation of bosonic Cooper pairs of two atoms (see also fermionic condensate).
Dilute atomic gases
The first "pure" Bose–Einstein condensate was created by Eric Cornell, Carl Wieman, and co-workers at JILA on 5 June 1995. They cooled a dilute vapor of approximately two thousand rubidium-87 atoms to below 170 nK using a combination of laser cooling (a technique that won its inventors Steven Chu, Claude Cohen-Tannoudji, and William D. Phillips the 1997 Nobel Prize in Physics) and magnetic evaporative cooling. About four months later, an independent effort led by Wolfgang Ketterle at MIT condensed sodium-23. Ketterle's condensate had a hundred times more atoms, allowing important results such as the observation of quantum mechanical interference between two different condensates. Cornell, Wieman and Ketterle won the 2001 Nobel Prize in Physics for their achievements.
A group led by Randall Hulet at Rice University announced a condensate of lithium atoms only one month following the JILA work. Lithium has attractive interactions, causing the condensate to be unstable and collapse for all but a few atoms. Hulet's team subsequently showed the condensate could be stabilized by confinement quantum pressure for up to about 1000 atoms. Various isotopes have since been condensed.
Velocity-distribution data graph
In the image accompanying this article, the velocity-distribution data indicates the formation of a Bose–Einstein condensate out of a gas of rubidium atoms. The false colors indicate the number of atoms at each velocity, with red being the fewest and white being the most. The areas appearing white and light blue are at the lowest velocities. The peak is not infinitely narrow because of the Heisenberg uncertainty principle: spatially confined atoms have a minimum width velocity distribution. This width is given by the curvature of the magnetic potential in the given direction. More tightly confined directions have bigger widths in the ballistic velocity distribution. This anisotropy of the peak on the right is a purely quantum-mechanical effect and does not exist in the thermal distribution on the left. This graph served as the cover design for the 1999 textbook Thermal Physics by Ralph Baierlein.
Quasiparticles
Bose–Einstein condensation also applies to quasiparticles in solids. Magnons, excitons, and polaritons have integer spin which means they are bosons that can form condensates.
Magnons, electron spin waves, can be controlled by a magnetic field. Densities from the limit of a dilute gas to a strongly interacting Bose liquid are possible. Magnetic ordering is the analog of superfluidity. In 1999 condensation was demonstrated in antiferromagnetic , at temperatures as great as 14 K. The high transition temperature (relative to atomic gases) is due to the magnons' small mass (near that of an electron) and greater achievable density. In 2006, condensation in a ferromagnetic yttrium-iron-garnet thin film was seen even at room temperature, with optical pumping.
Excitons, electron-hole pairs, were predicted to condense at low temperature and high density by Boer et al., in 1961. Bilayer system experiments first demonstrated condensation in 2003, by Hall voltage disappearance. Fast optical exciton creation was used to form condensates in sub-kelvin in 2005 on.
Polariton condensation was first detected for exciton-polaritons in a quantum well microcavity kept at 5 K.
In zero gravity
In June 2020, the Cold Atom Laboratory experiment on board the International Space Station successfully created a BEC of rubidium atoms and observed them for over a second in free-fall. Although initially just a proof of function, early results showed that, in the microgravity environment of the ISS, about half of the atoms formed into a magnetically insensitive halo-like cloud around the main body of the BEC.
Peculiar properties
Quantized vortices
As in many other systems, vortices can exist in BECs.
Vortices can be created, for example, by "stirring" the condensate with lasers,
rotating the confining trap,
or by rapid cooling across the phase transition.
The vortex created will be a quantum vortex with core shape determined by the interactions. Fluid circulation around any point is quantized due to the single-valued nature of the order BEC order parameter or wavefunction, that can be written in the form where and are as in the cylindrical coordinate system, and is the angular quantum number (a.k.a. the "charge" of the vortex). Since the energy of a vortex is proportional to the square of its angular momentum, in trivial topology only vortices can exist in the steady state; Higher-charge vortices will have a tendency to split into vortices, if allowed by the topology of the geometry.
An axially symmetric (for instance, harmonic) confining potential is commonly used for the study of vortices in BEC. To determine , the energy of must be minimized, according to the constraint . This is usually done computationally, however, in a uniform medium, the following analytic form demonstrates the correct behavior, and is a good approximation:
Here, is the density far from the vortex and , where is the healing length of the condensate.
A singly charged vortex () is in the ground state, with its energy given by
where is the farthest distance from the vortices considered.(To obtain an energy which is well defined it is necessary to include this boundary .)
For multiply charged vortices () the energy is approximated by
which is greater than that of singly charged vortices, indicating that these multiply charged vortices are unstable to decay. Research has, however, indicated they are metastable states, so may have relatively long lifetimes.
Closely related to the creation of vortices in BECs is the generation of so-called dark solitons in one-dimensional BECs. These topological objects feature a phase gradient across their nodal plane, which stabilizes their shape even in propagation and interaction. Although solitons carry no charge and are thus prone to decay, relatively long-lived dark solitons have been produced and studied extensively.
Attractive interactions
Experiments led by Randall Hulet at Rice University from 1995 through 2000 showed that lithium condensates with attractive interactions could stably exist up to a critical atom number. Quench cooling the gas, they observed the condensate to grow, then subsequently collapse as the attraction overwhelmed the zero-point energy of the confining potential, in a burst reminiscent of a supernova, with an explosion preceded by an implosion.
Further work on attractive condensates was performed in 2000 by the JILA team, of Cornell, Wieman and coworkers. Their instrumentation now had better control so they used naturally attracting atoms of rubidium-85 (having negative atom–atom scattering length). Through Feshbach resonance involving a sweep of the magnetic field causing spin flip collisions, they lowered the characteristic, discrete energies at which rubidium bonds, making their Rb-85 atoms repulsive and creating a stable condensate. The reversible flip from attraction to repulsion stems from quantum interference among wave-like condensate atoms.
When the JILA team raised the magnetic field strength further, the condensate suddenly reverted to attraction, imploded and shrank beyond detection, then exploded, expelling about two-thirds of its 10,000 atoms. About half of the atoms in the condensate seemed to have disappeared from the experiment altogether, not seen in the cold remnant or expanding gas cloud. Carl Wieman explained that under current atomic theory this characteristic of Bose–Einstein condensate could not be explained because the energy state of an atom near absolute zero should not be enough to cause an implosion; however, subsequent mean-field theories have been proposed to explain it. Most likely they formed molecules of two rubidium atoms; energy gained by this bond imparts velocity sufficient to leave the trap without being detected.
The process of creation of molecular Bose condensate during the sweep of the magnetic field throughout the Feshbach resonance, as well as the reverse process, are described by the exactly solvable model that can explain many experimental observations.
Current research
Compared to more commonly encountered states of matter, Bose–Einstein condensates are extremely fragile. The slightest interaction with the external environment can be enough to warm them past the condensation threshold, eliminating their interesting properties and forming a normal gas.
Nevertheless, they have proven useful in exploring a wide range of questions in fundamental physics, and the years since the initial discoveries by the JILA and MIT groups have seen an increase in experimental and theoretical activity. Examples include experiments that have demonstrated interference between condensates due to wave–particle duality, the study of superfluidity and quantized vortices, the creation of bright matter wave solitons from Bose condensates confined to one dimension, and the slowing of light pulses to very low speeds using electromagnetically induced transparency. Vortices in Bose–Einstein condensates are also currently the subject of analogue gravity research, studying the possibility of modeling black holes and their related phenomena in such environments in the laboratory. Experimenters have also realized "optical lattices", where the interference pattern from overlapping lasers provides a periodic potential. These have been used to explore the transition between a superfluid and a Mott insulator, and may be useful in studying Bose–Einstein condensation in fewer than three dimensions, for example the Tonks–Girardeau gas. Further, the sensitivity of the pinning transition of strongly interacting bosons confined in a shallow one-dimensional optical lattice originally observed by Haller has been explored via a tweaking of the primary optical lattice by a secondary weaker one. Thus for a resulting weak bichromatic optical lattice, it has been found that the pinning transition is robust against the
introduction of the weaker secondary optical lattice. Studies of vortices in nonuniform Bose–Einstein condensates as well as excitations of these systems by the application of moving repulsive or attractive obstacles, have also been undertaken. Within this context, the conditions for order and chaos in the dynamics of a trapped Bose–Einstein condensate have been explored by the application of moving blue and red-detuned laser beams (hitting frequencies slightly above and below the resonance frequency, respectively) via the time-dependent Gross-Pitaevskii equation.
Bose–Einstein condensates composed of a wide range of isotopes have been produced.
Cooling fermions to extremely low temperatures has created degenerate gases, subject to the Pauli exclusion principle. To exhibit Bose–Einstein condensation, the fermions must "pair up" to form bosonic compound particles (e.g. molecules or Cooper pairs). The first molecular condensates were created in November 2003 by the groups of Rudolf Grimm at the University of Innsbruck, Deborah S. Jin at the University of Colorado at Boulder and Wolfgang Ketterle at MIT. Jin quickly went on to create the first fermionic condensate, working with the same system but outside the molecular regime.
In 1999, Danish physicist Lene Hau led a team from Harvard University which slowed a beam of light to about 17 meters per second using a superfluid. Hau and her associates have since made a group of condensate atoms recoil from a light pulse such that they recorded the light's phase and amplitude, recovered by a second nearby condensate, in what they term "slow-light-mediated atomic matter-wave amplification" using Bose–Einstein condensates.
Another current research interest is the creation of Bose–Einstein condensates in microgravity in order to use its properties for high precision atom interferometry. The first demonstration of a BEC in weightlessness was achieved in 2008 at a drop tower in Bremen, Germany by a consortium of researchers led by Ernst M. Rasel from Leibniz University Hannover. The same team demonstrated in 2017 the first creation of a Bose–Einstein condensate in space and it is also the subject of two upcoming experiments on the International Space Station.
Researchers in the new field of atomtronics use the properties of Bose–Einstein condensates in the emerging quantum technology of matter-wave circuits.
In 1970, BECs were proposed by Emmanuel David Tannenbaum for anti-stealth technology.
In 2020, researchers reported the development of superconducting BEC and that there appears to be a "smooth transition between" BEC and Bardeen–Cooper–Shrieffer regimes.
Continuous Bose–Einstein condensation
Limitations of evaporative cooling have restricted atomic BECs to "pulsed" operation, involving a highly inefficient duty cycle that discards more than 99% of atoms to reach BEC. Achieving continuous BEC has been a major open problem of experimental BEC research, driven by the same motivations as continuous optical laser development: high flux, high coherence matter waves produced continuously would enable new sensing applications.
Continuous BEC was achieved for the first time in 2022.
Dark matter
P. Sikivie and Q. Yang showed that cold dark matter axions would form a Bose–Einstein condensate by thermalisation because of gravitational self-interactions. Axions have not yet been confirmed to exist. However the important search for them has been greatly enhanced with the completion of upgrades to the Axion Dark Matter Experiment (ADMX) at the University of Washington in early 2018.
In 2014, a potential dibaryon was detected at the Jülich Research Center at about 2380 MeV. The center claimed that the measurements confirm results from 2011, via a more replicable method. The particle existed for 10−23 seconds and was named d*(2380). This particle is hypothesized to consist of three up and three down quarks. It is theorized that groups of d* (d-stars) could form Bose–Einstein condensates due to prevailing low temperatures in the early universe, and that BECs made of such hexaquarks with trapped electrons could behave like dark matter.
Isotopes
The effect has mainly been observed on alkaline atoms which have nuclear properties particularly suitable for working with traps. As of 2012, using ultra-low temperatures of or below, Bose–Einstein condensates had been obtained for a multitude of isotopes, mainly of alkali metal, alkaline earth metal,
and lanthanide atoms (, , , , , , , , , , , , , , and ). Research was finally successful in hydrogen with the aid of the newly developed method of 'evaporative cooling'. In contrast, the superfluid state of below is not a good example, because the interaction between the atoms is too strong. Only 8% of atoms are in the ground state of the trap near absolute zero, rather than the 100% of a true condensate.
The bosonic behavior of some of these alkaline gases appears odd at first sight, because their nuclei have half-integer total spin. It arises from a subtle interplay of electronic and nuclear spins: at ultra-low temperatures and corresponding excitation energies, the half-integer total spin of the electronic shell and half-integer total spin of the nucleus are coupled by a very weak hyperfine interaction. The total spin of the atom, arising from this coupling, is an integer lower value. The chemistry of systems at room temperature is determined by the electronic properties, which is essentially fermionic, since room temperature thermal excitations have typical energies much higher than the hyperfine values.
In fiction
In the 2016 film Spectral, the US military battles mysterious enemy creatures fashioned out of Bose–Einstein condensates.
In the 2003 novel Blind Lake, scientists observe sentient life on a planet 51 light-years away using telescopes powered by Bose–Einstein condensate-based quantum computers.
The video game franchise Mass Effect has cryonic ammunition whose flavour text describes it as being filled with Bose–Einstein condensates. Upon impact, the bullets rupture and spray super-cold liquid on the enemy.
See also
Atom laser
Atomic coherence
Bose–Einstein correlations
Bose–Einstein condensation: a network theory approach
Bose–Einstein condensation of quasiparticles
Bose–Einstein statistics
Cold Atom Laboratory
Electromagnetically induced transparency
Fermionic condensate
Gas in a box
Gross–Pitaevskii equation
Macroscopic quantum phenomena
Macroscopic quantum self-trapping
Slow light
Super-heavy atom
Superconductivity
Superfluid film
Superfluid helium-4
Supersolid
Tachyon condensation
Timeline of low-temperature technology
Ultracold atom
Wiener sausage
References
Further reading
,
.
.
.
C. J. Pethick and H. Smith, Bose–Einstein Condensation in Dilute Gases, Cambridge University Press, Cambridge, 2001.
Lev P. Pitaevskii and S. Stringari, Bose–Einstein Condensation, Clarendon Press, Oxford, 2003.
Monique Combescot and Shiue-Yuan Shiau, "Excitons and Cooper Pairs: Two Composite Bosons in Many-Body Physics", Oxford University Press ().
External links
Bose–Einstein Condensation 2009 Conference – Frontiers in Quantum Gases
BEC Homepage General introduction to Bose–Einstein condensation
Nobel Prize in Physics 2001 – for the achievement of Bose–Einstein condensation in dilute gases of alkali atoms, and for early fundamental studies of the properties of the condensates
Bose–Einstein condensates at JILA
Atomcool at Rice University
Alkali Quantum Gases at MIT
Atom Optics at UQ
Einstein's manuscript on the Bose–Einstein condensate discovered at Leiden University
Bose–Einstein condensate on arxiv.org
Bosons – The Birds That Flock and Sing Together
Easy BEC machine – information on constructing a Bose–Einstein condensate machine.
Verging on absolute zero – Cosmos Online
Lecture by W Ketterle at MIT in 2001
Bose–Einstein Condensation at NIST – NIST resource on BEC
Albert Einstein
Condensed matter physics
Exotic matter
Phases of matter
Articles containing video clips | 12 |
B is a programming language developed at Bell Labs circa 1969 by Ken Thompson and Dennis Ritchie.
B was derived from BCPL, and its name may possibly be a contraction of BCPL. Thompson's coworker Dennis Ritchie speculated that the name might be based on Bon, an earlier, but unrelated, programming language that Thompson designed for use on Multics.
B was designed for recursive, non-numeric, machine-independent applications, such as system and language software. It was a typeless language, with the only data type being the underlying machine's natural memory word format, whatever that might be. Depending on the context, the word was treated either as an integer or a memory address.
As machines with ASCII processing became common, notably the DEC PDP-11 that arrived at Bell, support for character data stuffed in memory words became important. The typeless nature of the language was seen as a disadvantage, which led Thompson and Ritchie to develop an expanded version of the language supporting new internal and user-defined types, which became the C programming language.
History
Circa 1969, Ken Thompson and later Dennis Ritchie developed B basing it mainly on the BCPL language Thompson used in the Multics project. B was essentially the BCPL system stripped of any component Thompson felt he could do without in order to make it fit within the memory capacity of the minicomputers of the time. The BCPL to B transition also included changes made to suit Thompson's preferences (mostly along the lines of reducing the number of non-whitespace characters in a typical program). Much of the typical ALGOL-like syntax of BCPL was rather heavily changed in this process. The assignment operator := reverted to the = of Rutishauser's Superplan, and the equality operator = was replaced by ==.
Thompson added "two-address assignment operators" using x =+ y syntax to add y to x (in C the operator is written +=). This syntax came from Douglas McIlroy's implementation of TMG, in which B's compiler was first implemented (and it came to TMG from ALGOL 68's x +:= y syntax). Thompson went further by inventing the increment and decrement operators (++ and --). Their prefix or postfix position determines whether the value is taken before or after alteration of the operand. This innovation was not in the earliest versions of B. According to Dennis Ritchie, people often assumed that they were created for the auto-increment and auto-decrement address modes of the DEC PDP-11, but this is historically impossible as the machine didn't exist when B was first developed.
The semicolon version of the for loop was borrowed by Ken Thompson from the work of Stephen Johnson.
B is typeless, or more precisely has one data type: the computer word. Most operators (e.g. +, -, *, /) treated this as an integer, but others treated it as a memory address to be dereferenced. In many other ways it looked a lot like an early version of C. There are a few library functions, including some that vaguely resemble functions from the standard I/O library in C.
In Thompson's words: "B and the old old C were very very similar languages except for all the types [in C]".
Early implementations were for the DEC PDP-7 and PDP-11 minicomputers using early Unix, and Honeywell 36-bit mainframes running the operating system GCOS. The earliest PDP-7 implementations compiled to threaded code, and Ritchie wrote a compiler using TMG which produced machine code. In 1970 a PDP-11 was acquired and threaded code was used for the port; an assembler, , and the B language itself were written in B to bootstrap the computer. An early version of yacc was produced with this PDP-11 configuration. Ritchie took over maintenance during this period.
The typeless nature of B made sense on the Honeywell, PDP-7 and many older computers, but was a problem on the PDP-11 because it was difficult to elegantly access the character data type that the PDP-11 and most modern computers fully support. Starting in 1971 Ritchie made changes to the language while converting its compiler to produce machine code, most notably adding data typing for variables. During 1971 and 1972 B evolved into "New B" (NB) and then C.
B is almost extinct, having been superseded by the C language. However, it continues to see use on GCOS mainframes ()
and on certain embedded systems () for a variety of reasons: limited hardware in small systems, extensive libraries, tooling, licensing cost issues, and simply being good enough for the job. The highly influential AberMUD was originally written in B.
Examples
The following examples are from the Users' Reference to B by Ken Thompson:
/* The following function will print a non-negative number, n, to
the base b, where 2<=b<=10. This routine uses the fact that
in the ASCII character set, the digits 0 to 9 have sequential
code values. */
printn(n, b) {
extrn putchar;
auto a;
/* Wikipedia note: the auto keyword declares a variable with
automatic storage (lifetime is function scope), not
"automatic typing" as in C++11. */
if (a = n / b) /* assignment, not test for equality */
printn(a, b); /* recursive */
putchar(n % b + '0');
}
/* The following program will calculate the constant e-2 to about
4000 decimal digits, and print it 50 characters to the line in
groups of 5 characters. The method is simple output conversion
of the expansion
1/2! + 1/3! + ... = .111....
where the bases of the digits are 2, 3, 4, . . . */
main() {
extrn putchar, n, v;
auto i, c, col, a;
i = col = 0;
while(i<n)
v[i++] = 1;
while(col<2*n) {
a = n+1;
c = i = 0;
while (i<n) {
c =+ v[i] *10;
v[i++] = c%a;
c =/ a--;
}
putchar(c+'0');
if(!(++col%5))
putchar(col%50?' ': '*n');
}
putchar('*n*n');
}
v[2000];
n 2000;
See also
Notes
References
External links
Manual page for b(1) from Unix First Edition
The Development of the C Language, Dennis M. Ritchie. Puts B in the context of BCPL and C.
Users' Reference to B'', Ken Thompson. Describes the PDP-11 version.
The Programming Language B, S. C. Johnson & B. W. Kernighan, Technical Report CS TR 8, Bell Labs (January 1973). The GCOS version on Honeywell equipment.
B Language Reference Manual, Thinkage Ltd. The production version of the language as used on GCOS, including language and runtime library.
Procedural programming languages
Programming languages
Programming languages created in 1969 | 6 |
The Beach Boys are an American rock band who was formed in Hawthorne, California, in 1961. The group's original lineup consisted of brothers Brian, Dennis, and Carl Wilson, their cousin Mike Love, and friend Al Jardine. Distinguished by their vocal harmonies, adolescent-oriented lyrics, and musical ingenuity, they are one of the most influential acts of the rock era. They drew on the music of older pop vocal groups, 1950s rock and roll, and black R&B to create their unique sound. Under Brian's direction, they often incorporated classical or jazz elements and unconventional recording techniques in innovative ways.
The Beach Boys formed as a garage band centered on Brian's songwriting and managed by the Wilsons' father, Murry. In 1963, the band enjoyed their first national hit with "Surfin' U.S.A.", beginning a string of top-ten singles that reflected a southern California youth culture of surfing, cars, and romance, dubbed the "California sound". They were one of the few American rock bands to sustain their commercial standing during the British Invasion. Starting with 1965's The Beach Boys Today!, they abandoned beachgoing themes for more personal lyrics and ambitious orchestrations. In 1966, the Pet Sounds album and "Good Vibrations" single raised the group's prestige as rock innovators; both are now considered amongst the greatest and most influential works in popular music history. After scrapping the Smile album in 1967, Brian gradually ceded control of the group to his bandmates.
In the late 1960s, the group's commercial momentum faltered in the U.S., and they were widely dismissed by the early rock music press before rebranding themselves in the early 1970s. Carl took over as de facto leader until the mid-1970s, when the band responded to the growing success of their live shows and greatest hits compilations by transitioning into an oldies act. Dennis drowned in 1983 and Brian soon became estranged from the group. Following Carl's death from lung cancer in 1998, the band granted Love legal rights to tour under the group's name. In the early 2010s, the original members briefly reunited for the band's 50th anniversary. , Brian and Jardine do not perform with Love's edition of the Beach Boys, but remain official members of the band.
The Beach Boys are one of the most critically acclaimed and commercially successful bands of all time, selling over 100 million records worldwide. They helped legitimize popular music as a recognized art form and influenced the development of music genres and movements such as psychedelia, power pop, progressive rock, punk, alternative, and lo-fi. Between the 1960s and 2020s, the group had 37 songs reach the US Top 40 (the most by an American band), with four topping the Billboard Hot 100. In 2004, they were ranked number 12 on Rolling Stones list of the greatest artists of all time. Many critics' polls have ranked Today!, Pet Sounds, Smiley Smile (1967), Sunflower (1970), and Surf's Up (1971) among the finest albums in history. The founding members were inducted into the Rock and Roll Hall of Fame in 1988. Other members during the band's history have been David Marks, Bruce Johnston, Blondie Chaplin, and Ricky Fataar.
History
1958–1961: Formation
At the time of his 16th birthday on June 20, 1958, Brian Wilson shared a bedroom with his brothers, Dennis and Carlaged 13 and 11, respectivelyin their family home in Hawthorne. He had watched his father Murry Wilson play piano, and had listened intently to the harmonies of vocal groups such as the Four Freshmen. After dissecting songs such as "Ivory Tower" and "Good News", Brian would teach family members how to sing the background harmonies. For his birthday that year, Brian received a reel-to-reel tape recorder. He learned how to overdub, using his vocals and those of Carl and their mother. Brian played piano with Carl and David Marks, an eleven-year-old longtime neighbor, playing guitars they had each received as Christmas presents.
Soon Brian and Carl were avidly listening to Johnny Otis' KFOX radio show. Inspired by the simple structure and vocals of the rhythm and blues songs he heard, Brian changed his piano-playing style and started writing songs. Family gatherings brought the Wilsons in contact with cousin Mike Love. Brian taught Love's sister Maureen and a friend harmonies. Later, Brian, Love and two friends performed at Hawthorne High School. Brian also knew Al Jardine, a high school classmate. Brian suggested to Jardine that they team up with his cousin and brother Carl. Love gave the fledgling band its name: "The Pendletones", a pun on "Pendleton", a style of woolen shirt popular at the time. Dennis was the only avid surfer in the group, and he suggested that the group write songs that celebrated the sport and the lifestyle that it had inspired in Southern California. Brian finished the song, titled "Surfin", and with Mike Love, wrote "Surfin' Safari".
Murry Wilson, who was a sometime songwriter, arranged for the Pendletones to meet his publisher Hite Morgan. He said: "Finally, [Hite] agreed to hear it, and Mrs. Morgan said 'Drop everything, we're going to record your song. I think it's good.' And she's the one responsible." On September 15, 1961, the band recorded a demo of "Surfin with the Morgans. A more professional recording was made on October 3, at World Pacific Studio in Hollywood. David Marks was not present at the session as he was in school that day. Murry brought the demos to Herb Newman, owner of Candix Records and Era Records, and he signed the group on December 8. When the single was released a few weeks later, the band found that they had been renamed "the Beach Boys". Candix wanted to name the group the Surfers until Russ Regan, a young promoter with Era Records, noted that there already existed a group by that name. He suggested calling them the Beach Boys. "Surfin was a regional success for the West Coast, and reached number 75 on the national Billboard Hot 100 chart. It was so successful that the number of unpaid orders for the single bankrupted Candix.
1962–1967: Peak years
Surfin' Safari, Surfin' U.S.A., Surfer Girl, and Little Deuce Coupe
By this time the de facto manager of the Beach Boys, Murry landed the group's first paying gig (for which they earned $300) on New Year's Eve, 1961, at the Ritchie Valens Memorial Dance in Long Beach. In their early public appearances, the band wore heavy wool jacket-like shirts that local surfers favored before switching to their trademark striped shirts and white pants (a look that was taken directly from the Kingston Trio). All five members sang, with Brian playing bass, Dennis playing drums, Carl playing lead guitar and Al Jardine playing rhythm guitar, while Mike Love was the main singer and occasionally played saxophone. In early 1962, Morgan requested that some of the members add vocals to a couple of instrumental tracks that he had recorded with other musicians. This led to the creation of the short-lived group Kenny & the Cadets, which Brian led under the pseudonym "Kenny". The other members were Carl, Jardine, and the Wilsons' mother Audree. In February, Jardine left the Beach Boys and was replaced by David Marks on rhythm guitar.
After being turned down by Dot and Liberty, the Beach Boys signed a seven-year contract with Capitol Records. This was at the urging of Capitol executive and staff producer Nick Venet who signed the group, seeing them as the "teenage gold" he had been scouting for. On June 4, 1962, the Beach Boys debuted on Capitol with their second single, "Surfin' Safari" backed with "409". The release prompted national coverage in the June 9 issue of Billboard, which praised Love's lead vocal and said the song had potential. "Surfin' Safari" rose to number 14 and found airplay in New York and Phoenix, a surprise for the label.
The Beach Boys' first album, Surfin' Safari, was released in October 1962. It was different from other rock albums of the time in that it consisted almost entirely of original songs, primarily written by Brian with Mike Love and friend Gary Usher. Another unusual feature of the Beach Boys was that, although they were marketed as "surf music", their repertoire bore little resemblance to the music of other surf bands, which was mainly instrumental and incorporated heavy use of spring reverb. For this reason, some of the Beach Boys' early local performances had young audience members throwing vegetables at the band, believing that the group were poseurs.
In January 1963, the Beach Boys recorded their first top-ten single, "Surfin' U.S.A.", which began their long run of highly successful recording efforts. It was during the sessions for this single that Brian made the production decision from that point on to use double tracking on the group's vocals, resulting in a deeper and more resonant sound. The album of the same name followed in March and reached number 2 on the Billboard charts. Its success propelled the group into a nationwide spotlight, and was vital to launching surf music as a national craze, albeit the Beach Boys' vocal approach to the genre, not the original instrumental style pioneered by Dick Dale. Biographer Luis Sanchez highlights the "Surfin' U.S.A." single as a turning point for the band, "creat[ing] a direct passage to California life for a wide teenage audience ... [and] a distinct Southern California sensibility that exceeded its conception as such to advance right to the front of American consciousness."
Throughout 1963, and for the next few years, Brian produced a variety of singles for outside artists. Among these were the Honeys, a surfer trio that comprised sisters Diane and Marilyn Rovell with cousin Ginger Blake. Brian was convinced that they could be a successful female counterpart to the Beach Boys, and he produced a number of singles for them, although they could not replicate the Beach Boys' popularity. He also attended some of Phil Spector's sessions at Gold Star Studios. His creative and songwriting interests were revamped upon hearing the Ronettes' 1963 song "Be My Baby", which was produced by Spector. The first time he heard the song was while driving, and was so overwhelmed that he had to pull over to the side of the road and analyze the chorus. Later, he reflected: "I was unable to really think as a producer up until the time where I really got familiar with Phil Spector's work. That was when I started to design the experience to be a record rather than just a song."
Surfer Girl marked the first time the group used outside musicians on a substantial portion of an LP. Many of them were the musicians Spector used for his Wall of Sound productions. Only a month after Surfer Girl'''s release the group's fourth album Little Deuce Coupe was issued. To close 1963, the band released a standalone Christmas-themed single, "Little Saint Nick", backed with an a cappella rendition of the scriptural song "The Lord's Prayer". The A-side peaked at number 3 on the US Billboard Christmas chart. By the end of the year David Marks had left the group and Al Jardine had returned.
British Invasion, Shut Down Volume 2, All Summer Long, and Christmas Album
The surf music craze, along with the careers of nearly all surf acts, was slowly replaced by the British Invasion. Following a successful Australasian tour in January and February 1964, the Beach Boys returned home to face their new competition, the Beatles. Both groups shared the same record label in the US, and Capitol's support for the Beach Boys immediately began waning. Although it generated a top-five single in "Fun Fun Fun", the group's fifth album, Shut Down Volume 2, became their first since Surfin' Safari not to reach the US top-ten. This caused Murry to fight for the band at the label more than before, often visiting their offices without warning to "twist executive arms". Carl said that Phil Spector "was Brian's favorite kind of rock; he liked [him] better than the early Beatles stuff. He loved the Beatles' later music when they evolved and started making intelligent, masterful music, but before that Phil was it." According to Mike Love, Carl followed the Beatles closer than anyone else in the band, while Brian was the most "rattled" by the Beatles and felt tremendous pressure to "keep pace" with them. For Brian, the Beatles ultimately "eclipsed a lot [of what] we'd worked for ... [they] eclipsed the whole music world."
Brian wrote his last surf song, "Don't Back Down", in April 1964. That month, during recording of the single "I Get Around", Murry was relieved of his duties as manager. He remained in close contact with the group and attempted to continue advising on their career decisions. When "I Get Around" was released in May, it would climb to number 1 in the US and Canada, their first single to do so (also reaching the top-ten in Sweden and the UK), proving that the Beach Boys could compete with contemporary British pop groups. "I Get Around" and "Don't Back Down" both appeared on the band's sixth album All Summer Long, released in July 1964 and reaching number 4 in the US. All Summer Long introduced exotic textures to the Beach Boys' sound exemplified by the piccolos and xylophones of its title track. The album was a swan-song to the surf and car music the Beach Boys built their commercial standing upon. Later albums took a different stylistic and lyrical path. Before this, a live album, Beach Boys Concert, was released in October to a four-week chart stay at number 1, containing a set list of previously recorded songs and covers that they had not yet recorded.
In June 1964, Brian recorded the bulk of The Beach Boys' Christmas Album with a forty-one-piece studio orchestra in collaboration with Four Freshmen arranger Dick Reynolds. The album was a response to Phil Spector's A Christmas Gift for You (1963). Released in December, the Beach Boys' album was divided between five new, original Christmas-themed songs, and seven reinterpretations of traditional Christmas songs. It would be regarded as one of the finest holiday albums of the rock era. One single from the album, "The Man with All the Toys", was released, peaking at number 6 on the US Billboard Christmas chart. On October 29, the Beach Boys performed for The T.A.M.I. Show, a concert film intended to bring together a wide range of musicians for a one-off performance. The result was released to movie theaters one month later.
Today!, Summer Days, and Party!
By the end of 1964, the stress of road travel, writing, and producing became too much for Brian. On December 23, while on a flight from Los Angeles to Houston, he suffered a panic attack. In January 1965, he announced his withdrawal from touring to concentrate entirely on songwriting and record production. For the last few days of 1964 and into early 1965, session musician and up-and-coming solo artist Glen Campbell agreed to temporarily serve as Brian's replacement in concert. Carl took over as the band's musical director onstage. Now a full-time studio artist, Brian wanted to move the Beach Boys beyond their surf aesthetic, believing that their image was antiquated and distracting the public from his talents as a producer and songwriter. Musically, he said he began to "take the things I learned from Phil Spector and use more instruments whenever I could. I doubled up on basses and tripled up on keyboards, which made everything sound bigger and deeper."
Released in March 1965, The Beach Boys Today! marked the first time the group experimented with the "album-as-art" form. The tracks on side one feature an uptempo sound that contrasts side two, which consists mostly of emotional ballads. Music writer Scott Schinder referenced its "suite-like structure" as an early example of the rock album format being used to make a cohesive artistic statement. Brian also established his new lyrical approach toward the autobiographical; journalist Nick Kent wrote that the subjects of Brian's songs "were suddenly no longer simple happy souls harmonizing their sun-kissed innocence and dying devotion to each other over a honey-coated backdrop of surf and sand. Instead, they'd become highly vulnerable, slightly neurotic and riddled with telling insecurities." In the book Yeah Yeah Yeah: The Story of Modern Pop, Bob Stanley remarked that "Brian was aiming for Johnny Mercer but coming up proto-indie." In 2012, the album was voted 271 on Rolling Stone magazine's list of the 500 Greatest Albums of All Time.
In April 1965, Campbell's own career success pulled him from touring with the group. Columbia Records staff producer Bruce Johnston was asked to locate a replacement for Campbell; having failed to find one, Johnston himself became a full-time member of the band on May 19, 1965. With Johnston's arrival, Brian now had a sixth voice he could work with in the band's vocal arrangements, with the June 4 vocal sessions for "California Girls" being Johnston's first recording session with the Beach Boys. "California Girls" was included on the band's next album Summer Days (And Summer Nights!!) and eventually charted at number 3 in the US as the second single from the album, while the album itself went to number 2. The first single from Summer Days had been a reworked arrangement of "Help Me, Rhonda", which became the band's second number 1 US single in the spring of 1965. For contractual reasons, owing to his previous deal with Columbia Records, Johnston was not able to be credited or pictured on Beach Boys records until 1967.
To appease Capitol's demands for a Beach Boys LP for the 1965 Christmas season, Brian conceived Beach Boys' Party!, a live-in-the-studio album consisting mostly of acoustic covers of 1950s rock and R&B songs, in addition to covers of three Beatles songs, Bob Dylan's "The Times They Are a-Changin'", and idiosyncratic rerecordings of the group's earlier songs. The album was an early precursor of the "unplugged" trend. It also included a cover of the Regents' song "Barbara Ann", which unexpectedly reached number 2 when released as a single several weeks later. In November, the group released another top-twenty single, "The Little Girl I Once Knew". It was considered the band's most experimental statement thus far. The single continued Brian's ambitions for daring arrangements, featuring unexpected tempo changes and numerous false endings. With the exception of their 1963 and 1964 Christmas singles ("Little Saint Nick" and "The Man with All the Toys") it was the group's lowest charting single on the Billboard Hot 100 since "Ten Little Indians" in 1962, peaking at number 20. According to Luis Sanchez, in 1965, Bob Dylan was "rewriting the rules for pop success" with his music and image, and it was at this juncture that Wilson "led The Beach Boys into a transitional phase in an effort to win the pop terrain that had been thrown up for grabs."
Pet Sounds
Wilson collaborated with jingle writer Tony Asher for several of the songs on the album Pet Sounds, a refinement of the themes and ideas that were introduced in Today!. In some ways, the music was a jarring departure from their earlier style. Jardine explained that "it took us quite a while to adjust to [the new material] because it wasn't music you could necessarily dance to—it was more like music you could make love to." In The Journal on the Art of Record Production, Marshall Heiser writes that Pet Sounds "diverges from previous Beach Boys' efforts in several ways: its sound field has a greater sense of depth and 'warmth;' the songs employ even more inventive use of harmony and chord voicings; the prominent use of percussion is a key feature (as opposed to driving drum backbeats); whilst the orchestrations, at times, echo the quirkiness of 'exotica' bandleader Les Baxter, or the 'cool' of Burt Bacharach, more so than Spector's teen fanfares."
For Pet Sounds, Brian desired to make "a complete statement", similar to what he believed the Beatles had done with their newest album Rubber Soul, released in December 1965. Brian was immediately enamored with the album, given the impression that it had no filler tracks, a feature that was mostly unheard of at a time when 45 rpm singles were considered more noteworthy than full-length LPs. He later said: "It didn't make me want to copy them but to be as good as them. I didn't want to do the same kind of music, but on the same level." Thanks to mutual connections, Brian was introduced to the Beatles' former press officer Derek Taylor, who was subsequently employed as the Beach Boys' publicist. Responding to Brian's request to reinvent the band's image, Taylor devised a promotion campaign with the tagline "Brian Wilson is a genius", a belief Taylor sincerely held. Taylor's prestige was crucial in offering a credible perspective to those on the outside, and his efforts are widely recognized as instrumental in the album's success in Britain.
Released on May 16, 1966, Pet Sounds was widely influential and raised the band's prestige as an innovative rock group. Early reviews for the album in the US ranged from negative to tentatively positive, and its sales numbered approximately 500,000 units, a drop-off from the run of albums that immediately preceded it. It was assumed that Capitol considered Pet Sounds a risk, appealing more to an older demographic than the younger, female audience upon which the Beach Boys had built their commercial standing. Within two months, the label capitulated by releasing the group's first greatest hits compilation album, Best of the Beach Boys, which was quickly certified gold by the RIAA. By contrast, Pet Sounds met a highly favorable critical response in Britain, where it reached number 2 and remained among the top-ten positions for six months. Responding to the hype, Melody Maker ran a feature in which many pop musicians were asked whether they believed that the album was truly revolutionary and progressive, or "as sickly as peanut butter". The author concluded that "the record's impact on artists and the men behind the artists has been considerable."
In its evaluation of Pet Sounds, the book 101 Albums That Changed Popular Music (2009) calls it "one of the most innovative recordings in rock", and states that it "elevated Brian Wilson from talented bandleader to studio genius". In 1995, a panel of numerous musicians, songwriters and producers assembled by Mojo voted Pet Sounds the greatest record ever made. Paul McCartney frequently spoke of his affinity with the album, citing "God Only Knows" as his favorite song of all time, and crediting it with furthering his interest in devising melodic bass lines. He said that Pet Sounds was the primary impetus for the Beatles' 1967 album Sgt. Pepper's Lonely Hearts Club Band. According to author Carys Wyn Jones, the interplay between the two groups during the Pet Sounds era remains one of the most noteworthy episodes in rock history. In 2003, when Rolling Stone magazine created its list of the "500 Greatest Albums of All Time", the publication placed Pet Sounds second to honour its influence on the highest-ranked album, Sgt. Pepper. 1997 would see the release of The Pet Sounds Sessions, a box set of four CDs devoted to the album and its making.
"Good Vibrations" and Smile
Throughout the summer of 1966, Brian concentrated on finishing the group's next single, "Good Vibrations". Instead of working on whole songs with clear large-scale syntactical structures, he limited himself to recording short interchangeable fragments (or "modules"). Through the method of tape splicing, each fragment could then be assembled into a linear sequence, allowing any number of larger structures and divergent moods to be produced at a later time. Coming at a time when pop singles were usually recorded in under two hours, it was one of the most complex pop productions ever undertaken, with sessions for the song stretching over several months in four major Hollywood studios. It was also the most expensive single ever recorded to that point, with production costs estimated to be in the tens of thousands.
In the midst of "Good Vibrations" sessions, Wilson invited session musician and songwriter Van Dyke Parks to collaborate as lyricist for the Beach Boys' next album project, soon titled Smile. Parks agreed. Wilson and Parks intended Smile to be a continuous suite of songs linked both thematically and musically, with the main songs linked together by small vocal pieces and instrumental segments that elaborated on the major songs' musical themes. It was explicitly American in style and subject, a conscious reaction to the overwhelming British dominance of popular music at the time. Some of the music incorporated chanting, cowboy songs, explorations in Indian and Hawaiian music, jazz, classical tone poems, cartoon sound effects, musique concrète, and yodeling. Saturday Evening Post writer Jules Siegel recalled that, on one October evening, Brian announced to his wife and friends that he was "writing a teenage symphony to God".
Recording for Smile lasted about a year, from mid-1966 to mid-1967, and followed the same modular production approach as "Good Vibrations". Concurrently, Wilson planned many different multimedia side projects, such as a sound effects collage, a comedy album, and a "health food" album. Capitol did not support all these ideas, which led to the Beach Boys' desire to form their own label, Brother Records. According to biographer Steven Gaines, Wilson employed his newfound "best friend" David Anderle as head of the label.
Throughout 1966, EMI flooded the UK market with Beach Boys albums not yet released there, including Beach Boys' Party!, The Beach Boys Today! and Summer Days (and Summer Nights!!), while Best of the Beach Boys was number 2 there for several weeks at the end of the year. Over the final quarter of 1966, the Beach Boys were the highest-selling album act in the UK, where for the first time in three years American artists broke the chart dominance of British acts. In 1971, Cue magazine wrote that, from mid-1966 to late-1967, the Beach Boys "were among the vanguard in practically every aspect of the counter culture".
Released on October 10, 1966, "Good Vibrations" was the Beach Boys' third US number 1 single, reaching the top of the Billboard Hot 100 in December, and became their first number 1 in Britain. That month, the record was their first single certified gold by the RIAA. It came to be widely acclaimed as one of the greatest masterpieces of rock music. In December 1966, the Beach Boys were voted the top band in the world in the NMEs annual readers' poll, ahead of the Beatles, the Walker Brothers, the Rolling Stones, and the Four Tops.
Throughout the first half of 1967, the album's release date was repeatedly postponed as Brian tinkered with the recordings, experimenting with different takes and mixes, unable or unwilling to supply a final version. Meanwhile, he suffered from delusions and paranoia, believing on one occasion that the would-be album track "Fire" caused a building to burn down. On January 3, 1967, Carl Wilson refused to be drafted for military service, leading to indictment and criminal prosecution, which he challenged as a conscientious objector. The FBI arrested him in April, and it took several years for courts to resolve the matter.
After months of recording and media hype, Smile was shelved for personal, technical, and legal reasons. A February 1967 lawsuit seeking $255,000 (equivalent to $ in ) was launched against Capitol Records over neglected royalty payments. Within the lawsuit was an attempt to terminate the band's contract with Capitol before its November 1969 expiry. Many of Wilson's associates, including Parks and Anderle, disassociated themselves from the group by April 1967. Brian later said: "Time can be spent in the studio to the point where you get so next to it, you don't know where you are with it—you decide to just chuck it for a while."
In the decades following Smiles non-release, it became the subject of intense speculation and mystique and the most legendary unreleased album in pop music history. Many of the album's advocates believe that had it been released, it would have altered the group's direction and cemented them at the vanguard of rock innovators. In 2011, Uncut magazine staff voted Smile the "greatest bootleg recording of all time".
1967–1969: Faltered popularity and Brian's reduced involvement
Smiley Smile and Wild Honey
From 1965 to 1967, the Beach Boys had developed a musical and lyrical sophistication that contrasted their work from before and after. This divide was further solidified by the difference in sound between their albums and their stage performances. This resulted in a split fanbase corresponding to two distinct musical markets. One group enjoys the band's early work as a wholesome representation of American popular culture from before the political and social movements brought on in the mid-1960s. The other group also appreciates the early songs for their energy and complexity, but not as much as the band's ambitious work that was created during the formative psychedelic era. At the time, rock music journalists typically valued the Beach Boys' early records over their experimental work.
In May 1967, the Beach Boys attempted to tour Europe with four extra musicians brought from the US, but were stopped by the British musicians' union. The tour went on without the extra support, and critics described their performances as "amateurish" and "floundering". At the last minute, the Beach Boys declined to headline the Monterey Pop Festival, an event held in June. According to David Leaf, "Monterey was a gathering place for the 'far out' sounds of the 'new' rock ... and it is thought that [their] non-appearance was what really turned the 'underground' tide against them." Fan magazines speculated that the group was on the verge of breaking up. Detractors called the band the "Bleach Boys" and "the California Hypes" as media focus shifted from Los Angeles to the happenings in San Francisco. As authenticity became a higher concern among critics, the group's legitimacy in rock music became an oft-repeated criticism, especially since their early songs appeared to celebrate a politically unconscious youth culture.
Although Smile had been cancelled, the Beach Boys were still under pressure and a contractual obligation to record and present an album to Capitol. Carl remembered: "Brian just said, 'I can't do this. We're going to make a homespun version of [Smile] instead. We're just going to take it easy. I'll get in the pool and sing. Or let's go in the gym and do our parts.' That was Smiley Smile." Sessions for the new album lasted from June to July 1967 at Brian's new makeshift home studio. Most of the album featured the Beach Boys playing their own instruments, rather than the session musicians employed in much of their previous work. It was the first album for which production was credited to the entire group instead of Brian alone.
In July 1967, lead single "Heroes and Villains" was issued, arriving after months of public anticipation, and reached number 12 in US. It was met with general confusion and underwhelming reviews, and in the NME, Jimi Hendrix famously dismissed it as a "psychedelic barbershop quartet". By then, the group's lawsuit with Capitol was resolved, and it was agreed that Smile would not be the band's next album. In August, the group embarked on a two-date tour of Hawaii. The shows saw Brian make a brief return to live performance, as Bruce Johnston chose to take a temporary break from the band during the summer of 1967, feeling that the atmosphere within the band "had all got too weird". The performances were filmed and recorded with the intention of releasing a live album, Lei'd in Hawaii, which was also left unfinished and unreleased. The general record-buying public came to view the music made after this time as the point marking the band's artistic decline.Smiley Smile was released on September 18, 1967, and peaked at number 41 in the US, making it their worst-selling album to that date. Critics and fans were generally underwhelmed by the album. According to Scott Schinder, the album was released to "general incomprehension. While Smile may have divided the Beach Boys' fans had it been released, Smiley Smile merely baffled them." The group was virtually blacklisted by the music press, to the extent that reviews of the group's records were either withheld from publication or published long after the release dates. When released in the UK in November, it performed better, reaching number 9. Over the years, the album gathered a reputation as one of the best "chill-out" albums to listen to during an LSD comedown. In 1974, NME voted it the 64th-greatest album of all time.
The Beach Boys immediately recorded a new album, Wild Honey, an excursion into soul music, and a self-conscious attempt to "regroup" themselves as a rock band in opposition to their more orchestral affairs of the past. Its music differs in many ways from previous Beach Boys records: it contains very little group singing compared to previous albums, and mainly features Brian singing at his piano. Again, the Beach Boys recorded mostly at his home studio. Love reflected that Wild Honey was "completely out of the mainstream for what was going on at that time ... and that was the idea."Wild Honey was released on December 18, 1967, in competition with the Beatles' Magical Mystery Tour and the Rolling Stones' Their Satanic Majesties Request. It had a higher chart placing than Smiley Smile, but still failed to make the top-twenty and remained on the charts for only 15 weeks. As with Smiley Smile, contemporary critics viewed it as inconsequential, and it alienated fans whose expectations had been raised by Smile. That month, Mike Love told a British journalist: "Brian has been rethinking our recording program and in any case we all have a much greater say nowadays in what we turn out in the studio."
Friends, 20/20, and Manson affair
The Beach Boys were at their lowest popularity in the late 1960s, and their cultural standing was especially worsened by their public image, which remained incongruous with their peers' "heavier" music. At the end of 1967, Rolling Stone co-founder and editor Jann Wenner printed an influential article that denounced the Beach Boys as "just one prominent example of a group that has gotten hung up on trying to catch The Beatles. It's a pointless pursuit." The article had the effect of excluding the group among serious rock fans and such controversy followed them into the next year. Capitol continued to bill them as "America's Top Surfin' Group!" and expected Brian to write more beachgoing songs for the yearly summer markets. From 1968 onward, his songwriting output declined substantially, but the public narrative of "Brian as leader" continued. The group also stopped wearing their longtime striped-shirt stage uniforms in favor of matching white, polyester suits that resembled a Las Vegas show band's.
After meeting Maharishi Mahesh Yogi at a UNICEF Variety Gala in Paris, Love and other high-profile celebrities such as the Beatles and Donovan traveled to Rishikesh, India, in February–March 1968. The following Beach Boys album, Friends, had songs influenced by the Transcendental Meditation the Maharishi taught. In support of Friends, Love arranged for the Beach Boys to tour with the Maharishi in the US Starting on May 3, 1968, the tour lasted five shows and was canceled when the Maharishi withdrew to fulfill film contracts. Because of disappointing audience numbers and the Maharishi's withdrawal, 24 tour dates were canceled at a cost estimated at $250,000. Friends, released on June 24, peaked at number 126 in the US. In August, Capitol issued an album of Beach Boys backing tracks, Stack-o-Tracks. It was the first Beach Boys LP that failed to chart in the US and UK.
In June 1968, Dennis befriended Charles Manson, an aspiring singer-songwriter, and their relationship lasted for several months. Dennis bought him time at Brian's home studio, where recording sessions were attempted while Brian stayed in his room. Dennis then proposed that Manson be signed to Brother Records. Brian reportedly disliked Manson, and a deal was never made. In July 1968, the group released the single "Do It Again", which lyrically harkened back to their earlier surf songs. Around this time, Brian admitted himself to a psychiatric hospital; his bandmates wrote and produced material in his absence. Released in January 1969, the album 20/20 mixed new material with outtakes and leftovers from recent albums; Brian produced virtually none of the newer recordings.
The Beach Boys recorded one song by Manson without his involvement: "Cease to Exist", rewritten as "Never Learn Not to Love", which was included on 20/20. As his cult of followers took over Dennis's home, Dennis gradually distanced himself from Manson. According to Leaf, "The entire Wilson family reportedly feared for their lives."
In August, the Manson Family committed the Tate–LaBianca murders. According to Jon Parks, the band's tour manager, it was widely suspected in the Hollywood community that Manson was responsible for the murders, and it had been known that Manson had been involved with the Beach Boys, causing the band to be viewed as pariahs for a time. In November, police apprehended Manson, and his connection with the Beach Boys received media attention. He was later convicted for several counts of murder and conspiracy to murder.
Selling of the band's publishing
In April 1969, the band revisited its 1967 lawsuit against Capitol after it alleged an audit revealed the band was owed over $2 million for unpaid royalties and production duties. In May, Brian told the music press that the group's funds were depleted to the point that it was considering filing for bankruptcy at the end of the year, which Disc & Music Echo called "stunning news" and a "tremendous shock on the American pop scene". Brian hoped that the success of a forthcoming single, "Break Away", would mend the financial issues. The song, written and produced by Brian and Murry, reached number 63 in the US and number 6 in the UK, and Brian's remarks to the press ultimately thwarted long-simmering contract negotiations with Deutsche Grammophon. The group's Capitol contract expired two weeks later with one more album still due. Live in London, a live album recorded in December 1968, was released in several countries in 1970 to fulfil the contract, although it would not see US release until 1976. After the contract was completed Capitol deleted the Beach Boys' catalog from print, effectively cutting off their royalty flow. The lawsuit was later settled in their favor and they acquired the rights to their post-1965 catalog.
In August, Sea of Tunes, the Beach Boys' catalog, was sold to Irving Almo Music for $700,000 (equivalent to $ in ). According to his wife, Marilyn Wilson, Brian was devastated by the sale. Over the years, the catalog generated more than $100 million in publishing royalties, none of which Murry or the band members ever received. That same month, Carl, Dennis, Love, and Jardine sought a permanent replacement for Johnston, with Johnston unaware of this search. They approached Carl's brother-in-law Billy Hinsche, who declined the offer to focus on his college studies.
1970–1978: Reprise era
Sunflower, Surf's Up, Carl and the Passions, and Holland
The group was signed to Reprise Records in 1970. Scott Schinder described the label as "probably the hippest and most artist-friendly major label of the time." The deal was brokered by Van Dyke Parks, who was then employed as a multimedia executive at Warner Music Group. Reprise's contract stipulated Brian's proactive involvement with the band in all albums. By the time the Beach Boys' tenure ended with Capitol in 1969, they had sold 65 million records worldwide, closing the decade as the most commercially successful American group in popular music.
After recording over 30 different songs and going through several album titles, their first LP for Reprise, Sunflower, was released on August 31, 1970. Sunflower featured a strong group presence with significant writing contributions from all six band members. Brian was active during this period, writing or co-writing seven of Sunflowers 12 songs and performing at half of the band's domestic concerts in 1970. The album received critical acclaim in both the US and the UK. This was offset by the album reaching only number 151 on US record charts during a four-week stay, becoming one of the worst-selling of the Beach Boys' albums at that point. Fans generally regard the LP as the Beach Boys' finest post-Pet Sounds album. In 2003, it placed at number 380 on Rolling Stones "Greatest Albums of All Time" list.
In mid-1970, the Beach Boys hired radio presenter Jack Rieley as their manager. One of his initiatives was to encourage the band to record songs featuring more socially conscious lyrics. He also requested the completion of Smile track "Surf's Up" and arranged a guest appearance at a Grateful Dead concert at Bill Graham's Fillmore East in April 1971 to foreground the Beach Boys' transition into the counterculture. During this time, the group ceased wearing matching uniforms on stage, while Dennis took time to star alongside James Taylor, Laurie Bird, and Warren Oates in the cult film Two-Lane Blacktop, released in 1971. Later in 1971, Dennis injured his hand, leaving him temporarily unable to play the drums. He continued in the band, singing and occasionally playing keyboards, while Ricky Fataar, formally of the Flames, took over on drums. In July, the American music press rated the Beach Boys "the hottest grossing act" in the country, alongside Grand Funk Railroad. The band filmed a concert for ABC-TV in Central Park, which aired as Good Vibrations from Central Park on August 19.
On August 30, the band released Surf's Up, which was moderately successful, reaching the US top-thirty, a marked improvement over their recent releases. While the record charted, the Beach Boys added to their renewed fame by performing a near-sellout set at Carnegie Hall; their live shows during this era included reworked arrangements of many of their previous songs, with their set lists culling from Pet Sounds and Smile. On October 28, the Beach Boys were the featured cover story on that date's issue of Rolling Stone. It included the first part of a lengthy two-part interview, titled "The Beach Boys: A California Saga", conducted by Tom Nolan and David Felton.
Bruce Johnston left the Beach Boys in early 1972, with Fataar and another ex-Flames member, singer and guitarist Blondie Chaplin, becoming official members of the band. The new line-up released the comparatively unsuccessful Carl and the Passions – "So Tough" in May 1972, followed by Holland in January 1973. Reprise felt Holland needed a strong single. Following the intervention of Van Dyke Parks, this resulted in the inclusion of "Sail On, Sailor". Reprise approved, and the resulting album peaked at number 37. Brian's musical children's story, Mount Vernon and Fairway, was included as a bonus EP.
Greatest hits LPs, touring resurgence, and Caribou sessions
After Holland, the group maintained a touring regimen, captured on the double live album The Beach Boys in Concert released in November 1973, but recorded very little in the studio through 1975. Several months earlier, they had announced that they would complete Smile, but this never came to fruition, and plans for its release were once again abandoned. Following Murry's death in June 1973, Brian retreated into his bedroom and withdrew further into drug abuse, alcoholism, chain smoking, and overeating. In October, the band fired Rieley. Rieley's position was succeeded by Mike Love's brother, Stephen, and Chicago manager James William Guercio. Chaplin and Fataar left the band in December 1973 and November 1974, respectively, with Dennis returning to drums following Fataar's departure.
The Beach Boys' greatest hits compilation album Endless Summer was released in June 1974 to unexpected success, becoming the band's second number 1 US album in October. The LP had a 155-week chart run, selling over 3 million copies. The Beach Boys became the number-one act in the US, propelling themselves from opening for Crosby, Stills, Nash and Young in the summer of 1974 to headliners selling out basketball arenas in a matter of weeks. Guercio prevailed upon the group to swap out newer songs with older material in their concert setlists, partly to accommodate their growing audience and the demand for their early hits. Later in the year, members of the band appeared as guests on Chicago's hit "Wishing You Were Here". At the end of 1974, Rolling Stone proclaimed the Beach Boys "Band of the Year" based on the strength of their live performances.
To capitalize on their sudden resurgence in popularity, the Beach Boys accepted Guercio's invitation to record their next Reprise album at his Caribou Ranch studio, located around the mountains of Nederland, Colorado. These October 1974 sessions marked the group's return to the studio after a 21-month period of virtual inactivity, but the proceedings were cut short after Brian had insisted on returning to his home in Los Angeles. With the project put on hold, the Beach Boys spent most of the next year on the road playing college football stadiums and basketball arenas. The only Beach Boys recording of 1974 to see release at the time was the Christmas single "Child of Winter", recorded upon the group's return to Los Angeles in November and released the following month.
Over the summer of 1975, the touring group played a co-headlining series of concert dates with Chicago, a pairing that was nicknamed "Beachago". The tour was massively successful and restored the Beach Boys' profitability to what it had been in the mid-1960s. Although another joint tour with Chicago had been planned for the summer of 1976, the Beach Boys' association with Guercio and his Caribou Management company ended in early 1976. Stephen Love subsequently took over as the band's de facto business manager.
15 Big Ones, Love You, and Adult/Child
Early in 1975, Brian signed a production deal with California Music, a Los Angeles collective that included Bruce Johnston and Gary Usher, but was drawn away by the Beach Boys' pressing demands for a new album. In October, Marilyn persuaded Brian to admit himself to the care of psychologist Eugene Landy, who kept him from indulging in substance abuse with constant supervision. Brian was kept in the program until December 1976.
At the end of January 1976, the Beach Boys returned to the studio with Brian producing once again. Brian decided the band should do an album of rock and roll and doo wop standards. Carl and Dennis disagreed, feeling that an album of originals was far more ideal, while Love and Jardine wanted the album out as quickly as possible. To highlight Brian's recovery and his return to writing and producing, Stephen devised a promotional campaign with the tagline "Brian Is Back!", and paid the Rogers & Cowan publicity agency $3,500 per month to implement it. The band also commissioned an NBC-TV special, later known as The Beach Boys: It's OK!, that was produced by Saturday Night Live creator Lorne Michaels.
Released on July 5, 1976, 15 Big Ones was generally disliked by fans and critics, as well as Carl and Dennis, who disparaged the album to the press. The album peaked at number 8 in the US, becoming their first top-ten album of new material since Pet Sounds, and their highest-charting studio album since Summer Days (And Summer Nights!!). Lead single "Rock and Roll Music" peaked at number 5 – their highest chart ranking since "Good Vibrations".
From late-1976 to early-1977, Brian made sporadic public appearances and produced the band's next album, The Beach Boys Love You. He regarded it as a spiritual successor to Pet Sounds, namely because of the autobiographical lyrics. Released on April 11, 1977, Love You peaked at number 53 in the US and number 28 in the UK. Critically, it was met with polarized reactions from the public. Numerous esteemed critics penned favorable reviews, but casual listeners generally found the album's idiosyncratic sound to be a detriment.
Adult/Child, the intended follow-up to Love You, was completed, but the release was vetoed by Love and Jardine. According to Stan Love, when his brother Mike heard the album, Mike turned to Brian and asked: "What the fuck are you doing?" Some of the unreleased songs on Adult/Child later saw individual release on subsequent Beach Boys albums and compilations. Following this period, his concert appearances with the band gradually diminished and their performances were occasionally erratic.
CBS signing and M.I.U. Album
At the beginning of 1977, the Beach Boys had enjoyed their most lucrative concert tours ever, with the band playing in packed stadiums and earning up to $150,000 per show. Concurrently, the band was the subject of a record company bidding war, as their contract with Warner Bros. had been set to expire soon. Stephen Love arranged for the Beach Boys to sign an $8 million deal with CBS Records on March 1. Numerous stipulations were given in the CBS contract, including that Brian was required to write at least four songs per album, co-write at least 70% of all the tracks, and produce or co-produce alongside his brothers. Another part of the deal required the group to play thirty concerts a year in the U.S., in addition to one tour in Australia and Japan, and two tours in Europe.
Within weeks of the CBS contract, Stephen was effectively fired by the band, with one of the alleged reasons being that Mike had not permitted Stephen to sign on his behalf while at a TM retreat in Switzerland. For Stephen's replacement, the group hired Carl's friend Henry Lazarus, an entertainment business owner that had no prior experience in the music industry. Lazarus arranged a major European tour for the Beach Boys, starting in late July, with stops in Germany, Switzerland, and France. Due to poor planning, the tour was cancelled shortly before it began, as Lazarus had failed to complete the necessary paperwork. The group subsequently fired Lazarus and were sued by many of the concert promoters, with losses of $200,000 in preliminary expenses and $550,000 in potential revenue.
In July, the Beach Boys played a concert at Wembley Stadium that was notable for the fact that, during the show, Mike attacked Brian with a piano bench onstage in front of over 15,000 attendees. In August, Mike and Jardine persuaded Stephen to return as the group's manager, a decision that Carl and Dennis had strongly opposed. By this point, the band had effectively split into two camps; Dennis and Carl on one side, Mike and Jardine on the other, with Brian remaining neutral. These two opposing contingents within the group – known among their associates as the "free-livers" and the "meditators" – were traveling in different planes, using different hotels, and rarely speaking to each other. According to Love, "[T]he terms 'smokers' and 'nonsmokers' were also used."
On September 3, after completing the final date of a northeastern US tour, the internal wrangling came to a head. Following a confrontation on an airport apron – a spectacle that a bystanding Rolling Stone journalist compared to the ending of Casablanca – Dennis declared that he had left the band. The group was broken up until a meeting at Brian's house on September 17. In light of the lucrative CBS contract, the parties negotiated a settlement resulting in Love gaining control of Brian's vote in the group, allowing Love and Jardine to outvote Carl and Dennis on any matter.
The group had still owed one more album for Reprise. Released in September 1978, M.I.U. Album was recorded at Maharishi International University in Iowa at the suggestion of Love. The band originally attempted to record a Christmas album, to be titled Merry Christmas from the Beach Boys, but this idea was rejected by Reprise. These Christmas recordings would eventually be released in 1998 as part of the Ultimate Christmas compilation album. Dennis and Carl made limited contributions to M.I.U. Album; the album was produced by Jardine and Ron Altbach, with Brian credited as "executive producer". Dennis started to withdraw from the group to focus on his second solo album, Bambu, which was shelved just as alcoholism and marital problems overcame all three Wilson brothers. Carl appeared intoxicated during concerts (especially at appearances for their 1978 Australia tour) and Brian gradually slid back into addiction and an unhealthy lifestyle. Stephen was fired shortly after the Australia tour partly due to an incident in which Brian's bodyguard Rocky Pamplin physically assaulted Carl.
1978–1998: Continued recording and Brian's estrangement
L.A. (Light Album) and Keepin' the Summer Alive
The group's first two albums for CBS, 1979's L.A. (Light Album) and 1980's Keepin' the Summer Alive, struggled in the US, charting at 100 and 75 respectively, though the band did manage a top-forty single from L.A. with "Good Timin'". The recording of these albums saw Bruce Johnston return to the band, initially solely as a producer and eventually as a full-time band member. In-between the two albums the group contributed the song "It's a Beautiful Day" to the soundtrack of the film Americathon. In an April 1980 interview, Carl reflected that "the last two years have been the most important and difficult time of our career. We were at the ultimate crossroads. We had to decide whether what we had been involved in since we were teenagers had lost its meaning. We asked ourselves and each other the difficult questions we'd often avoided in the past." By the next year, he left the touring group because of unhappiness with the band's nostalgia format and lackluster live performances, subsequently pursuing a solo career. He stated: "I haven't quit the Beach Boys but I do not plan on touring with them until they decide that 1981 means as much to them as 1961." Carl returned in May 1982, after approximately 14 months of being away, on the condition that the group reconsider their rehearsal and touring policies and refrain from "Las Vegas-type" engagements.
On June 21, 1980, the Beach Boys performed a concert at Knebworth, England, which featured a slightly intoxicated Dennis. The concert would later be released as a live album titled Good Timin': Live at Knebworth England 1980 in 2002. In 1981, the band scored a surprise US top-twenty hit when their cover of the Del-Vikings' "Come Go with Me" from the three year old M.I.U. Album was released as a single.
In late 1982, Eugene Landy was once more employed as Brian's therapist, and a more radical program was undertaken to try to restore Brian to health. This involved removing him from the group on November 5, 1982, at the behest of Carl, Love, and Jardine, in addition to putting him on a rigorous diet and health regimen. Coupled with long, extreme counseling sessions, this therapy was successful in bringing Brian back to physical health, slimming down from to .
Death of Dennis, The Beach Boys, and Still Cruisin
By the late 1970s and early 1980s, Dennis had been embroiled in successive failed romantic relationships, including a tense and short-lived relationship with Fleetwood Mac's Christine McVie, and found himself in severe economic trouble resulting in the sale of Brother Studios, established by the Wilson brothers in 1974 and where Pacific Ocean Blue was produced, and the forfeiture of his beloved yacht. To cope with the combination of devastating losses, Dennis heavily abused alcohol, cocaine, and heroin and was, by 1983, homeless and lived a nomadic lifestyle. He was often seen spending much of his time wandering the Los Angeles coast and often missed Beach Boys performances. By this point, he had lost his voice and much of his ability to play drums.
In 1983, tensions between Dennis and Love escalated to the point that each obtained a restraining order against the other. Following Brian's readmission for Landy's treatment, Dennis was given an ultimatum after his last performance in November 1983 to check into rehab for his alcohol problems or be banned from performing live with the band again. Dennis checked into rehab for his chance to get sober, but on December 28, he drowned at the age of 39 in Marina del Rey while diving from a friend's boat trying to recover items that he had previously thrown overboard in a fit of rage.
The Beach Boys spent the next several years touring, often playing in front of large audiences, and recording songs for film soundtracks and various artists compilations. One new studio album, the self-titled The Beach Boys, appeared in 1985 and proved a modest success, becoming their highest-charting album in the US since 15 Big Ones. The Beach Boys was the group's final album for CBS. The following year they returned to Capitol with a 25th anniversary greatest hits album Made in U.S.A, which featured two new tracks, "Rock 'n' Roll to the Rescue" and a cover of the Mamas and the Papas' "California Dreamin'", with the latter featuring Roger McGuinn of the Byrds on lead guitar. Made in U.S.A eventually went double platinum.
Commenting on his relationship to the band in 1988, Brian said that he avoided his family at Landy's suggestion, adding that "Although we stay together as a group, as people we're a far cry from friends." Mike denied the accusation that he and the band were keeping Brian from participating with the group. In 1987 the band scored a top-twenty single in collaboration with rap group the Fat Boys, on their cover of the Surfaris' "Wipeout!". The following year, the Beach Boys unexpectedly claimed their first US number 1 single in 22 years with "Kokomo", which topped the chart for one week. The track was featured in the film Cocktail. Both "Wipeout!" and "Kokomo" were included on the band's next album, 1989's Still Cruisin', which went platinum in the US. In 1991 the band contributed a cover of "Crocodile Rock" to the Elton John and Bernie Taupin tribute album Two Rooms.
Lawsuits, Summer in Paradise, and Stars and Stripes, Vol. 1
Carlin summarized, "Once surfin' pin-ups, they remade themselves as avant-garde pop artists, then psychedelic oracles. After that they were down-home hippies, then retro-hip icons. Eventually they devolved into none of the above: a kind of perpetual-motion nostalgia machine." Music journalist Erik Davis wrote in 1990, "the Beach Boys are either dead, deranged, or dinosaurs; their records are Eurocentric, square, unsampled; they've made too much money to merit hip revisionism." In 1992, critic Jim Miller wrote, "They have become a figment of their own past, prisoners of their unflagging popularity—incongruous emblems of a sunny myth of eternal youth belied by much of their own best music. … The group is still largely identified with its hits from the early Sixties."
Love filed a defamation lawsuit against Brian due to how he was presented in Brian's 1992 memoir Wouldn't It Be Nice: My Own Story. Its publisher HarperCollins settled the suit for $1.5 million. He said that the suit allowed his lawyer "to gain access to the transcripts of Brian's interviews with his [book] collaborator, Todd Gold. Those interviews affirmed—according to Brian—that I had been the inspiration of the group and that I had written many of the songs that [would soon be] in dispute." Other defamation lawsuits were filed by Carl, Brother Records, and the Wilsons' mother Audree. With Love and Brian unable to determine exactly what Love was properly owed in royalties, Love sued Brian in 1992, winning $13 million in 1994 for lost royalties. 35 of the group's songs were then amended to credit Love. He later called it "almost certainly the largest case of fraud in music history".
The day after California courts issued a restraining order between Brian and Landy, Brian phoned Sire Records staff producer Andy Paley to collaborate on new material tentatively for the Beach Boys. After losing the songwriting credits lawsuit with Love, Brian told MOJO in February 1995: "Mike and I are just cool. There's a lot of shit Andy and I got written for him. I just had to get through that goddamn trial!" In April, it was unclear whether the project would turn into a Wilson solo album, a Beach Boys album, or a combination of the two. The project ultimately disintegrated. Instead, Brian and his bandmates recorded Stars and Stripes Vol. 1, an album of country music stars covering Beach Boys songs, with co-production helmed by River North Records owner Joe Thomas. Afterward, the group discussed finishing the album Smile, but Carl rejected the idea, fearing that it would cause Brian another nervous breakdown.
1998–present: Love-led tours
Death of Carl and band name litigation
Early in 1997, Carl was diagnosed with lung and brain cancer after years of heavy smoking. Despite his terminal condition, Carl continued to perform with the band on its 1997 summer tour (a double-bill with the band Chicago) while undergoing chemotherapy. During performances, he sat on a stool and needed oxygen after every song. Carl died on February 6, 1998, at the age of 51, two months after the death of the Wilsons' mother, Audree.
After Carl's death, Jardine left the touring line-up and began to perform regularly with his band "Beach Boys: Family & Friends" until he ran into legal issues for using the name without license. Meanwhile, Jardine sued Love, claiming that he had been excluded from their concerts, BRI, through its longtime attorney, Ed McPherson, sued Jardine in Federal Court. Jardine, in turn, counter-claimed against BRI for wrongful termination. BRI ultimately prevailed.
In 2000, ABC-TV premiered a two-part television miniseries, The Beach Boys: An American Family, that dramatized the Beach Boys' story. It was produced by Full House actor John Stamos, and was criticized by numerous parties, including Wilson, for historical inaccuracies.
In 2004, Wilson recorded and released his solo album Brian Wilson Presents Smile, a reinterpretation of the unfinished Smile project. That September, Wilson issued a free CD through the Mail On Sunday that included Beach Boys songs he had recently rerecorded, five of which he co-authored with Love. The 10 track compilation had 2.6 million copies distributed and prompted Love to file a lawsuit in November 2005; he claimed the promotion hurt the sales of the original recordings. Love's suit was dismissed in 2007 when a judge determined that there were no triable issues.
The Smile Sessions, That's Why God Made the Radio, and 50th anniversary reunion tour
On October 31, 2011, Capitol released a double album and box set dedicated to the Smile recordings in the form of The Smile Sessions. The album garnered universal critical acclaim and charted in both the US Billboard and UK top-thirty. It went on to win Best Historical Album at the 2013 Grammy Awards.
On December 16, 2011, it was announced that Wilson, Love, Jardine, Johnston and David Marks would reunite for a new album and 50th anniversary tour. On February 12, 2012, the Beach Boys performed at the 2012 Grammy Awards, in what was billed as a "special performance" by organizers. It marked the group's first live performance to include Wilson since 1996, Jardine since 1998, and Marks since 1999. Released on June 5, That's Why God Made the Radio debuted at number 3 on the US charts, expanding the group's span of Billboard 200 top-ten albums across 49 years and one week, passing the Beatles with 47 years of top-ten albums. Critics generally regarded the album as an "uneven" collection, with most of the praise centered on its closing musical suite.
The reunion tour ended in September 2012 as planned, but amid erroneous rumors that Love had dismissed Wilson from the Beach Boys. Love and Johnston continued to perform under the Beach Boys name, while Wilson, Jardine, and Marks continued to tour as a trio, and a subsequent tour with guitarist Jeff Beck also included Blondie Chaplin at select dates.
Copyright extension releases
Responding to a new European Union copyright law that extended copyright to 70 years for recordings that were published within 50 years after they were made, Capitol began issuing annual 50-year anniversary "copyright extension" releases of Beach Boys recordings, starting with The Big Beat 1963 (2013).
Jardine, Marks, Johnston and Love appeared together at the 2014 Ella Awards Ceremony, where Love was honored for his work as a singer. In 2015, Soundstage aired an episode featuring Wilson performing with Jardine, Chaplin, and Ricky Fataar at The Venetian in Las Vegas. In April, when asked if he was interested in making music with Love again, Wilson replied: "I don't think so, no," adding in July that he "doesn't talk to the Beach Boys [or] Mike Love."
In 2016, Love and Wilson published memoirs, Good Vibrations: My Life as a Beach Boy and I Am Brian Wilson, respectively. Asked about negative comments that Wilson made about him in the book, Love challenged the legitimacy of statements attributed to Wilson in the book and in the press. In an interview with Rolling Stone conducted in June 2016, Wilson said he would like to try to repair his relationship with Love and collaborate with him again. In January 2017, Love said, "If it were possible to make it just Brian and I, and have it under control and done better than what happened in 2012, then yeah, I'd be open to something."
In July 2018, Wilson, Jardine, Love, Johnston, and Marks reunited for a one-off Q&A session moderated by director Rob Reiner at the Capitol Records Tower in Los Angeles. It was the first time the band had appeared together in public since their 2012 tour. That December, Love described his new holiday album, Reason for the Season, as a "message to Brian" and said that he "would love nothing more than to get together with Brian and do some music."
In February 2020, Wilson and Jardine's official social media pages encouraged fans to boycott the band's music after it was announced that Love's Beach Boys would perform at the Safari Club International Convention in Reno, Nevada on animal rights grounds. The concert proceeded despite online protests, as Love issued a statement that said his group has always supported "freedom of thought and expression as a fundamental tenet of our rights as Americans." In October, Love and Johnston's Beach Boys performed at a fundraiser for Donald Trump's presidential re-election campaign; Wilson and Jardine again issued a statement that they had not been informed about this performance and did not support it.
Selling of the band's intellectual property and 60th anniversary
In March 2020, Jardine was asked about a possible reunion and responded that the band would reunite for a string of live performances in 2021, although he believed a new album was unlikely. In response to reunion rumors, Love said in May that he was open to a 60th anniversary tour, although Wilson has "some serious health issues", while Wilson's manager Jean Sievers commented that no one had spoken to Wilson about such a tour. In February 2021, it was announced that Brian Wilson, Love, Jardine, and the estate of Carl Wilson had sold a majority stake in the band's intellectual property to Irving Azoff and his new company Iconic Artists Group; rumors of a 60th anniversary reunion were again discussed.
In April 2021, Omnivore Recordings released California Music Presents Add Some Music, an album featuring Love, Jardine, Marks, Johnston, and several children of the original Beach Boys. In August, Capitol released the box set Feel Flows: The Sunflower & Surf's Up Sessions 1969–1971. In 2022, the group was expected to participate in a "60th anniversary celebration". Azoff stated in an interview from May 2021, "We're going to announce a major deal with a streamer for the definitive documentary on The Beach Boys and a 60th anniversary celebration. We're planning a tribute concert affiliated with the Rock & Roll Hall of Fame and SiriusXM, with amazing acts. That's adding value, and that's why I invested in The Beach Boys."
On Mike Love's 81st birthday, Jardine once again hinted at a possible reunion on his Facebook page by stating that he was "looking forward" to seeing Love at the "reunion". However, while a reunion ultimately did not occur in 2022, Capitol released the Sail On Sailor – 1972 box set in December. Following on from the Feel Flows box set, which focused on Sunflower and Surf's Up, Sail On Sailor focused on Carl and the Passions and Holland.
In January 2023, the tribute concert mentioned by Azoff in 2021 was announced as being part of the “Grammys Salute” series of televised tribute concerts. On February 8 – three days after the 2023 Grammy award ceremonies, A Grammy Salute to the Beach Boys was recorded at the Dolby Theatre in Hollywood, California and subsequently aired as a 2-hour special on CBS on April 9. Present for the taping were Wilson, Jardine, Marks, Johnston, and Love - this time not as performers but as featured guests, seated in a luxury box at the theatre, overlooking tribute performances covering the gamut of their catalog by mostly contemporary artists. According to Billboard, the program had 5.18 million viewers.
In July 2023, the Beach Boys announced a limited edition to their book, The Beach Boys by The Beach Boys, set to be released in 2024. It will feature exclusive interviews, archived photos, live shots, as well as archived texts from late members Carl and Dennis Wilson.
Musical style and development
In Understanding Rock: Essays in Musical Analysis, musicologist Daniel Harrison writes:
The Beach Boys began as a garage band playing 1950s style rock and roll, reassembling styles of music such as surf to include vocal jazz harmony, which created their unique sound. In addition, they introduced their signature approach to common genres such as the pop ballad by applying harmonic or formal twists not native to rock and roll. Among the distinct elements of the Beach Boys' style were the nasal quality of their singing voices, their use of a falsetto harmony over a driving, locomotive-like melody, and the sudden chiming in of the whole group on a key line. Brian Wilson handled most stages of the group's recording process from the beginning, even though he was not properly credited on most of the early recordings.
Early on, Mike Love sang lead vocals in the rock-oriented songs, while Carl contributed guitar lines on the group's ballads. Jim Miller commented: "On straight rockers they sang tight harmonies behind Love's lead ... on ballads, Brian played his falsetto off against lush, jazz-tinged voicings, often using (for rock) unorthodox harmonic structures." Harrison adds that "even the least distinguished of the Beach Boys' early uptempo rock 'n' roll songs show traces of structural complexity at some level; Brian was simply too curious and experimental to leave convention alone." Although Brian was often dubbed a perfectionist, he was an inexperienced musician, and his understanding of music was mostly self-taught. At the lyric stage, he usually worked with Love, whose assertive persona provided youthful swagger that contrasted Brian's explorations in romanticism and sensitivity. Luis Sanchez noted a pattern where Brian would spare surfing imagery when working with collaborators outside of his band's circle, in the examples "Lonely Sea" and "In My Room".
Brian's bandmates resented the notion that he was the sole creative force in the group. In a 1966 article that asked if "the Beach Boys rely too much on sound genius Brian", Carl said that although Brian was the most responsible for their music, every member of the group contributed ideas. Mike Love wrote, "As far as I was concerned, Brian was a genius, deserving of that recognition. But the rest of us were seen as nameless components in Brian's music machine ... It didn't feel to us as if we were just riding on Brian's coattails." Conversely, Dennis defended Brian's stature in the band, stating: "Brian Wilson is the Beach Boys. He is the band. We're his fucking messengers. He is all of it. Period. We're nothing. He's everything."
Influences
The band's earliest influences came primarily from the work of Chuck Berry and the Four Freshmen. Performed by the Four Freshmen, "Their Hearts Were Full of Spring" (1961) was a particular favorite of the group. By analyzing their arrangements of pop standards, Brian educated himself on jazz harmony. Bearing this in mind, Philip Lambert noted, "If Bob Flanigan helped teach Brian how to sing, then Gershwin, Kern, Porter, and the other members of this pantheon helped him learn how to craft a song." Other general influences on the group included the Hi-Los, the Penguins, the Robins, Bill Haley & His Comets, Otis Williams, the Cadets, the Everly Brothers, the Shirelles, the Regents, and the Crystals.
The eclectic mix of white and black vocal group influences – ranging from the rock and roll of Berry, the jazz harmonies of the Four Freshmen, the pop of the Four Preps, the folk of the Kingston Trio, the R&B of groups like the Coasters and the Five Satins, and the doo wop of Dion and the Belmonts – helped contribute to the Beach Boys' uniqueness in American popular music. Carl remembered that Love was "really immersed in doo-wop" and likely "influenced Brian to listen to it", adding that the "black artists were so much better in terms of rock records in those days that the white records almost sounded like put-ons."
Another significant influence on Brian's work was Burt Bacharach. He said in the 1960s: "Burt Bacharach and Hal David are more like me. They're also the best pop team – per se – today. As a producer, Bacharach has a very fresh, new approach." Regarding surf rock pioneer Dick Dale, Brian said that his influence on the group was limited to Carl and his style of guitar playing. Carl credited Chuck Berry, the Ventures, and John Walker with shaping his guitar style, and that the Beach Boys had learned to play all of the Ventures' songs by ear early in their career.
In 1967, Lou Reed wrote in Aspen that the Beach Boys created a "hybrid sound" out of old rock and the Four Freshmen, explaining that such songs as "Let Him Run Wild", "Don't Worry Baby", "I Get Around", and "Fun, Fun, Fun" were not unlike "Peppermint Stick" by the Elchords. Similarly, John Sebastian of the Lovin' Spoonful noted, "Brian had control of this vocal palette of which we had no idea. We had never paid attention to the Four Freshmen or doo-wop combos like the Crew Cuts. Look what gold he mined out of that."
Vocals
Brian identified each member individually for their vocal range, once detailing the ranges for Carl, Dennis, Jardine ("[they] progress upwards through G, A, and B"), Love ("can go from bass to the E above middle C"), and himself ("I can take the second D in the treble clef"). He declared in 1966 that his greatest interest was to expand modern vocal harmony, owing to his fascination with a voice to the Four Freshmen, which he considered a "groovy sectional sound." He added, "The harmonies that we are able to produce give us a uniqueness which is really the only important thing you can put into records – some quality that no one else has got. I love peaks in a song – and enhancing them on the control panel. Most of all, I love the human voice for its own sake." For a period, Brian avoided singing falsetto for the group, saying, "I thought people thought I was a fairy...the band told me, 'If that's the way you sing, don't worry about it.'"
In the group's early recordings, from lowest intervals to highest, the group's vocal harmony stack usually began with Love or Dennis, followed by Jardine or Carl, and finally Brian on top, according to Jardine, while Carl said that the blend was Love on bottom, Carl above, followed by Dennis or Jardine, and then Brian on top. Jardine explains, "We always sang the same vocal intervals. ... As soon as we heard the chords on the piano we'd figure it out pretty easily. If there was a vocal move [Brian] envisioned, he'd show that particular singer that move. We had somewhat photographic memory as far as the vocal parts were concerned so that [was] never a problem for us." Striving for perfection, Brian insured that his intricate vocal arrangements exercised the group's calculated blend of intonation, attack, phrasing, and expression. Sometimes, he would sing each vocal harmony part alone through multi-track tape.
On the group's blend, Carl said: "[Love] has a beautifully rich, very full-sounding bass voice. Yet his lead singing is real nasal, real punk. [Jardine]'s voice has a bright timbre to it; it really cuts. My voice has a kind of calm sound. We're big oooh-ers; we love to oooh. It's a big, full sound, that's very pleasing to us; it opens up the heart." Rock critic Erik Davis wrote, "The 'purity' of tone and genetic proximity that smoothed their voices was almost creepy, pseudo-castrato, [and] a 'barbershop' sound." Jimmy Webb said, "They used very little vibrato and sing in very straight tones. The voices all lie down beside each other very easily – there's no bumping between them because the pitch is very precise." According to Brian: "Jack Good once told us, 'You sing like eunuchs in a Sistine Chapel,' which was a pretty good quote." Writer Richard Goldstein reported that, according to a fellow journalist who asked Brian about the black roots of his music, Brian's response was: "We're white and we sing white." Goldstein added that when he asked where his approach to vocal harmonies had derived from, Wilson answered: 'Barbershop'."
Use of studio musicians
Biographer James Murphy said, "By most contemporary accounts, they were not a very good live band when they started. ... The Beach Boys learned to play as a band in front of live audiences", eventually to become "one of the best and enduring live bands". With only a few exceptions, the Beach Boys played every instrument heard on their first four albums and first five singles. It is the belief of Richie Unterberger that, "Before session musicians took over most of the parts, the Beach Boys could play respectably gutsy surf rock as a self-contained unit."
As Wilson's arrangements increased in complexity, he began employing a group of professional studio musicians, later known as "the Wrecking Crew", to assist with recording the instrumentation on select tracks. According to some reports, these musicians then completely replaced the Beach Boys on the backing tracks to their records. Much of the relevant documentation, while accounting for the attendance of unionized session players, had failed to record the presence of the Beach Boys themselves. These documents, along with the full unedited studio session tapes, were not available for public scrutiny until the 1990s.
Wilson started occasionally employing members of the Wrecking Crew for certain Beach Boys tracks during the 1963 Surfer Girl sessions – specifically, on two songs, "Hawaii" and "Our Car Club". The 1964 albums Shut Down Volume 2 and All Summer Long featured the Beach Boys themselves playing the vast majority of the instruments while occasionally being augmented by outside musicians. It is commonly misreported that Dennis in particular was replaced by Hal Blaine on drums. Dennis's drumming is documented on a number of the group's singles, including 1964's "I Get Around", "Fun, Fun, Fun", and "Don't Worry Baby". Starting with the 1965 albums Today! and Summer Days, Brian used the Wrecking Crew with greater frequency, "but still", Stebbins writes, "the Beach Boys continued to play the instruments on many of the key tracks and single releases."
Overall, the Beach Boys played the instruments on the majority of their recordings from the decade, with 1966 and 1967 being the only years when Wilson used the Wrecking Crew almost exclusively. Pet Sounds and Smile are their only albums in which the backing tracks were largely played by studio musicians. After 1967, the band's use of studio musicians was considerably reduced. Wrecking Crew biographer Kent Hartman supported in his 2012 book about the musicians, "Though [Brian Wilson] had for several months brought in various session players on a sporadic, potluck basis to supplement things, the other Beach Boys generally played on the earliest songs, too."
The source of the longstanding controversy regarding the Beach Boys' use of studio musicians largely derives from a misinterpreted statement in David Leaf's 1978 biography The Beach Boys and the California Myth, later bolstered by erroneous recollections from participants of the recording sessions. Starting in the 1990s, unedited studio session tapes, along with American Federation of Musicians (AFM) sheets and tape logs, were leaked to the public. Music historian Craig Slowinski, who contributes musician credits to the liner notes of the band's reissues and compilations, wrote in 2006: "[O]nce the vaults were opened up and the tapes were studied, the true situation became clear: the Boys themselves played most of the instruments on their records until the Beach Boys Today! album in early 1965." Slowinski goes on to note, "when painting a picture of a Beach Boys recording session, it's important to examine both the AFM contracts and the session tapes, either of which may be incomplete on their own."
During the period when Brian relied heavily on studio musicians, Carl was an exception among the Beach Boys in that he played alongside the studio musicians whenever he was available to attend sessions. In Slowinski's view, "One should not sell short Carl's own contributions; the youngest Wilson had developed as a musician sufficiently to play alongside the horde of high-dollar session pros that big brother was now bringing into the studio. Carl's guitar playing [was] a key ingredient."
Spirituality
The band members often reflected on the spiritual nature of their music (and music in general), particularly for the recording of Pet Sounds and Smile. Even though the Wilsons did not grow up in a particularly religious household, Carl was described as "the most truly religious person I know" by Brian, and Carl was forthcoming about the group's spiritual beliefs stating: "We believe in God as a kind of universal consciousness. God is love. God is you. God is me. God is everything right here in this room. It's a spiritual concept which inspires a great deal of our music." Carl told Rave magazine in 1967 that the group's influences are of a "religious nature", but not any religion in specific, only "an idea based upon that of Universal Consciousness. ... The spiritual concept of happiness and doing good to others is extremely important to the lyric of our songs, and the religious element of some of the better church music is also contained within some of our new work."
Brian is quoted during the Smile era: "I'm very religious. Not in the sense of churches, going to church; but like the essence of all religion." During the recording of Pet Sounds, Brian held prayer meetings, later reflecting that "God was with us the whole time we were doing this record ... I could feel that feeling in my brain." In 1966, he explained that he wanted to move into a white spiritual sound, and predicted that the rest of the music industry would follow suit. In 2011, Brian maintained the spirituality was important to his music, and that he did not follow any particular religion.
Carl said that Smile was chosen as an album title because of its connection to the group's spiritual beliefs. Brian referred to Smile as his "teenage symphony to God", composing a hymn, "Our Prayer", as the album's opening spiritual invocation. Experimentation with psychotropic substances also proved pivotal to the group's development as artists. He spoke of his LSD trips as a "religious experience", and during a session for "Our Prayer", Brian can be heard asking the other Beach Boys: "Do you guys feel any acid yet?". In 1968, the group's interest in transcendental meditation led them to record the original song, "Transcendental Meditation".
Legacy and cultural influence
Achievements and accolades
The Beach Boys are one of the most critically acclaimed, commercially successful, and influential bands of all time. They have sold over 100 million records worldwide. The group's early songs made them major pop stars in the US, the UK, Australia and other countries, having seven top 10 singles between April 1963 and November 1964. They were one of the first American groups to exhibit the definitive traits of a self-contained rock band, playing their own instruments and writing their own songs, and they were one of the few American bands formed prior to the 1964 British Invasion to continue their success. Among artists of the 1960s, they are one of the central figures in the histories of rock. Between the 1960s and 2020s, they had 37 songs reach the US Top 40 (the most by an American group) with four topping the Billboard Hot 100; they also hold Nielsen SoundScan's record as the top-selling American band for albums and singles.
Brian Wilson's artistic control over the Beach Boys' records was unprecedented for the time. Carl Wilson elaborated: "Record companies were used to having absolute control over their artists. It was especially nervy, because Brian was a 21-year-old kid with just two albums. It was unheard of. But what could they say? Brian made good records." This made the Beach Boys one of the first rock groups to exert studio control. Music producers after the mid-1960s would draw on Brian's influence, setting a precedent that allowed bands and artists to enter a recording studio and act as producers, either autonomously, or in conjunction with other like minds.
The band routinely appears in the upper reaches of ranked lists such as "The Top 1000 Albums of All Time." Many of the group's songs and albums, including The Beach Boys Today!, Smiley Smile, Sunflower, and Surf's Up—and especially Pet Sounds and "Good Vibrations"—are featured in numerous lists devoted to the greatest albums or singles of all time. The latter two frequently appear on the number one spot. On Acclaimed Music, which aggregates the rankings of decades of critics' lists, Pet Sounds is ranked as the greatest album of all time, while "Good Vibrations" is the third-greatest song of all time ("God Only Knows" is also ranked 21). The group itself is ranked number 11 in its 1000 most recommended artists of all time. In 2004, Rolling Stone ranked the band number 12 on the magazine's list of the "100 Greatest Artists of All Time".
In 1988, the original five members (the Wilson brothers, Love, and Jardine) were inducted into the Rock and Roll Hall of Fame. Ten years later, they were selected for the Vocal Group Hall of Fame. In 2004, Pet Sounds was preserved in the National Recording Registry by the Library of Congress for being "culturally, historically, and aesthetically significant." Their recordings of "In My Room", "Good Vibrations", "California Girls" and the entire Pet Sounds album have been inducted into the Grammy Hall of Fame.
The Beach Boys are one of the most influential acts of the rock era. In 2017, a study of AllMusic's catalog indicated the Beach Boys as the 6th most frequently cited artist influence in its database. For the 50th anniversary of Pet Sounds, 26 artists contributed to a Pitchfork retrospective on its influence, which included comments from members of Talking Heads, Yo La Tengo, Chairlift, and Deftones. The editor noted that the "wide swath of artists assembled for this feature represent but a modicum of the album's vast measure of influence. Its scope transcends just about all lines of age, race, and gender. Its impact continues to broaden with each passing generation." In 2021, the staff of Ultimate Classic Rock ranked the Beach Boys as the top American band of all time; the publication's editor wrote in the group's entry that "few bands ... have had a greater impact on popular music."
California sound
Professor of cultural studies James M. Curtis wrote in 1987, "We can say that the Beach Boys represent the outlook and values of white Protestant Anglo-Saxon teenagers in the early sixties. Having said that, we immediately realize that they must mean much more than this. Their stability, their staying power, and their ability to attract new fans prove as much." Cultural historian Kevin Starr explains that the group first connected with young Americans specifically for their lyrical interpretation of a mythologized landscape: "Cars and the beach, surfing, the California Girl, all this fused in the alembic of youth: Here was a way of life, an iconography, already half-released into the chords and multiple tracks of a new sound." in Robert Christgau's opinion, "the Beach Boys were a touchstone for real rock and rollers, all of whom understood that the music had its most essential roots in an innocently hedonistic materialism."
The group's "California sound" grew to national prominence through the success of their 1963 album Surfin' U.S.A., which helped turn the surfing subculture into a mainstream youth-targeted advertising image widely exploited by the film, television, and food industry. The group's surf music was not entirely of their own invention, being preceded by artists such as Dick Dale. However, previous surf musicians did not project a world view as the Beach Boys did. The band's earlier surf music helped raise the profile of the state of California, creating its first major regional style with national significance, and establishing a musical identity for Southern California, as opposed to Hollywood. California ultimately supplanted New York as the center of popular music thanks to the success of Brian's productions.
A 1966 article discussing new trends in rock music writes that the Beach Boys popularized a type of drum beat heard in Jan and Dean's "Surf City", which sounds like "a locomotive getting up speed", in addition to the method of "suddenly stopping in between the chorus and verse". Pete Townshend of the Who is credited with coining the term "power pop", which he defined as "what we play—what the Small Faces used to play, and the kind of pop the Beach Boys played in the days of 'Fun, Fun, Fun' which I preferred."
The California sound gradually evolved to reflect a more musically ambitious and mature world view, becoming less to do with surfing and cars and more about social consciousness and political awareness. Between 1964 and 1969, it fueled innovation and transition, inspiring artists to tackle largely unmentioned themes such as sexual freedom, black pride, drugs, oppositional politics, other countercultural motifs, and war. Soft pop (later known as "sunshine pop") derived in part from this movement. Sunshine pop producers widely imitated the orchestral style of Pet Sounds; however, the Beach Boys themselves were rarely representative of the genre, which was rooted in easy-listening and advertising jingles.
By the end of the 1960s, the California sound declined due to a combination of the West Coast's cultural shifts, Wilson's professional and psychological downturn, and the Manson murders, with David Howard calling it the "sunset of the original California Sunshine Sound ... [the] sweetness advocated by the California Myth had led to chilling darkness and unsightly rot". Drawing from the Beach Boys' associations with Manson and former California governor Ronald Reagan, Erik Davis remarked, "The Beach Boys may be the only bridge between those deranged poles. There is a wider range of political and aesthetic sentiments in their records than in any other band in those heady times—like the state [of California], they expand and bloat and contradict themselves."
During the 1970s, advertising jingles and imagery were predominately based on the Beach Boys' early music and image. The group also inspired the development of the West Coast style later dubbed "yacht rock". According to Jacobins Dan O'Sullivan, the band's aesthetic was the first to be "scavenged" by yacht rock acts like Rupert Holmes. O'Sullivan also cites the Beach Boys' recording of "Sloop John B" as the origin of yacht rock's preoccupation with the "sailors and beachgoers" aesthetic that was "lifted by everyone, from Christopher Cross to Eric Carmen, from 'Buffalo Springfield' folksters like Jim Messina to 'Philly Sound' rockers like Hall & Oates."
Innovations
Pet Sounds came to inform the developments of genres such as pop, rock, jazz, electronic, experimental, punk, and hip hop. Similar to subsequent experimental rock LPs by Frank Zappa, the Beatles, and the Who, Pet Sounds featured countertextural aspects that called attention to the very recordedness of the album. Professor of American history John Robert Greene stated that the album broke new ground and took rock music away from its casual lyrics and melodic structures into what was then uncharted territory. He furthermore called it one factor which spawned the majority of trends in post-1965 rock music, the only others being Rubber Soul, the Beatles' Revolver, and the contemporary folk movement. The album was the first piece in popular music to incorporate the Electro-Theremin, an easier-to-play version of the theremin, as well as the first in rock music to feature a theremin-like instrument. With Pet Sounds, they were also the first group to make an entire album that departed from the usual small-ensemble electric rock band format.
According to David Leaf in 1978, Pet Sounds and "Good Vibrations" "established the group as the leaders of a new type of pop music, Art Rock." Academic Bill Martin states that the band opened a path in rock music "that went from Sgt. Pepper's to Close to the Edge and beyond". He argues that the advancing technology of multitrack recording and mixing boards were more influential to experimental rock than electronic instruments such as the synthesizer, allowing the Beatles and the Beach Boys to become the first crop of non-classically trained musicians to create extended and complex compositions. In Strange Sounds: Offbeat Instruments and Sonic Experiments in Pop, Mark Brend writes:
The making of "Good Vibrations", according to Domenic Priore, was "unlike anything previous in the realms of classical, jazz, international, soundtrack, or any other kind of recording", while biographer Peter Ames Carlin wrote that it "sounded like nothing that had ever been played on the radio before." It contained previously untried mixes of instruments, and was the first successful pop song to have cellos in a juddering rhythm. Musicologist Charlie Gillett called it "one of the first records to flaunt studio production as a quality in its own right, rather than as a means of presenting a performance". Again, Brian employed the use of Electro-Theremin for the track. Upon release, the single prompted an unexpected revival in theremins while increasing awareness of analog synthesizers, leading Moog Music to produce their own brand of ribbon-controlled instruments. In a 1968 editorial for Jazz & Pop, Gene Sculatti predicted that the song "may yet prove to be the most significantly revolutionary piece of the current rock renaissance ... In no minor way, 'Good Vibrations' is a primary influential piece for all producing rock artists; everyone has felt its import to some degree".
Discussing Smiley Smile, Daniel Harrison argues that the album could "almost" be considered art music in the Western classical tradition, and that the group's innovations in the musical language of rock can be compared to those that introduced atonal and other nontraditional techniques into that classical tradition. He explains, "The spirit of experimentation is just as palpable ... as it is in, say, Schoenberg's op. 11 piano pieces." However, such notions were not widely acknowledged by rock audiences nor by the classically minded at the time. Harrison concludes: "What influences could these innovations then have? The short answer is, not much. Smiley Smile, Wild Honey, Friends, and 20/20 sound like few other rock albums; they are sui generis. ... It must be remembered that the commercial failure of the Beach Boys' experiments was hardly motivation for imitation." Musicologist David Toop, who included the Smiley Smile track "Fall Breaks and Back to Winter" on a companion CD for his book Ocean of Sound, placed the Beach Boys' effect on sound pioneering in league with Les Baxter, Aphex Twin, Herbie Hancock, King Tubby, and My Bloody Valentine.
Sunflower marked an end to the experimental songwriting and production phase initiated by Smiley Smile. After Surf's Up, Harrison wrote, their albums "contain a mixture of middle-of-the-road music entirely consonant with pop style during the early 1970s with a few oddities that proved that the desire to push beyond conventional boundaries was not dead," until 1974, "the year in which the Beach Boys ceased to be a rock 'n' roll act and became an oldies act."
Punk, alternative, and indie
In the 1970s, the Beach Boys served a "totemic influence" on punk rock that later gave way to indie rock. Brad Shoup of Stereogum surmised that, thanks to the Ramones' praise for the group, many punk, pop punk, or "punk-adjacent" artists showed influence from the Beach Boys, noting cover versions of the band's songs recorded by Slickee Boys, Agent Orange, Bad Religion, Shonen Knife, the Queers, Hi-Standard, the Descendents, the Donnas, M.O.D., and the Vandals. The Beach Boys Love You is sometimes considered the group's "punk album", and Pet Sounds is sometimes advanced as the first emo album.
In the 1990s, the Beach Boys experienced a resurgence of popularity with the alternative rock generation. According to Sean O'Hagan, leader of the High Llamas and former member of Stereolab, a younger generation of record-buyers "stopped listening to indie records" in favor of the Beach Boys. Bands who advocated for the Beach Boys included founding members of the Elephant 6 Collective (Neutral Milk Hotel, the Olivia Tremor Control, the Apples in Stereo, and of Montreal). United by a shared love of the group's music, they named Pet Sounds Studio in honor of the band. Rolling Stone writer Barry Walters wrote in 2000 that albums such as Surf's Up and Love You "are becoming sonic blueprints, akin to what early Velvet Underground LPs meant to the previous indie peer group." The High Llamas, Eric Matthews and Saint Etienne are among the "alt heroes" who contributed cover versions of "unreleased, overlooked or underappreciated Wilson/Beach Boys obscurities" on the tribute album Caroline Now! (2000).
The Beach Boys remained among the most significant influences on indie rock into the late 2000s. Smile became a touchstone for many bands who were labelled "chamber pop", a term used for artists influenced by the lush orchestrations of Brian Wilson, Lee Hazlewood, and Burt Bacharach. Pitchfork writer Mark Richardson cited Smiley Smile as the origin point of "the kind of lo-fi bedroom pop that would later propel Sebadoh, Animal Collective, and other characters." The Sunflower track "All I Wanna Do" is also cited as one of the earliest precursors to chillwave, a microgenre that emerged in 2009.
Landmarks
The Wilsons' California house, where the Wilson brothers grew up and the group began, was demolished in 1986 to make way for Interstate 105, the Century Freeway. A Beach Boys Historic Landmark (California Landmark No. 1041 at 3701 West 119th Street), dedicated on May 20, 2005, marks the location.
On December 30, 1980, the Beach Boys were awarded a star on the Hollywood Walk of Fame, located at 1500 Vine Street.
On September 2, 1977, the group performed before an audience of 40,000 at Narragansett Park in Pawtucket, Rhode Island, which remains the largest concert audience in Rhode Island history. In 2017, the street where the concert stage formerly stood was officially renamed to "Beach Boys Way".
On September 21, 2017, The Beach Boys were honored by Roger Williams University and plaques were unveiled to commemorate the band's concert on September 22, 1971, at the Baypoint Inn & Conference Center in Portsmouth, Rhode Island. The concert was the first-ever appearance of South African Ricky Fataar as an official member of the band and Filipino Billy Hinsche as a touring member, essentially changing the Beach Boys' live and recording act's line-up into a multi-cultural group. Diversity is a credo of Roger Williams University, which is why they chose to celebrate this moment in the band's history.
MembersCurrent membersBrian Wilson – lead, harmony, and backing vocals, keyboards, bass
Mike Love – lead, harmony, and backing vocals, percussion, saxophone, electro-Theremin
Al Jardine – backing, harmony, and lead vocals, guitar, bass
Bruce Johnston – backing, harmony, and lead vocals, keyboards, bass Former membersCarl Wilson – lead, harmony, and backing vocals, guitars, bass, keyboards
Dennis Wilson – backing, harmony, and lead vocals, drums, percussion, keyboards
David Marks – backing, harmony, and occasional lead vocals, guitars
Blondie Chaplin – backing, harmony, and occasional lead vocals, guitars, bass
Ricky Fataar – backing, harmony, and occasional lead vocals, drums, percussion, guitar
Timeline
Notable supporting musicians for both the Beach Boys' live performances and studio recordings included guitarist and session musician Glen Campbell, keyboardists Daryl Dragon and Toni Tennille (Captain & Tennille), drummer John Cowsill, actor, drummer and guitarist John Stamos, and saxophonist Charles Lloyd.
Discography
Studio albums
Surfin' Safari (1962)
Surfin' U.S.A. (1963)
Surfer Girl (1963)
Little Deuce Coupe (1963)
Shut Down Volume 2 (1964)
All Summer Long (1964)
The Beach Boys' Christmas Album (1964)
The Beach Boys Today! (1965)
Summer Days (And Summer Nights!!) (1965)
Beach Boys' Party! (1965)
Pet Sounds (1966)
Smiley Smile (1967)
Wild Honey (1967)
Friends (1968)
20/20 (1969)
Sunflower (1970)
Surf's Up (1971)
Carl and the Passions – "So Tough" (1972)
Holland (1973)
15 Big Ones (1976)
The Beach Boys Love You (1977)
M.I.U. Album (1978)
L.A. (Light Album) (1979)
Keepin' the Summer Alive (1980)
The Beach Boys (1985)
Still Cruisin' (1989)
Summer in Paradise (1992)
Stars and Stripes Vol. 1 (1996)
That's Why God Made the Radio (2012)
Selected archival releases
The Pet Sounds Sessions (1997)
Endless Harmony Soundtrack (1998)
Ultimate Christmas (1998)
Hawthorne, CA (2001)
The Smile Sessions (2011)
The Big Beat 1963 (2013)
Keep an Eye on Summer 1964 (2014)
Becoming the Beach Boys: The Complete Hite & Dorinda Morgan Sessions (2015)
Beach Boys' Party! Uncovered and Unplugged (2015)
1967 – Sunshine Tomorrow (2017)
Wake the World: The Friends Sessions (2018)
I Can Hear Music: The 20/20 Sessions (2018)
Feel Flows: The Sunflower & Surf's Up Sessions 1969–1971 (2021)
Sail On Sailor – 1972 (2022)
Selected filmography
1965: The Girls on the Beach
1965: The Monkey's Uncle
1976: The Beach Boys: Good Vibrations Tour
1985: The Beach Boys: An American Band
1996: The Beach Boys: Nashville Sounds
1998: Endless Harmony: The Beach Boys Story
2002: Good Timin': Live at Knebworth England 1980
2003: The Beach Boys: The Lost Concert 1964
2006: The Beach Boys: In London 1966
2012: The Beach Boys: Chronicles
2012: The 50th Reunion Tour
Notes
References
Bibliography
Further readingArticles
Books'''
Berry, Torrence (2013). Beach Boys Archives, Volume 2. White Lightning Publishing. .
Berry, Torrence (2014). Beach Boys Archives, Volume 5. White Lightning Publishing. .
Berry, Torrence (2015). Beach Boys Archives, Volume 7. White Lightning Publishing. .
Berry, Torrence and Zenker, Gary (2013). Beach Boys Archives, Volume 1. White Lightning Publishing. .
Berry, Torrence and Zenker, Gary (2014). Beach Boys Archives, Volume 3. White Lightning Publishing. .
Berry, Torrence and Zenker, Gary (2014). Beach Boys Archives, Volume 4. White Lightning Publishing. .
Cox, Perry D. (2017). Price and Reference Guide for the Beach Boys American Records (By Perry Cox, Frank Daniels & Mark Galloway. Foreword by Jeffrey Foskett). Perry Cox Ent. .
External links
1961 establishments in California
American musical quintets
American pop music groups
American surf rock music groups
Rock music groups from California
Brian Wilson
California Sound
Capitol Records artists
Carl Wilson
Dennis Wilson
Family musical groups
Grammy Lifetime Achievement Award winners
Musical groups established in 1961
Musicians from Hawthorne, California
Proto-prog groups
Psychedelic musical groups
Reprise Records artists
Sibling musical groups
Warner Records artists | 10 |
The Liberal Party was one of the two major political parties in the United Kingdom, along with the Conservative Party, in the 19th and early 20th centuries. Beginning as an alliance of Whigs, free trade–supporting Peelites, and reformist Radicals in the 1850s, by the end of the 19th century, it had formed four governments under William Gladstone. Despite being divided over the issue of Irish Home Rule, the party returned to government in 1905 and won a landslide victory in the 1906 general election.
Under prime ministers Henry Campbell-Bannerman (1905–1908) and H. H. Asquith (1908–1916), the Liberal Party passed reforms that created a basic welfare state. Although Asquith was the party leader, its dominant figure was David Lloyd George. Asquith was overwhelmed by the wartime role of coalition prime minister and Lloyd George replaced him in late 1916, but Asquith remained as Liberal Party leader. The split between Lloyd George's breakaway faction and Asquith's official Liberal Party badly weakened the party.
The coalition government of Lloyd George was increasingly dominated by the Conservative Party, which finally deposed him in 1922. By the end of the 1920s, the Labour Party had replaced the Liberals as the Conservatives' main rival. The Liberal Party went into decline after 1918, and, by the 1950s, the party had won as few as six seats at general elections. Apart from notable by-election victories, its fortunes did not improve significantly until it formed the SDP–Liberal Alliance with the newly formed Social Democratic Party (SDP) in 1981. At the 1983 general election, the Alliance won over a quarter of the vote, but only 23 of the 650 seats it contested. At the 1987 general election, its share of the vote fell below 23% and the Liberals and the SDP merged in 1988 to form the Social and Liberal Democrats (SLD), who the following year were renamed the Liberal Democrats. A splinter group reconstituted the Liberal Party in 1989.
Prominent intellectuals associated with the Liberal Party include the philosopher John Stuart Mill, the economist John Maynard Keynes, and social planner William Beveridge. Winston Churchill authored Liberalism and the Social Problem (1909), which was praised by Henry William Massingham as "an impressive and convincing argument" and is widely considered the movement's bible.
History
Origins
The Liberal Party grew out of the Whigs, who had their origins in an aristocratic faction in the reign of Charles II and the early 19th century Radicals. The Whigs were in favour of reducing the power of the Crown and increasing the power of Parliament. Although their motives in this were originally to gain more power for themselves, the more idealistic Whigs gradually came to support an expansion of democracy for its own sake. The great figures of reformist Whiggery were Charles James Fox (died 1806) and his disciple and successor Earl Grey. After decades in opposition, the Whigs returned to power under Grey in 1830 and carried the First Reform Act in 1832.
The Reform Act was the climax of Whiggism, but it also brought about the Whigs' demise. The admission of the middle classes to the franchise and to the House of Commons led eventually to the development of a systematic middle-class liberalism and the end of Whiggery, although for many years reforming aristocrats held senior positions in the party. In the years after Grey's retirement, the party was led first by Lord Melbourne, a fairly traditional Whig, and then by Lord John Russell, the son of a Duke but a crusading radical, and by Lord Palmerston, a renegade Irish Tory and essentially a conservative, although capable of radical gestures.
As early as 1839, Russell had adopted the name of "Liberals", but in reality, his party was a loose coalition of Whigs in the House of Lords and Radicals in the Commons. The leading Radicals were John Bright and Richard Cobden, who represented the manufacturing towns which had gained representation under the Reform Act. They favoured social reform, personal liberty, reducing the powers of the Crown and the Church of England (many Liberals were Nonconformists), avoidance of war and foreign alliances (which were bad for business) and above all free trade. For a century, free trade remained the one cause which could unite all Liberals.
In 1841, the Liberals lost office to the Conservatives under Sir Robert Peel, but their period in opposition was short because the Conservatives split over the repeal of the Corn Laws, a free trade issue; and a faction known as the Peelites (but not Peel himself, who died soon after) aligned to the Liberal side on the issue of free trade. This allowed ministries led by Russell, Palmerston and the Peelite Lord Aberdeen to hold office for most of the 1850s and 1860s. A leading Peelite was William Gladstone, who was a reforming Chancellor of the Exchequer in most of these governments. The formal foundation of the Liberal Party is traditionally traced to 1859 when the remaining Peelites, Radicals and Whigs agreed to vote down the encumbant Conservative government. This meeting was held at the Willis' rooms in London on 6 June 1859. This led to Palmerston's second government.
However, the Whig-Radical amalgam could not become a true modern political party while it was dominated by aristocrats and it was not until the departure of the "Two Terrible Old Men", Russell and Palmerston, that Gladstone could become the first leader of the modern Liberal Party. This was brought about by Palmerston's death in 1865 and Russell's retirement in 1868. After a brief Conservative government (during which the Second Reform Act was passed by agreement between the parties), Gladstone won a huge victory at the 1868 election and formed the first Liberal government. The establishment of the party as a national membership organisation came with the foundation of the National Liberal Federation in 1877. The philosopher John Stuart Mill was also a Liberal MP from 1865 to 1868.
Gladstone era
For the next thirty years Gladstone and Liberalism were synonymous. William Gladstone served as prime minister four times (1868–74, 1880–85, 1886, and 1892–94). His financial policies, based on the notion of balanced budgets, low taxes and laissez-faire, were suited to a developing capitalist society, but they could not respond effectively as economic and social conditions changed. Called the "Grand Old Man" later in life, Gladstone was always a dynamic popular orator who appealed strongly to the working class and to the lower middle class. Deeply religious, Gladstone brought a new moral tone to politics, with his evangelical sensibility and his opposition to aristocracy. His moralism often angered his upper-class opponents (including Queen Victoria), and his heavy-handed control split the Liberal Party.
In foreign policy, Gladstone was in general against foreign entanglements, but he did not resist the realities of imperialism. For example, he ordered the occupation of Egypt by British forces in the 1882 Anglo-Egyptian War. His goal was to create a European order based on co-operation rather than conflict and on mutual trust instead of rivalry and suspicion; the rule of law was to supplant the reign of force and self-interest. This Gladstonian concept of a harmonious Concert of Europe was opposed to and ultimately defeated by a Bismarckian system of manipulated alliances and antagonisms.
As prime minister from 1868 to 1874, Gladstone headed a Liberal Party which was a coalition of Peelites like himself, Whigs and Radicals. He was now a spokesman for "peace, economy and reform". One major achievement was the Elementary Education Act of 1870, which provided England with an adequate system of elementary schools for the first time. He also secured the abolition of the purchase of commissions in the British Army and of religious tests for admission to Oxford and Cambridge; the introduction of the secret ballot in elections; the legalization of trade unions; and the reorganization of the judiciary in the Judicature Act.
Regarding Ireland, the major Liberal achievements were land reform, where he ended centuries of landlord oppression, and the disestablishment of the (Anglican) Church of Ireland through the Irish Church Act 1869.
In the 1874 general election Gladstone was defeated by the Conservatives under Benjamin Disraeli during a sharp economic recession. He formally resigned as Liberal leader and was succeeded by the Marquess of Hartington, but he soon changed his mind and returned to active politics. He strongly disagreed with Disraeli's pro-Ottoman foreign policy and in 1880 he conducted the first outdoor mass-election campaign in Britain, known as the Midlothian campaign. The Liberals won a large majority in the 1880 election. Hartington ceded his place and Gladstone resumed office.
Ireland and Home Rule
Among the consequences of the Third Reform Act (1884) was the giving of the vote to many Irish Catholics. In the 1885 general election the Irish Parliamentary Party held the balance of power in the House of Commons and demanded Irish Home Rule as the price of support for a continued Gladstone ministry. Gladstone personally supported Home Rule, but a strong Liberal Unionist faction led by Joseph Chamberlain, along with the last of the Whigs, Hartington, opposed it. The Irish Home Rule bill proposed to offer all owners of Irish land a chance to sell to the state at a price equal to 20 years' purchase of the rents and allowing tenants to purchase the land. Irish nationalist reaction was mixed, Unionist opinion was hostile, and the election addresses during the 1886 election revealed English radicals to be against the bill also. Among the Liberal rank and file, several Gladstonian candidates disowned the bill, reflecting fears at the constituency level that the interests of the working people were being sacrificed to finance a costly rescue operation for the landed élite. Further, Home Rule had not been promised in the Liberals' election manifesto, and so the impression was given that Gladstone was buying Irish support in a rather desperate manner to hold on to power.
The result was a catastrophic split in the Liberal Party, and heavy defeat in the 1886 election at the hands of Lord Salisbury, who was supported by the breakaway Liberal Unionist Party. There was a final weak Gladstone ministry in 1892, but it also was dependent on Irish support and failed to get Irish Home Rule through the House of Lords.
Newcastle Programme
Historically, the aristocracy was divided between Conservatives and Liberals. However, when Gladstone committed to home rule for Ireland, Britain's upper classes largely abandoned the Liberal party, giving the Conservatives a large permanent majority in the House of Lords. Following the Queen, High Society in London largely ostracized home rulers and Liberal clubs were badly split. Joseph Chamberlain took a major element of upper-class supporters out of the Party and into a third party called Liberal Unionism on the Irish issue. It collaborated with and eventually merged into the Conservative party. The Gladstonian liberals in 1891 adopted The Newcastle Programme that included home rule for Ireland, disestablishment of the Church of England in Wales, tighter controls on the sale of liquor, major extension of factory regulation and various democratic political reforms. The Programme had a strong appeal to the nonconformist middle-class Liberal element, which felt liberated by the departure of the aristocracy.
Relations with trade unions
A major long-term consequence of the Third Reform Act was the rise of Lib-Lab candidates. The Act split all county constituencies (which were represented by multiple MPs) into single-member constituencies, roughly corresponding to population patterns. With the foundation of the Labour Party not to come till 1906, many trade unions allied themselves with the Liberals. In areas with working class majorities, in particular coal-mining areas, Lib-Lab candidates were popular, and they received sponsorship and endorsement from trade unions. In the first election after the Act was passed (1885), thirteen were elected, up from two in 1874. The Third Reform Act also facilitated the demise of the Whig old guard; in two-member constituencies, it was common to pair a Whig and a radical under the Liberal banner. After the Third Reform Act, fewer former Whigs were selected as candidates.
Reform policies
A broad range of interventionist reforms were introduced by the 1892–1895 Liberal government. Amongst other measures, standards of accommodation and of teaching in schools were improved, factory inspection was made more stringent, and ministers used their powers to increase the wages and reduce the working hours of large numbers of male workers employed by the state.
Historian Walter L. Arnstein concludes:
Notable as the Gladstonian reforms had been, they had almost all remained within the nineteenth-century Liberal tradition of gradually removing the religious, economic, and political barriers that prevented men of varied creeds and classes from exercising their individual talents in order to improve themselves and their society. As the third quarter of the century drew to a close, the essential bastions of Victorianism still held firm: respectability; a government of aristocrats and gentlemen now influenced not only by middle-class merchants and manufacturers but also by industrious working people; a prosperity that seemed to rest largely on the tenets of laissez-faire economics; and a Britannia that ruled the waves and many a dominion beyond.
After Gladstone
Gladstone finally retired in 1894. Gladstone's support for Home Rule deeply divided the party, and it lost its upper and upper-middle-class base, while keeping support among Protestant nonconformists and the Celtic fringe. Historian R. C. K. Ensor reports that after 1886, the main Liberal Party was deserted by practically the entire whig peerage and the great majority of the upper-class and upper-middle-class members. High prestige London clubs that had a Liberal base were deeply split. Ensor notes that, "London society, following the known views of the Queen, practically ostracized home rulers."
The new Liberal leader was the ineffectual Lord Rosebery. He led the party to a heavy defeat in the 1895 general election.
Liberal factions
The Liberal Party lacked a unified ideological base in 1906. It contained numerous contradictory and hostile factions, such as imperialists and supporters of the Boers; near-socialists and laissez-faire classical liberals; suffragettes and opponents of women's suffrage; antiwar elements and supporters of the military alliance with France. Nonconformists – Protestants outside the Anglican fold – were a powerful element, dedicated to opposing the established church in terms of education and taxation. However, the non-conformists were losing support amid society at large and played a lesser role in party affairs after 1900. The party, furthermore, also included Irish Catholics, and secularists from the labour movement. Many Conservatives (including Winston Churchill) had recently protested against high tariff moves by the Conservatives by switching to the anti-tariff Liberal camp, but it was unclear how many old Conservative traits they brought along, especially on military and naval issues.
The middle-class business, professional and intellectual communities were generally strongholds, although some old aristocratic families played important roles as well. The working-class element was moving rapidly toward the newly emerging Labour Party. One uniting element was widespread agreement on the use of politics and Parliament as a device to upgrade and improve society and to reform politics. All Liberals were outraged when Conservatives used their majority in the House of Lords to block reform legislation. In the House of Lords, the Liberals had lost most of their members, who in the 1890s "became Conservative in all but name." The government could force the unwilling king to create new Liberal peers, and that threat did prove decisive in the battle for dominance of Commons over Lords in 1911.
Rise of New Liberalism
The late nineteenth century saw the emergence of New Liberalism within the Liberal Party, which advocated state intervention as a means of guaranteeing freedom and removing obstacles to it such as poverty and unemployment. The policies of the New Liberalism are now known as social liberalism.
The New Liberals included intellectuals like L. T. Hobhouse, and John A. Hobson. They saw individual liberty as something achievable only under favourable social and economic circumstances. In their view, the poverty, squalor, and ignorance in which many people lived made it impossible for freedom and individuality to flourish. New Liberals believed that these conditions could be ameliorated only through collective action coordinated by a strong, welfare-oriented, and interventionist state.
After the historic 1906 victory, the Liberal Party introduced multiple reforms on range of issues, including health insurance, unemployment insurance, and pensions for elderly workers, thereby laying the groundwork for the future British welfare state. Some proposals failed, such as licensing fewer pubs, or rolling back Conservative educational policies. The People's Budget of 1909, championed by David Lloyd George and fellow Liberal Winston Churchill, introduced unprecedented taxes on the wealthy in Britain and radical social welfare programmes to the country's policies. In the Liberal camp, as noted by one study, "the Budget was on the whole enthusiastically received." It was the first budget with the expressed intent of redistributing wealth among the public. It imposed increased taxes on luxuries, liquor, tobacco, high incomes, and land – taxation that fell heavily on the rich. The new money was to be made available for new welfare programmes as well as new battleships. In 1911 Lloyd George succeeded in putting through Parliament his National Insurance Act, making provision for sickness and invalidism, and this was followed by his Unemployment Insurance Act.
Historian Peter Weiler argues:
Contrasting Old Liberalism with New Liberalism, David Lloyd George noted in a 1908 speech the following:
Liberal zenith
The Liberals languished in opposition for a decade while the coalition of Salisbury and Chamberlain held power. The 1890s were marred by infighting between the three principal successors to Gladstone, party leader William Harcourt, former prime minister Lord Rosebery, and Gladstone's personal secretary, John Morley. This intrigue finally led Harcourt and Morley to resign their positions in 1898 as they continued to be at loggerheads with Rosebery over Irish home rule and issues relating to imperialism. Replacing Harcourt as party leader was Sir Henry Campbell-Bannerman. Harcourt's resignation briefly muted the turmoil in the party, but the beginning of the Second Boer War soon nearly broke the party apart, with Rosebery and a circle of supporters including important future Liberal figures H. H. Asquith, Edward Grey and Richard Burdon Haldane forming a clique dubbed the Liberal Imperialists that supported the government in the prosecution of the war. On the other side, more radical members of the party formed a Pro-Boer faction that denounced the conflict and called for an immediate end to hostilities. Quickly rising to prominence among the Pro-Boers was David Lloyd George, a relatively new MP and a master of rhetoric, who took advantage of having a national stage to speak out on a controversial issue to make his name in the party. Harcourt and Morley also sided with this group, though with slightly different aims. Campbell-Bannerman tried to keep these forces together at the head of a moderate Liberal rump, but in 1901 he delivered a speech on the government's "methods of barbarism" in South Africa that pulled him further to the left and nearly tore the party in two. The party was saved after Salisbury's retirement in 1902 when his successor, Arthur Balfour, pushed a series of unpopular initiatives such as the Education Act 1902 and Joseph Chamberlain called for a new system of protectionist tariffs.
Campbell-Bannerman was able to rally the party around the traditional liberal platform of free trade and land reform and led them to the greatest election victory in their history. This would prove the last time the Liberals won a majority in their own right. Although he presided over a large majority, Sir Henry Campbell-Bannerman was overshadowed by his ministers, most notably H. H. Asquith at the Exchequer, Edward Grey at the Foreign Office, Richard Burdon Haldane at the War Office and David Lloyd George at the Board of Trade. Campbell-Bannerman retired in 1908 and died soon after. He was succeeded by Asquith, who stepped up the government's radicalism. Lloyd George succeeded Asquith at the Exchequer and was in turn succeeded at the Board of Trade by Winston Churchill, a recent defector from the Conservatives.
One observer, the leading American liberal politician William Jennings Bryan, was enthusiastic about the new Liberal administration, writing that: Great Britain has recently experienced one of the greatest political revolutions she has ever known. The conservative party, with Mr. Balfour, one of the ablest of modern scholars, at its head, and with Mr. Joseph Chamberlain, a powerful orator and a forceful political leader, as its most conspicuous champion, had won a sweeping victory after the Boer war, and this victory, following a long lease of power, led the Conservatives to believe themselves invincible. They assumed, as parties made confident by success often do, that they are indispensable to the nation and paid but little attention to the warnings and threats of the Liberals. One mistake after another, however, alienated the voters and the special elections two years ago began to show a falling off in the Conservative strength, and when the general election was held last fall the Liberals rolled up a majority of something like two hundred in the House of Commons. A new ministry was formed from among the ablest men of the party — a ministry of radical and progressive men seldom equaled in moral purpose and intellectual strength.
The 1906 general election also represented a shift to the left by the Liberal Party. According to Rosemary Rees, almost half of the Liberal MPs elected in 1906 were supportive of the 'New Liberalism' (which advocated government action to improve people's lives),) while claims were made that "five-sixths of the Liberal party are left wing." Other historians, however, have questioned the extent to which the Liberal Party experienced a leftward shift; according to Robert C. Self however, only between 50 and 60 Liberal MPs out of the 400 in the parliamentary party after 1906 were Social Radicals, with a core of 20 to 30. Nevertheless, important junior offices were held in the cabinet by what Duncan Tanner has termed "genuine New Liberals, Centrist reformers, and Fabian collectivists," and much legislation was pushed through by the Liberals in government. This included the regulation of working hours, National Insurance and welfare.
A political battle erupted over the People's Budget, which was rejected by the House of Lords and for which the government obtained an electoral mandate at the January 1910 election. The election resulted in a hung parliament, with the government left dependent on the Irish Nationalists. Although the Lords now passed the budget, the government wished to curtail their power to block legislation. Asquith was required by King George V to fight a second general election in December 1910 (whose result was little changed from that in January) before he agreed, if necessary, to create hundreds of Liberals peers. Faced with that threat, the Lords voted to give up their veto power and allowed the passage of the Parliament Act 1911.
As the price of Irish support, Asquith was now forced to introduce a third Home Rule bill in 1912. Since the House of Lords no longer had the power to block the bill, but only to delay it for two years, it was due to become law in 1914. The Unionist Ulster Volunteers, led by Sir Edward Carson, launched a campaign of opposition that included the threat of a provisional government and armed resistance in Ulster. The Ulster Protestants had the full support of the Conservatives, whose leader, Bonar Law, was of Ulster-Scots descent. Government plans to deploy troops into Ulster had to be cancelled after the threat of mass resignation of their commissions by army officers in March 1914 (see Curragh Incident). Ireland seemed to be on the brink of civil war when the First World War broke out in August 1914. Asquith had offered the Six Counties (later to become Northern Ireland) an opt out from Home Rule for six years (i.e., until after two more general elections were likely to have taken place) but the Nationalists refused to agree to permanent Partition of Ireland. Historian George Dangerfield has argued that the multiplicity of crises in 1910 to 1914, political and industrial, so weakened the Liberal coalition before the war broke out that it marked the Strange Death of Liberal England. However, most historians date the collapse to the crisis of the First World War.
Decline
The Liberal Party might have survived a short war, but the totality of the Great War called for measures that the Party had long rejected. The result was the permanent destruction of the ability of the Liberal Party to lead a government. Historian Robert Blake explains the dilemma:
Blake further notes that it was the Liberals, not the Conservatives who needed the moral outrage of Belgium to justify going to war, while the Conservatives called for intervention from the start of the crisis on the grounds of realpolitik and the balance of power. However, Lloyd George and Churchill were zealous supporters of the war, and gradually forced the old peace-orientated Liberals out.
Asquith was blamed for the poor British performance in the first year. Since the Liberals ran the war without consulting the Conservatives, there were heavy partisan attacks. However, even Liberal commentators were dismayed by the lack of energy at the top. At the time, public opinion was intensely hostile, both in the media and in the street, against any young man in civilian garb and labeled as a slacker. The leading Liberal newspaper, the Manchester Guardian complained:
Asquith's Liberal government was brought down in , due in particular to a crisis in inadequate artillery shell production and the protest resignation of Admiral Fisher over the disastrous Gallipoli Campaign against Turkey. Reluctant to face doom in an election, Asquith formed a new coalition government on 25 May, with the majority of the new cabinet coming from his own Liberal party and the Unionist (Conservative) party, along with a token Labour representation. The new government lasted a year and a half and was the last time Liberals controlled the government. The analysis of historian A. J. P. Taylor is that the British people were so deeply divided over numerous issues, but on all sides, there was growing distrust of the Asquith government. There was no agreement whatsoever on wartime issues. The leaders of the two parties realized that embittered debates in Parliament would further undermine popular morale and so the House of Commons did not once discuss the war before May 1915. Taylor argues:
The 1915 coalition fell apart at the end of 1916, when the Conservatives withdrew their support from Asquith and gave it instead to Lloyd George, who became prime minister at the head of a new coalition largely made up of Conservatives. Asquith and his followers moved to the opposition benches in Parliament and the Liberal Party was deeply split once again.
Lloyd George as a Liberal heading a Conservative coalition
Lloyd George remained a Liberal all his life, but he abandoned many standard Liberal principles in his crusade to win the war at all costs. He insisted on strong government controls over business as opposed to the laissez-faire attitudes of traditional Liberals. in 1915–16 he had insisted on conscription of young men into the Army, a position that deeply troubled his old colleagues. That brought him and a few like-minded Liberals into the new coalition on the ground long occupied by Conservatives. There was no more planning for world peace or liberal treatment of Germany, nor discomfit with aggressive and authoritarian measures of state power. More deadly to the future of the party, says historian Trevor Wilson, was its repudiation by ideological Liberals, who decided sadly that it no longer represented their principles. Finally, the presence of the vigorous new Labour Party on the left gave a new home to voters disenchanted with the Liberal performance.
The last majority Liberal Government in Britain was elected in 1906. The years preceding the First World War were marked by worker strikes and civil unrest and saw many violent confrontations between civilians and the police and armed forces. Other issues of the period included women's suffrage and the Irish Home Rule movement. After the carnage of 1914–1918, the democratic reforms of the Representation of the People Act 1918 instantly tripled the number of people entitled to vote in Britain from seven to twenty-one million. The Labour Party benefited most from this huge change in the electorate, forming its first minority government in 1924.
In the 1918 general election, Lloyd George, hailed as "the Man Who Won the War", led his coalition into a khaki election. Lloyd George and the Conservative leader Bonar Law wrote a joint letter of support to candidates to indicate they were considered the official Coalition candidates—this "coupon", as it became known, was issued against many sitting Liberal MPs, often to devastating effect, though not against Asquith himself. The coalition won a massive victory: Labour increased their position slightly, but the Asquithian Liberals were decimated. Those remaining Liberal MPs who were opposed to the Coalition Government went into opposition under the parliamentary leadership of Sir Donald MacLean who also became Leader of the Opposition. Asquith, who had appointed MacLean, remained as overall Leader of the Liberal Party even though he lost his seat in 1918. Asquith returned to Parliament in 1920 and resumed leadership. Between 1919 and 1923, the anti-Lloyd George Liberals were called Asquithian Liberals, Wee Free Liberals or Independent Liberals.
Lloyd George was increasingly under the influence of the rejuvenated Conservative party who numerically dominated the coalition. In 1922, the Conservative backbenchers rebelled against the continuation of the coalition, citing, in particular, Lloyd George's plan for war with Turkey in the Chanak Crisis, and his corrupt sale of honours. He resigned as prime minister and was succeeded by Bonar Law.
At the 1922 and 1923 elections the Liberals won barely a third of the vote and only a quarter of the seats in the House of Commons as many radical voters abandoned the divided Liberals and went over to Labour. In 1922, Labour became the official opposition. A reunion of the two warring factions took place in 1923 when the new Conservative prime minister Stanley Baldwin committed his party to protective tariffs, causing the Liberals to reunite in support of free trade. The party gained ground in the 1923 general election but made most of its gains from Conservatives whilst losing ground to Labour—a sign of the party's direction for many years to come. The party remained the third largest in the House of Commons, but the Conservatives had lost their majority. There was much speculation and fear about the prospect of a Labour government and comparatively little about a Liberal government, even though it could have plausibly presented an experienced team of ministers compared to Labour's almost complete lack of experience as well as offering a middle ground that could obtain support from both Conservatives and Labour in crucial Commons divisions. However, instead of trying to force the opportunity to form a Liberal government, Asquith decided instead to allow Labour the chance of office in the belief that they would prove incompetent, and this would set the stage for a revival of Liberal fortunes at Labour's expense, but it was a fatal error.
Labour was determined to destroy the Liberals and become the sole party of the left. Ramsay MacDonald was forced into a snap election in 1924 and although his government was defeated, he achieved his objective of virtually wiping the Liberals out as many more radical voters now moved to Labour whilst moderate middle-class Liberal voters concerned about socialism moved to the Conservatives. The Liberals were reduced to a mere forty seats in Parliament, only seven of which had been won against candidates from both parties and none of these formed a coherent area of Liberal survival. The party seemed finished, and during this period some Liberals, such as Churchill, went over to the Conservatives while others went over to Labour. Several Labour ministers of later generations, such as Michael Foot and Tony Benn, were the sons of Liberal MPs.
Asquith finally resigned as Liberal leader in 1926 (he died in 1928). Lloyd George, now party leader, began a drive to produce coherent policies on many key issues of the day. In the 1929 general election, he made a final bid to return the Liberals to the political mainstream, with an ambitious programme of state stimulation of the economy called We Can Conquer Unemployment!, largely written for him by the Liberal economist John Maynard Keynes. The Liberal Party stood in Northern Ireland for the first and only time in the 1929 general election, gaining 17% of the vote, but won no seats. Nationally the Liberals gained ground, but once again it was at the Conservatives' expense whilst also losing seats to Labour. Indeed, the urban areas of the country suffering heavily from unemployment, which might have been expected to respond the most to the radical economic policies of the Liberals, instead gave the party its worst results. By contrast, most of the party's seats were won either due to the absence of a candidate from one of the other parties or in rural areas on the Celtic fringe, where local evidence suggests that economic ideas were at best peripheral to the electorate's concerns. The Liberals now found themselves with 59 members, holding the balance of power in a Parliament where Labour was the largest party but lacked an overall majority. Lloyd George offered a degree of support to the Labour government in the hope of winning concessions, including a degree of electoral reform to introduce the alternative vote, but this support was to prove bitterly divisive as the Liberals increasingly divided between those seeking to gain what Liberal goals they could achieve, those who preferred a Conservative government to a Labour one and vice versa.
Splits over the National Government
A group of Liberal MPs led by Sir John Simon opposed the Liberal Party's support for the minority Labour government. They preferred to reach an accommodation with the Conservatives. In 1931 MacDonald's Labour government fell apart in response to the Great Depression. Macdonald agreed to lead a National Government of all parties, which passed a budget to deal with the financial crisis. When few Labour MPs backed the National government, it became clear that the Conservatives had the clear majority of government supporters. They then forced MacDonald to call a general election. Lloyd George called for the party to leave the National Government but only a few MPs and candidates followed. The majority, led by Sir Herbert Samuel, decided to contest the elections as part of the government. The bulk of Liberal MPs supported the government, – the Liberal Nationals (officially the "National Liberals" after 1947) led by Simon, also known as "Simonites", and the "Samuelites" or "official Liberals", led by Samuel who remained as the official party. Both groups secured about 34 MPs but proceeded to diverge even further after the election, with the Liberal Nationals remaining supporters of the government throughout its life. There were to be a succession of discussions about them rejoining the Liberals, but these usually foundered on the issues of free trade and continued support for the National Government. The one significant reunification came in 1946 when the Liberal and Liberal National party organisations in London merged. The National Liberals, as they were called by then, were gradually absorbed into the Conservative Party, finally merging in 1968.
The official Liberals found themselves a tiny minority within a government committed to protectionism. Slowly they found this issue to be one they could not support. In early 1932 it was agreed to suspend the principle of collective responsibility to allow the Liberals to oppose the introduction of tariffs. Later in 1932 the Liberals resigned their ministerial posts over the introduction of the Ottawa Agreement on Imperial Preference. However, they remained sitting on the government benches supporting it in Parliament, though in the country local Liberal activists bitterly opposed the government. Finally in late 1933 the Liberals crossed the floor of the House of Commons and went into complete opposition. By this point their number of MPs was severely depleted. In the 1935 general election, just 17 Liberal MPs were elected, along with Lloyd George and three followers as independent Liberals. Immediately after the election the two groups reunited, though Lloyd George declined to play much of a formal role in his old party. Over the next ten years there would be further defections as MPs deserted to either the Liberal Nationals or Labour. Yet there were a few recruits, such as Clement Davies, who had deserted to the National Liberals in 1931 but now returned to the party during World War II and who would lead it after the war.
Near extinction
Samuel had lost his seat in the 1935 election and the leadership of the party fell to Sir Archibald Sinclair. With many traditional domestic Liberal policies now regarded as irrelevant, he focused the party on opposition to both the rise of Fascism in Europe and the appeasement foreign policy of the National Government, arguing that intervention was needed, in contrast to the Labour calls for pacifism. Despite the party's weaknesses, Sinclair gained a high profile as he sought to recall the Midlothian Campaign and once more revitalise the Liberals as the party of a strong foreign policy.
In 1940, they joined Churchill's wartime coalition government, with Sinclair serving as Secretary of State for Air, the last British Liberal to hold Cabinet rank office for seventy years. However, it was a sign of the party's lack of importance that they were not included in the War Cabinet; some leading party members founded Radical Action, a group which called for liberal candidates to break the war-time electoral pact. At the 1945 general election, Sinclair and many of his colleagues lost their seats to both Conservatives and Labour and the party returned just 12 MPs to Westminster, but this was just the beginning of the decline. In 1950, the general election saw the Liberals return just nine MPs. Another general election was called in 1951 and the Liberals were left with just six MPs and all but one of them were aided by the fact that the Conservatives refrained from fielding candidates in those constituencies.
In 1957, this total fell to five when one of the Liberal MPs died and the subsequent by-election was lost to the Labour Party, which selected the former Liberal Deputy Leader Megan Lloyd George as its own candidate. The Liberal Party seemed close to extinction. During this low period, it was often joked that Liberal MPs could hold meetings in the back of one taxi.
Liberal revival
Through the 1950s and into the 1960s the Liberals survived only because a handful of constituencies in rural Scotland and Wales clung to their Liberal traditions, whilst in two English towns, Bolton and Huddersfield, local Liberals and Conservatives agreed to each contest only one of the town's two seats. Jo Grimond, for example, who became Leader of the Liberal Party in 1956, was MP for the remote Orkney and Shetland islands. Under his leadership a Liberal revival began, marked by the Orpington by-election of March 1962 which was won by Eric Lubbock. There, the Liberals won a seat in the London suburbs for the first time since 1935.
The Liberals became the first of the major British political parties to advocate British membership of the European Economic Community. Grimond also sought an intellectual revival of the party, seeking to position it as a non-socialist radical alternative to the Conservative government of the day. In particular he canvassed the support of the young post-war university students and recent graduates, appealing to younger voters in a way that many of his recent predecessors had not, and asserting a new strand of Liberalism for the post-war world.
The new middle-class suburban generation began to find the Liberals' policies attractive again. Under Grimond (who retired in 1967) and his successor, Jeremy Thorpe, the Liberals regained the status of a serious third force in British politics, polling up to 20% of the vote, but unable to break the duopoly of Labour and Conservative and win more than fourteen seats in the Commons. An additional problem was competition in the Liberal heartlands in Scotland and Wales from the Scottish National Party and Plaid Cymru who both grew as electoral forces from the 1960s onwards. Although Emlyn Hooson held on to the seat of Montgomeryshire, upon Clement Davies death in 1962, the party lost five Welsh seats between 1950 and 1966. In September 1966, the Welsh Liberal Party formed their own state party, moving the Liberal Party into a fully federal structure.
In local elections, Liverpool remained a Liberal stronghold, with the party taking the plurality of seats on the elections to the new Liverpool Metropolitan Borough Council in 1973. On 26 July 1973, the party won two by-elections on the same day, in the Isle of Ely (with Clement Freud), and Ripon (with David Austick). In the February 1974 general election, the Conservative government of Edward Heath won a plurality of votes cast, but the Labour Party gained a plurality of seats. The Conservatives were unable to form a government due to the Ulster Unionist MPs refusing to support the Conservatives after the Northern Ireland Sunningdale Agreement. The Liberals obtained 6.1 million votes, the most it would ever achieve, and now held the balance of power in the Commons. Conservatives offered Thorpe the Home Office if he would join a coalition government with Heath. Thorpe was personally in favour of it, but the party insisted it would only agree pending a clear government commitment to introducing proportional representation (PR) and a change of prime minister. The former was unacceptable to Heath's cabinet and the latter to Heath personally, so the talks collapsed. Instead, a minority Labour government was formed under Harold Wilson but with no formal support from Thorpe. In the October 1974 general election, the Liberals total vote slipped back slightly (and declined in each of the next three) and the Labour government won a wafer-thin majority.
Thorpe was subsequently forced to resign after allegations that he attempted to have his homosexual lover murdered by a hitman. The party's new leader, David Steel, negotiated the Lib-Lab pact with Wilson's successor as prime minister, James Callaghan. According to this pact, the Liberals would support the government in crucial votes in exchange for some influence over policy. The agreement lasted from 1977 to 1978, but proved mostly fruitless, for two reasons: the Liberals' key demand of PR was rejected by most Labour MPs, whilst the contacts between Liberal spokespersons and Labour ministers often proved detrimental, such as between Treasury spokesperson John Pardoe and Chancellor of the Exchequer Denis Healey, who were mutually antagonistic.
Alliance, Liberal Democrats and reconstituted Liberal Party
The Conservative Party under the leadership of Margaret Thatcher won the 1979 general election, placing the Labour Party back in opposition, which served to push the Liberals back into the margins.
In 1981, defectors from a moderate faction of the Labour Party, led by former Cabinet ministers Roy Jenkins, David Owen and Shirley Williams, founded the Social Democratic Party (SDP). The new party and the Liberals quickly formed the SDP–Liberal Alliance, which for a while polled as high as 50% in the opinion polls and appeared capable of winning the next general election. Indeed, Steel was so confident of an Alliance victory that he told the 1981 Liberal conference, "Go back to your constituencies, and prepare for government!".
However, the Alliance was overtaken in the polls by the Tories in the aftermath of the Falkland Islands War and at the 1983 general election the Conservatives were re-elected by a landslide, with Labour once again forming the opposition. While the SDP–Liberal Alliance came close to Labour in terms of votes (a share of more than 25%), it only had 23 MPs compared to Labour's 209. The Alliance's support was spread out across the country, and was not concentrated in enough areas to translate into seats.
In the 1987 general election, the Alliance's share of the votes fell slightly and it now had 22 MPs. In the election's aftermath Steel proposed a merger of the two parties. Most SDP members voted in favour of the merger, but SDP leader David Owen objected and continued to lead a "rump" SDP.
In March 1988, the Liberal Party and Social Democratic Party merged to create the Social and Liberal Democrats, renamed the Liberal Democrats in October 1989. Over two-thirds of Liberal members joined the merged party, along with all sitting MPs. Steel and SDP leader Robert Maclennan served briefly as interim leaders of the merged party.
A group of Liberal opponents of the merger with the Social Democrats, including Michael Meadowcroft (the former Liberal MP for Leeds West) and Paul Wiggin (who served on Peterborough City Council as a Liberal), continued with a new party organisation under the name of the 'Liberal Party'. Meadowcroft joined the Liberal Democrats in 2007, but the Liberal Party as reconstituted in 1989 continues to hold council seats and field candidates in Westminster Parliamentary elections. None of the nineteen Liberal candidates in 2019 achieved 5% of the votes, resulting in all losing their deposits.
Ideology
During the 19th century, the Liberal Party was broadly in favour of what would today be called classical liberalism, supporting laissez-faire economic policies such as free trade and minimal government interference in the economy (this doctrine was usually termed Gladstonian liberalism after the Victorian era Liberal Prime Minister William Gladstone). The Liberal Party favoured social reform, personal liberty, reducing the powers of the Crown and the Church of England (many of them were nonconformists) and an extension of the electoral franchise. Sir William Harcourt, a prominent Liberal politician in the Victorian era, said this about liberalism in 1872: If there be any party which is more pledged than another to resist a policy of restrictive legislation, having for its object social coercion, that party is the Liberal party. (Cheers.) But liberty does not consist in making others do what you think right, (Hear, hear.) The difference between a free Government and a Government which is not free is principally this—that a Government which is not free interferes with everything it can, and a free Government interferes with nothing except what it must. A despotic Government tries to make everybody do what it wishes; a Liberal Government tries, as far as the safety of society will permit, to allow everybody to do as he wishes. It has been the tradition of the Liberal party consistently to maintain the doctrine of individual liberty. It is because they have done so that England is the place where people can do more what they please than in any other country in the world. [...] It is this practice of allowing one set of people to dictate to another set of people what they shall do, what they shall think, what they shall drink, when they shall go to bed, what they shall buy, and where they shall buy it, what wages they shall get and how they shall spend them, against which the Liberal party have always protested.
The political terms of "modern", "progressive" or "new" Liberalism began to appear in the mid to late 1880s and became increasingly common to denote the tendency in the Liberal Party to favour an increased role for the state as more important than the classical liberal stress on self-help and freedom of choice.
By the early 20th century, the Liberals stance began to shift towards "New Liberalism", what would today be called social liberalism, namely a belief in personal liberty with a support for government intervention to provide social welfare. This shift was best exemplified by the Liberal government of H. H. Asquith and his Chancellor David Lloyd George, whose Liberal reforms in the early 1900s created a basic welfare state.
David Lloyd George adopted a programme at the 1929 general election entitled We Can Conquer Unemployment!, although by this stage the Liberals had declined to third-party status. The Liberals as expressed in the Liberal Yellow Book now regarded opposition to state intervention as being a characteristic of right-wing extremists.
After nearly becoming extinct in the 1940s and the 1950s, the Liberal Party revived its fortunes somewhat under the leadership of Jo Grimond in the 1960s by positioning itself as a radical centrist, non-socialist alternative to the Conservative and Labour Party governments of the time.
Religious alignment
Since 1660, nonconformist Protestants have played a major role in English politics. Relatively few MPs were Dissenters. However the Dissenters were a major voting bloc in many areas, such as the East Midlands. They were very well organised and highly motivated and largely won over the Whigs and Liberals to their cause. Down to the 1830s, Dissenters demanded removal of political and civil disabilities that applied to them (especially those in the Test and Corporation Acts). The Anglican establishment strongly resisted until 1828. Numerous reforms of voting rights, especially that of 1832, increased the political power of Dissenters. They demanded an end to compulsory church rates, in which local taxes went only to Anglican churches. They finally achieved the end of religious tests for university degrees in 1905. Gladstone brought the majority of Dissenters around to support for Home Rule for Ireland, putting the dissenting Protestants in league with the Irish Roman Catholics in an otherwise unlikely alliance. The Dissenters gave significant support to moralistic issues, such as temperance and sabbath enforcement. The nonconformist conscience, as it was called, was repeatedly called upon by Gladstone for support for his moralistic foreign policy. In election after election, Protestant ministers rallied their congregations to the Liberal ticket. In Scotland, the Presbyterians played a similar role to the Nonconformist Methodists, Baptists and other groups in England and Wales.
By the 1820s, the different Nonconformists, including Wesleyan Methodists, Baptists, Congregationalists and Unitarians, had formed the Committee of Dissenting Deputies and agitated for repeal of the highly restrictive Test and Corporation Acts. These Acts excluded Nonconformists from holding civil or military office or attending Oxford or Cambridge, compelling them to set up their own Dissenting Academies privately. The Tories tended to be in favour of these Acts and so the Nonconformist cause was linked closely to the Whigs, who advocated civil and religious liberty. After the Test and Corporation Acts were repealed in 1828, all the Nonconformists elected to Parliament were Liberals. Nonconformists were angered by the Education Act 1902, which integrated Church of England denominational schools into the state system and provided for their support from taxes. John Clifford formed the National Passive Resistance Committee and by 1906 over 170 Nonconformists had gone to prison for refusing to pay school taxes. They included 60 Primitive Methodists, 48 Baptists, 40 Congregationalists and 15 Wesleyan Methodists.
The political strength of Dissent faded sharply after 1920 with the secularisation of British society in the 20th century. The rise of the Labour Party reduced the Liberal Party strongholds into the nonconformist and remote "Celtic Fringe", where the party survived by an emphasis on localism and historic religious identity, thereby neutralising much of the class pressure on behalf of the Labour movement. Meanwhile, the Anglican Church was a bastion of strength for the Conservative Party. On the Irish issue, the Anglicans strongly supported unionism. Increasingly after 1850, the Roman Catholic element in England and Scotland was composed of recent emigrants from Ireland who largely voted for the Irish Parliamentary Party until its collapse in 1918.
Liberal leaders
Liberal Leaders in the House of Lords
Granville George Leveson-Gower, 2nd Earl Granville (1859–1865)
John Russell, 1st Earl Russell (1865–1868)
Granville George Leveson-Gower, 2nd Earl Granville (1868–1891)
John Wodehouse, 1st Earl of Kimberley (1891–1894)
Archibald Philip Primrose, 5th Earl of Rosebery (1894–1896)
John Wodehouse, 1st Earl of Kimberley (1896–1902)
John Spencer, 5th Earl Spencer (1902–1905)
George Robinson, 1st Marquess of Ripon (1905–1908)
Robert Crewe-Milnes, 1st Marquess of Crewe (1908–1923)
Edward Grey, 1st Viscount Grey of Fallodon (1923–1924)
William Lygon, 7th Earl Beauchamp (1924–1931)
Rufus Isaacs, 1st Marquess of Reading (1931–1936)
Robert Crewe-Milnes, 1st Marquess of Crewe (1936–1944)
Herbert Samuel, 1st Viscount Samuel (1944–1955)
Philip Rea, 2nd Baron Rea (1955–1967)
Frank Byers, Baron Byers (1967–1984)
Nancy Seear, Baroness Seear (1984–1989)
Liberal Leaders in the House of Commons
Henry John Temple, 3rd Viscount Palmerston (1859–1865)
William Gladstone (1865–1875)
Spencer Cavendish, 8th Duke of Devonshire (1875–1880)
William Gladstone (1880–1894)
Sir William Harcourt (1894–1898)
Sir Henry Campbell-Bannerman (1899–1908)
H. H. Asquith (1908–1916)
Leaders of the Liberal Party
H. H. Asquith, 1st Earl of Oxford and Asquith, 1925 (1916–1926)
Donald Maclean, Acting Leader (1919–1920)
David Lloyd George (1926–1931)
Sir Herbert Samuel (1931–1935)
Sir Archibald Sinclair (1935–1945)
Clement Davies (1945–1956)
Jo Grimond (1956–1967)
Jeremy Thorpe (1967–1976)
Jo Grimond, Interim Leader (1976)
David Steel (1976–1988)
Deputy Leaders of the Liberal Party in the House of Commons
Herbert Samuel (1929–1931)
Archibald Sinclair (1931–1935)
Post vacant (1935–1940)
Percy Harris (1940–1945)
Post vacant (1945–1949)
Megan Lloyd George (1949–1951)
Post vacant (1951–1962)
Donald Wade (1962–1964)
Post vacant (1964–1979)
John Pardoe (1976–1979)
Post vacant (1979–1985)
Alan Beith (1985–1988)
Deputy Leaders of the Liberal Party in the House of Lords
Eric Drummond, 16th Earl of Perth (1946–1951)
Walter Layton, 1st Baron Layton (1952–1955)
Post vacant (1955–1965)
Gladwyn Jebb, 1st Baron Gladwyn (1965–1988)
Liberal Party front bench team members
1945–1956
1956–1967
1967–1976
Electoral performance
Notes
See also
:Category:Liberal Party (UK) MPs
List of Liberal Party (UK) MPs
Liberalism in the United Kingdom
Liberal Democrats
List of United Kingdom Liberal Party Leaders
List of United Kingdom Whig and allied party leaders (1801–59)
List of Liberal Chief Whips
President of the Liberal Party
List of UK Liberal Party general election manifestos
References
Further reading
Adelman, Paul. The decline of the Liberal Party 1910–1931 (2nd ed. Routledge, 2014).
Bentley, Michael The Climax of Liberal Politics: British Liberalism in Theory and Practice, 1868–1918 (1987).
Brack, Duncan; Ingham, Robert; Little, Tony, eds. British Liberal Leaders (2015).
Campbell, John Lloyd George, The Goat in the Wilderness, 1922–31 (1977).
Clarke, P. F. "The Electoral Position of the Liberal and Labour Parties, 1910–1914." English Historical Review 90.357 (1975): 828–836. in JSTOR.
Cook, Chris. A Short History of the Liberal Party, 1900–2001 (6th edition). Basingstoke: Palgrave, 2002. .
Cregier, Don M. "The Murder of the British Liberal Party," The History Teacher 3#4 (1970), pp. 27–36 online edition
Cross, Colin. The Liberals in Power, 1905–1914 (1963).
David, Edward. “The Liberal Party Divided 1916–1918.” Historical Journal 13#3 (1970, pp. 509–32, online
Dangerfield, George. The Strange Death of Liberal England (1935), a famous classic online free.
Dutton, David. A History of the Liberal Party Since 1900 (2nd ed. Palgrave Macmillan, 2013).
Fairlie, Henry. "Oratory in Political Life," History Today (Jan 1960) 10#1 pp 3–13. A survey of political oratory in Britain from 1730 to 1960.
Fahey, David M. “Temperance and the Liberal Party – Lord Peel's Report, 1899.” Journal of British Studies 20#3 (1971), pp. 132–59, online.
Gilbert, Bentley Brinkerhoff. David Lloyd George: A Political Life: The Architect of Change 1863–1912 (1987)' David Lloyd George: A Political Life: Organizer of Victory, 1912–1916 (1992).
Goodlad, Graham D. “The Liberal Party and Gladstone's Land Purchase Bill of 1886.” Historical Journal 32#3 (1989), pp. 627–41, online.
Hammond, J. L. and M. R. D. Foot. Gladstone and Liberalism (1952)
Häusermann, Silja, Georg Picot, and Dominik Geering. "Review article: Rethinking party politics and the welfare state–recent advances in the literature". British Journal of Political Science 43#1 (2013): 221–240.online.
Hazlehurst, Cameron. "Asquith as Prime Minister, 1908–1916," The English Historical Review 85#336 (1970), pp. 502–531 in JSTOR.
Heyck, Thomas William. “Home Rule, Radicalism, and the Liberal Party, 1886–1895.” Journal of British Studies 13#2 (1974), pp. 66–91, online.
Hughes, K. M. “A Political Party and Education: Reflections on the Liberal Party's Educational Policy, 1867–1902.” British Journal of Educational Studies 8#2, (1960), pp. 112–26, online.
Jenkins, Roy. "From Gladstone to Asquith: The Late Victorian Pattern of Liberal Leadership," History Today (July 1964) 14#7 pp 445–452.
Jenkins, Roy. Asquith: portrait of a man and an era (1964).
Jenkins, T. A. “Gladstone, the Whigs and the Leadership of the Liberal Party, 1879–1880.” Historical Journal 27#2 (1984), pp. 337–60, online.
Jones, Thomas. Lloyd George (1951), short biography
Kellas, James G. “The Liberal Party in Scotland 1876–1895.” Scottish Historical Review 44#137, (1965), pp. 1–16, online
Laybourn, Keith. "The rise of Labour and the decline of Liberalism: the state of the debate." History 80.259 (1995): 207–226, historiography.
Lubenow, W. C. “Irish Home Rule and the Social Basis of the Great Separation in the Liberal Party in 1886.” Historical Journal 28#1 (1985), pp. 125–42, online.
Lynch, Patricia. The Liberal Party in Rural England, 1885–1910: Radicalism and Community (2003).
MacAllister, Iain, et al., "Yellow fever? The political geography of Liberal voting in Great Britain," Political Geography (2002) 21#4 pp. 421–447.
McEwen, John M. “The Liberal Party and the Irish Question during the First World War.” Journal of British Studies, 12#1, (1972), pp. 109–31, online.
McGill, Barry. “Francis Schnadhorst and Liberal Party Organization.” Journal of Modern History 34#1 (1962), pp. 19–39, online.
Machin, G. I. T. "Gladstone and Nonconformity in the 1860s: The Formation of an Alliance." Historical Journal 17, no. 2 (1974): 347–64. online.
McCready, H. W. “Home Rule and the Liberal Party, 1899–1906.” Irish Historical Studies 13#52, (1963), pp. 316–48, online.
Mowat, Charles Loch. Britain between the Wars, 1918–1940 (1955) 694 pp. scholarly survey online
Packer, Ian. Liberal government and politics, 1905–15 (Springer, 2006).
Parry, Jonathan. The Rise and Fall of Liberal Government in Victorian Britain (Yale, 1993) .
Poe, William A. “Conservative Nonconformists: Religious Leaders and the Liberal Party in Yorkshire/Lancashire.” Nineteenth Century Studies, vol. 2, (1988), pp. 63–72, online.
Pugh, Martin D. "Asquith, Bonar Law and the First Coalition." Historical Journal 17.4 (1974): 813–836.
Pugh, Martin. “The Liberal Party and the Popular Front.” English Historical Review 121#494, (2006), pp. 1327–50, online.
Rossi, John P. “The Transformation of the British Liberal Party: A Study of the Tactics of the Liberal Opposition, 1874–1880.” Transactions of the American Philosophical Society 68#8, (1978), pp. 1–133, online.
Rossi, John P. “English Catholics, the Liberal Party, and the General Election of 1880.” Catholic Historical Review, 63#3, (1977), pp. 411–27, online.
Russell, A.K. Liberal Landslide: The General Election of 1906 (David & Charles, 1973).
Searle, G. R. “The Edwardian Liberal Party and Business.” English Historical Review 98#386, (1983), pp. 28–60, online.
Searle, G. R. A New England? Peace and war, 1886–1918 (Oxford University Press, 2004), wide-ranging scholarly survey
Thorpe, Andrew. "Labour Leaders and the Liberals, 1906–1924", Cercles 21 (2011), pp. 39–54. online.
Tregidga, Garry. “Turning of the Tide? A Case Study of the Liberal Party in Provincial Britain in the Late 1930s.” History 92#3 (2007), pp. 347–66, online.
Weiler, Peter. The New Liberalism: Liberal Social Theory in Great Britain, 1889–1914 (Routledge, 2016).
Wilson, Trevor. The Downfall of the Liberal Party: 1914–1935 (1966).
Historiography
St. John, Ian. The Historiography of Gladstone and Disraeli (Anthem Press, 2016) 402 pp. excerpt.
Thompson, J. A. “The Historians and the Decline of the Liberal Party.” Albion' 22#1, (1990), pp. 65–83, online.
Primary sources
Liberal Magazine 1901 in-depth coverage of 1900.
Liberal Magazine 1900 in-depth coverage of 1899.
Biographies and voting returns since 1880s.
Craig, Frederick Walter Scott, ed. (1975). British General Election Manifestos, 1900–74''. Springer.
External links
Liberal Democrat History Group.
Catalogue of the Liberal Party papers (mostly dating from after 1945) at LSE Archives.
The Liberal Magazine Volume 2 1895.
Liberal Magazine A Periodical for the Use of Liberal Speakers, Writers and Canvassers Volume 1 1893.
Facts for Liberal Politicians By John Noble 1879.
Proceedings in Connection with the Annual Meeting of the National Liberal Federation with the Annual Report By National Liberal Federation, 1881.
Election Address and Speeches By Samuel Smith, 1882.
Annual Report Presented at a Meeting of the Council By National Liberal Federation, 1887.
Proceedings of the Annual Meeting of the Council By National Liberal Federation, 1895.
Five Years of Liberal Policy and Conservative Opposition By George Charles Brodrick, 1874.
Leaflets published by the Liberal Publication Department for the General Election of 1906, 1906.
The Liberal year book for 1908.
The Government's record, 1906–1913 : seven years of Liberal legislation and administration By Liberal Publication Dept. (Great Britain).
The Yale Review Volume 4 1895.
The Age of Lloyd George The Liberal Party and British Politics, 1890–1929 By Kenneth O. Morgan, 2021.
Classical liberal parties
Social liberal parties
Defunct political parties in the United Kingdom
United Kingdom 1860s
Political parties established in 1859
Political parties disestablished in 1988
1859 establishments in the United Kingdom
1988 disestablishments in the United Kingdom
Leeds Blue Plaques | 8 |
The Bank of England is the central bank of the United Kingdom and the model on which most modern central banks have been based. Established in 1694 to act as the English Government's banker, and still one of the bankers for the Government of the United Kingdom, it is the world's eighth-oldest bank. It was privately owned by stockholders from its foundation in 1694 until it was nationalised in 1946 by the Attlee ministry.
The bank became an independent public organisation in 1998, wholly owned by the Treasury Solicitor on behalf of the government, with a mandate to support the economic policies of the government of the day, but independence in maintaining price stability.
The bank is one of eight banks authorised to issue banknotes in the United Kingdom, has a monopoly on the issue of banknotes in England and Wales, and regulates the issuance of banknotes by commercial banks in Scotland and Northern Ireland.
The bank's Monetary Policy Committee has devolved responsibility for managing monetary policy. The Treasury has reserve powers to give orders to the committee "if they are required in the public interest and by extreme economic circumstances", but Parliament must endorse such orders within 28 days. In addition, the bank's Financial Policy Committee was set up in 2011 as a macroprudential regulator to oversee the UK's financial sector.
The bank's headquarters have been in London's main financial district, the City of London, on Threadneedle Street, since 1734. It is sometimes known as "The Old Lady of Threadneedle Street", a name taken from a satirical cartoon by James Gillray in 1797. The road junction outside is known as Bank Junction.
As a regulator and central bank, the Bank of England has not offered consumer banking services for many years, but it still does manage some public-facing services, such as exchanging superseded bank notes. Until 2016, the bank provided personal banking services as a privilege for employees.
History
Founding
England's crushing defeat by France, the dominant naval power, in naval engagements culminating in the 1690 Battle of Beachy Head, became the catalyst for England to rebuild itself as a global power. William III's government wanted to build a naval fleet that would rival that of France; however, the ability to construct this fleet was hampered both by a lack of available public funds and the low credit of the English government in London. This lack of credit made it impossible for the English government to borrow the £1,200,000 (at 8% per annum) that it wanted to construct the fleet.
To induce subscription to the loan, the subscribers were to be incorporated by the name of the Governor and Company of the Bank of England. The bank was given exclusive possession of the government's balances and was the only limited-liability corporation allowed to issue bank notes. The lenders would give the government cash (bullion) and issue notes against the government bonds, which could be lent again. The £1.2 million was raised in 12 days, largely thanks to William Phips who invested the enormous booty from a Spanish galleon, the Nuestra Señora de la Concepción; half of this was used to rebuild the navy.
As a side effect, the huge industrial effort needed, including establishing ironworks to make more nails and advances in agriculture feeding the quadrupled strength of the navy, started to transform the economy. This helped the new Kingdom of Great Britain – England and Scotland were formally united in 1707 – to become powerful. The power of the navy made Britain the dominant world power in the late 18th and early 19th centuries.
The establishment of the bank was devised by Charles Montagu, 1st Earl of Halifax, in 1694. The plan of 1691, which had been proposed by William Paterson three years before, had not then been acted upon. Fifty-eight years earlier, in 1636, financier to the king, Philip Burlamachi, had proposed exactly the same idea in a letter addressed to Francis Windebank. He proposed a loan of £1.2 million to the government; in return the subscribers would be incorporated as The Governor and Company of the Bank of England with long-term banking privileges including the issue of notes.
The royal charter was granted on 27 July through the passage of the Tonnage Act 1694. Public finances were in such dire condition at the time that the terms of the loan were that it was to be serviced at a rate of 8% per annum, and there was also a service charge of £4,000 per annum for the management of the loan. The first governor was John Houblon (who was later depicted on a £50 note).
The bank initially did not have its own building, first opening on 1 August 1694 in Mercers' Hall on Cheapside. This however was found to be too small and from 31 December 1694 the bank operated from Grocers' Hall, located then on Poultry, where it would remain for almost 40 years.
18th century
In 1700, the Hollow Sword Blade Company was purchased by a group of businessmen who wished to establish a competing English bank (in an action that would today be considered a "back door listing"). The Bank of England's initial monopoly on English banking was due to expire in 1710. However, it was instead renewed, and the Sword Blade company failed to achieve its goal.
The South Sea Company was established in 1711. In 1720 it became responsible for part of the UK's national debt, becoming a major competitor to the Bank of England. While the "South Sea Bubble" disaster soon ensued, the company continued managing part of the UK national debt until 1853.
The Bank of England moved to its current location in Threadneedle Street in 1734 and thereafter slowly acquired neighbouring land to create the site necessary for erecting the bank's original home at this location, under the direction of its chief architect John Soane, between 1790 and 1827. (Herbert Baker's rebuilding of the bank in the first half of the 20th century, demolishing most of Soane's masterpiece, was described by architectural historian Nikolaus Pevsner as "the greatest architectural crime, in the City of London, of the twentieth century".)
The bank's charter was again renewed in 1742 and 1764.
The credit crisis of 1772 has been described as the first modern banking crisis faced by the Bank of England. The whole City of London was in uproar when Alexander Fordyce was declared bankrupt. In August 1773, the Bank of England assisted the EIC with a loan. The strain upon the reserves of the Bank of England was not eased until towards the end of the year.
When the idea and reality of the national debt came about during the 18th century, this was also largely managed by the bank.
During the American War of Independence, business for the bank was so good that George Washington remained a shareholder throughout the period.
By the bank's charter renewal in 1781, it was also the bankers' bank – keeping enough gold to pay its notes on demand until 26 February 1797 when war had so diminished gold reserves that – following an invasion scare caused by the Battle of Fishguard days earlier – the government prohibited the bank from paying out in gold by the passing of the bank Restriction Act 1797. This prohibition lasted until 1821.
19th century
In 1825–26 the bank was able to avert a liquidity crisis when Nathan Mayer Rothschild succeeded in supplying it with gold.
The Bank Charter Act 1844 tied the issue of notes to the gold reserves and gave the bank sole rights with regard to the issue of banknotes in England. Private banks that had previously had that right retained it, provided that their headquarters were outside London and that they deposited security against the notes that they issued.
The bank acted as lender of last resort for the first time in the panic of 1866.
20th century
The last private bank in England to issue its own notes was Thomas Fox's Fox, Fowler and Company bank in Wellington, which rapidly expanded until it merged with Lloyds Bank in 1927. They were legal tender until 1964. There are nine notes left in circulation; one is housed at Tone Dale House, Wellington. (Scottish and Northern Irish private banks continue to issue notes regulated by the bank.)
Britain was on the gold standard, meaning the value of sterling was fixed by the price of gold, until 1931 when the Bank of England had to take Britain off the gold standard due to the effects of Great Depression spreading to Europe.
During the governorship of Montagu Norman, from 1920 to 1944, the bank made deliberate efforts to move away from commercial banking and become a central bank.
During WWII, over 10% of the face value of circulating Pound Sterling banknotes were forgeries produced by Germany.
In 1946, shortly after the end of Montagu Norman's tenure, the bank was nationalised by the Labour government.
The bank pursued the multiple goals of Keynesian economics after 1945, especially "easy money" and low-interest rates to support aggregate demand. It tried to keep a fixed exchange rate and attempted to deal with inflation and sterling weakness by credit and exchange controls.
The bank's "10 bob note" was withdrawn from circulation in 1970 in preparation for Decimal Day in 1971.
In 1977 the Bank set up a wholly owned subsidiary called Bank of England Nominees Limited (BOEN), a now-defunct private limited company, with two of its hundred £1 shares issued. According to its memorandum of association, its objectives were: "To act as Nominee or agent or attorney either solely or jointly with others, for any person or persons, partnership, company, corporation, government, state, organisation, sovereign, province, authority, or public body, or any group or association of them". Bank of England Nominees Limited was granted an exemption by Edmund Dell, Secretary of State for Trade, from the disclosure requirements under Section 27(9) of the Companies Act 1976, because "it was considered undesirable that the disclosure requirements should apply to certain categories of shareholders". The Bank of England is also protected by its royal charter status and the Official Secrets Act. BOEN was a vehicle for governments and heads of state to invest in UK companies (subject to approval from the Secretary of State), providing they undertake "not to influence the affairs of the company". In its later years, BOEN was no longer exempt from company law disclosure requirements. Although a dormant company, dormancy does not preclude a company actively operating as a nominee shareholder. BOEN had two shareholders: the Bank of England, and the Secretary of the Bank of England.
The reserve requirement for banks to hold a minimum fixed proportion of their deposits as reserves at the Bank of England was abolished in 1981: see for more details. The contemporary transition from Keynesian economics to Chicago economics was analysed by Nicholas Kaldor in The Scourge of Monetarism.
The handing over of monetary policy to the bank became a key plank of the Liberal Democrats' economic policy for the 1992 general election. Conservative MP Nicholas Budgen had also proposed this as a private member's bill in 1996, but the bill failed as it had the support of neither the government nor the opposition.
The UK government left the expensive-to-maintain European Exchange Rate Mechanism in September 1992, in an action that cost HM Treasury over £3 billion. This led to closer communication between the government and the bank.
In 1993, the bank produced its first Inflation Report for the government, detailing inflationary trends and pressures. This annually produced report remains one of the bank's major publications. The success of inflation targeting in the United Kingdom has been attributed to the bank's focus on transparency. The Bank of England has been a leader in producing innovative ways of communicating information to the public, especially through its Inflation Report, which many other central banks have emulated.
The bank celebrated its three-hundredth birthday in 1994.
In 1996, the bank produced its first Financial Stability Review. This annual publication became known as the Financial Stability Report in 2006. Also that year, the bank set up its real-time gross settlement (RTGS) system to improve risk-free settlement between UK banks.
On 6 May 1997, following the 1997 general election that brought a Labour government to power for the first time since 1979, it was announced by the Chancellor of the Exchequer, Gordon Brown, that the bank would be granted operational independence over monetary policy. Under the terms of the Bank of England Act 1998 (which came into force on 1 June 1998) the bank's Monetary Policy Committee (MPC) was given sole responsibility for setting interest rates to meet the Government's Retail Prices Index (RPI) inflation target of 2.5%. The target has changed to 2% since the Consumer Price Index (CPI) replaced the Retail Prices Index as the Treasury's inflation index. If inflation overshoots or undershoots the target by more than 1% the Governor has to write a letter to the Chancellor of the Exchequer explaining why, and how he will remedy the situation.
Independent central banks that adopt an inflation target are known as Friedmanite central banks. This change in Labour's politics was described by Skidelsky in The Return of the Master as a mistake and as an adoption of the rational expectations hypothesis as promulgated by Alan Walters. Inflation targets combined with central bank independence have been characterised as a "starve the beast" strategy creating a lack of money in the public sector.
1913 attempted bombing
A terrorist bombing was attempted outside the Bank of England building on 4 April 1913. A bomb was discovered smoking and ready to explode next to railings outside the building. The bomb had been planted as part of the suffragette bombing and arson campaign, in which the Women's Social and Political Union (WSPU) launched a series of politically motivated bombing and arson attacks nationwide as part of their campaign for women's suffrage. The bomb was defused before it could detonate, in what was then one of the busiest public streets in the capital, which likely prevented many civilian casualties. The bomb had been planted the day after WSPU leader Emmeline Pankhurst was sentenced to three years' imprisonment for carrying out a bombing on the home of politician David Lloyd George.
The remains of the bomb, which was built into a milk churn, are now on display at the City of London Police Museum.
21st century
Mervyn King became the Governor of the Bank of England on 30 June 2003.
In 2009, a request made to HM Treasury under the Freedom of Information Act sought details about the 3% Bank of England stock owned by unnamed shareholders whose identity the bank is not at liberty to disclose. In a letter of reply dated 15 October 2009, HM Treasury explained that "Some of the 3% Treasury stock which was used to compensate former owners of Bank stock has not been redeemed. However, interest is paid out twice a year and it is not the case that this has been accumulating and compounding."
The Financial Services Act 2012 gave the bank additional functions and bodies, including an independent Financial Policy Committee (FPC), the Prudential Regulation Authority (PRA), and more powers to supervise financial market infrastructure providers.
Canadian Mark Carney assumed the post of Governor of the Bank of England on 1 July 2013. He served an initial five-year term rather than the typical eight. He became the first Governor not to be a United Kingdom citizen but has since been granted citizenship. At Government request, his term was extended to 2019, then again to 2020. , the bank also had four Deputy Governors.
BOEN was dissolved, following liquidation, in July 2017.
Andrew Bailey succeeded Carney as the Governor of the Bank of England on 16 March 2020.
Functions
Two main areas are tackled by the bank to ensure it carries out these functions efficiently:
Monetary stability
Stable prices and confidence in the currency are the two main criteria for monetary stability. Stable prices are maintained by seeking to ensure that price increases meet the Government's inflation target. The bank aims to meet this target by adjusting the base interest rate, which is decided by the Monetary Policy Committee, and through its communications strategy, such as publishing yield curves.
Maintaining financial stability involves protecting against threats to the whole financial system. Threats are detected by the bank's surveillance and market intelligence functions. The threats are then dealt with through financial and other operations, both at home and abroad. In exceptional circumstances, the bank may act as the lender of last resort by extending credit when no other institution will.
The bank works together with other institutions to secure both monetary and financial stability, including:
HM Treasury, the Government department responsible for financial and economic policy; and
Other central banks and international organisations, with the aim of improving the international financial system.
The 1997 memorandum of understanding describes the terms under which the bank, the Treasury, and the FSA work toward the common aim of increased financial stability. In 2010, the incoming Chancellor announced his intention to merge the FSA back into the bank. As of 2012, the current director for financial stability is Andy Haldane.
The bank acts as the government's banker, and it maintains the government's Consolidated Fund account. It also manages the country's foreign exchange and gold reserves. The bank also acts as the bankers' bank, especially in its capacity as a lender of last resort.
The bank has a monopoly on the issue of banknotes in England and Wales. Scottish and Northern Irish banks retain the right to issue their own banknotes, but they must be backed one-for-one with deposits at the bank, excepting a few million pounds representing the value of notes they had in circulation in 1845. The bank decided to sell its banknote-printing operations to De La Rue in December 2002, under the advice of Close Brothers Corporate Finance Ltd.
Since 1998 the Monetary Policy Committee (MPC) has had the responsibility for setting the official interest rate. However, with the decision to grant the bank operational independence, responsibility for government debt management was transferred in 1998 to the new Debt Management Office, which also took over government cash management in 2000. Computershare took over as the registrar for UK Government bonds (gilt-edged securities or 'gilts') from the bank at the end of 2004.
The bank used to be responsible for the regulation and supervision of the banking and insurance industries. This responsibility was transferred to the Financial Services Authority in June 1998, but after the financial crises in 2008, new banking legislation transferred the responsibility for regulation and supervision of the banking and insurance industries back to the bank.
In 2011 the interim Financial Policy Committee (FPC) was created as a mirror committee to the MPC to spearhead the bank's new mandate on financial stability. The FPC is responsible for macro-prudential regulation of all UK banks and insurance companies.
To help maintain economic stability, the bank attempts to broaden understanding of its role, both through regular speeches and publications by senior Bank figures, a semiannual Financial Stability Report, and through a wider education strategy aimed at the general public. It currently maintains a free museum and ran the Target Two Point Zero competition for A-level students, closing in 2017.
Asset purchase facility
The bank has operated, since January 2009, an Asset Purchase Facility (APF) to buy "high-quality assets financed by the issue of Treasury bills and the DMO's cash management operations" and thereby improve liquidity in the credit markets. It has, since March 2009, also provided the mechanism by which the bank's policy of quantitative easing (QE) is achieved, under the auspices of the MPC. Along with managing the QE funds, which were £895 bn at peak, the APF continues to operate its corporate facilities. Both are undertaken by a subsidiary company of the Bank of England, the Bank of England Asset Purchase Facility Fund Limited (BEAPFF).
QE was primarily designed as an instrument of monetary policy. The mechanism required the Bank of England to purchase government bonds on the secondary market, financed by creating new central bank money. This would have the effect of increasing the asset prices of the bonds purchased, thereby lowering yields and dampening longer-term interest rates. The policy's aim was initially to ease liquidity constraints in the sterling reserves system but evolved into a wider policy to provide economic stimulus.
QE was enacted in six tranches between 2009 and 2020. At its peak in 2020, the portfolio totalled £895 billion, comprising £875 billion of UK government bonds and £20 billion of high-grade commercial bonds.
In February 2022, the Bank of England announced its intention to commence winding down the QE portfolio. Initially this would be achieved by not replacing tranches of maturing bonds, and would later be accelerated through active bond sales.
In August 2022, the Bank of England reiterated its intention to accelerate the QE wind-down through active bond sales. This policy was affirmed in an exchange of letters between the Bank of England and the UK Chancellor of the Exchequer in September 2022. Between February 2022 and September 2022, a total of £37.1bn of government bonds matured, reducing the outstanding stock from £875.0bn at the end of 2021 to £837.9bn. In addition, a total of £1.1bn of corporate bonds matured, reducing the stock from £20.0bn to £18.9bn, with sales of the remaining stock planned to begin on 27 September.
Banknote issues
The bank has issued banknotes since 1694. Notes were originally hand-written; although they were partially printed from 1725 onwards, cashiers still had to sign each note and make them payable to someone. Notes were fully printed from 1855. Until 1928 all notes were "White Notes", printed in black and with a blank reverse. In the 18th and 19th centuries, White Notes were issued in £1 and £2 denominations. During the 20th century, White Notes were issued in denominations between £5 and £1000.
Until the mid-19th century, commercial banks were allowed to issue their own banknotes, and notes issued by provincial banking companies were commonly in circulation. The Bank Charter Act 1844 began the process of restricting note issue to the bank; new banks were prohibited from issuing their own banknotes, and existing note-issuing banks were not permitted to expand their issue. As provincial banking companies merged to form larger banks, they lost their right to issue notes, and the English private banknote eventually disappeared, leaving the bank with a monopoly of note issues in England and Wales. The last private bank to issue its own banknotes in England and Wales was Fox, Fowler and Company in 1921. However, the limitations of the 1844 Act only affected banks in England and Wales, and today three commercial banks in Scotland and four in Northern Ireland continue to issue their own banknotes, regulated by the bank.
At the start of the First World War, the Currency and Bank Notes Act 1914 was passed, which granted temporary powers to HM Treasury for issuing banknotes to the values of £1 and 10/- (ten shillings). Treasury notes had full legal tender status and were not convertible into gold through the bank; they replaced the gold coin in circulation to prevent a run on sterling and to enable raw material purchases for armament production. These notes featured an image of King George V (Bank of England notes did not begin to display an image of the monarch until 1960). The wording on each note was:
Treasury notes were issued until 1928 when the Currency and Bank Notes Act 1928 returned note-issuing powers to the banks. The Bank of England issued notes for ten shillings and one pound for the first time on 22 November 1928.
During the Second World War, the German Operation Bernhard attempted to counterfeit denominations between £5 and £50, producing 500,000 notes each month in 1943. The original plan was to parachute the money into the UK in an attempt to destabilise the British economy, but it was found more useful to use the notes to pay German agents operating throughout Europe. Although most fell into Allied hands at the end of the war, forgeries frequently appeared for years afterward, which led banknote denominations above £5 to be removed from circulation.
In 2006, over £53 million in banknotes belonging to the bank was stolen from a depot in Tonbridge, Kent.
Modern banknotes are printed by contract with De La Rue Currency in Loughton, Essex.
Gold vault
The bank is custodian to the official gold reserves of the United Kingdom and around 30 other countries. , the bank holds around of gold, worth £141 billion. These estimates suggest that the vault could hold as much as 3% of the 171,300 tonnes of gold mined throughout human history.
Governance of the Bank of England
Governors
Following is a list of the governors of the Bank of England since the beginning of the 20th century:
Court of Directors
The Court of Directors is a unitary board that is responsible for setting the organisation's strategy and budget and making key decisions on resourcing and appointments. It consists of five executive members from the bank plus up to 9 non-executive members, all of whom are appointed by the Crown. The Chancellor selects the Chairman of the Court from among the non-executive members. The Court is required to meet at least seven times a year.
The Governor serves for a period of eight years, the Deputy Governors for five years, and the non-executive members for up to four years.
Other staff
Since 2013, the bank has had a chief operating officer (COO). , the bank's COO has been Joanna Place.
, the bank's chief economist is Huw Pill.
See also
List of British currencies
Bank of England Act
Coins of the pound sterling
Financial Sanctions Unit
Fractional-reserve banking
Commonwealth banknote-issuing institutions
Bank of England Museum
Deputy Governor of the Bank of England
List of directors of the Bank of England
Explanatory notes
References
Further reading
, on nationalisation 1945–50, pp 43–76
Capie, Forrest. The Bank of England: 1950s to 1979 (Cambridge University Press, 2010). xxviii + 890 pp. excerpt and text search
Fforde, John. The Role of the Bank of England, 1941–1958 (1992) excerpt and text search
Francis, John. History of the Bank of England: Its Times and Traditions excerpt and text search
Hennessy, Elizabeth. A Domestic History of the Bank of England, 1930–1960 (2008) excerpt and text search
Kynaston, David. 2017. Till Time's Last Sand: A History of the Bank of England, 1694–2013. Bloomsbury.
Lane, Nicholas. "The Bank of England in the Nineteenth Century." History Today (Aug 1960) 19#8 pp 535–541.
O'Brien, Patrick K.; Palma, Nuno (2022). "Not an ordinary bank but a great engine of state: The Bank of England and the British economy, 1694–1844". The Economic History Review.
Roberts, Richard, and David Kynaston. The Bank of England: Money, Power and Influence 1694–1994 (1995)
Sayers, R. S. The Bank of England, 1891–1944 (1986) excerpt and text search
Schuster, F. The Bank of England and the State
Wood, John H. A History of Central Banking in Great Britain and the United States (Cambridge University Press, 2005)
External links
1694 establishments in England
England
Banks established in 1694
Grade I listed buildings in the City of London
England
Economy of the United Kingdom
HM Treasury
Organisations based in London with royal patronage
Organisations based in the City of London
Public corporations of the United Kingdom with a Royal Charter
Herbert Baker buildings and structures
John Soane buildings
Georgian architecture in London
Neoclassical architecture in London
Grade I listed banks
Leeds Blue Plaques | 5 |
Bakelite ( ), formally Polyoxybenzylmethyleneglycolanhydride, is a thermosetting phenol formaldehyde resin, formed from a condensation reaction of phenol with formaldehyde. The first plastic made from synthetic components, it was developed by Leo Baekeland in Yonkers, New York in 1907, and patented on December 7, 1909 ().
Because of its electrical nonconductivity and heat-resistant properties, it became a great commercial success. It was used in electrical insulators, radio and telephone casings, and such diverse products as kitchenware, jewelry, pipe stems, children's toys, and firearms. The "retro" appeal of old Bakelite products has made them collectible.
The creation of a synthetic plastic was revolutionary for the chemical industry, which at the time made most of its income from cloth dyes and explosives. Bakelite's commercial success inspired the industry to develop other synthetic plastics. As the world's first commercial synthetic plastic, Bakelite was named a National Historic Chemical Landmark by the American Chemical Society.
History
Bakelite was produced for the first time in 1872 by Adolf von Baeyer though its use as a commercial product was not considered at the time.
Leo Baekeland was already wealthy due to his invention of Velox photographic paper when he began to investigate the reactions of phenol and formaldehyde in his home laboratory. Chemists had begun to recognize that many natural resins and fibers were polymers. Baekeland's initial intent was to find a replacement for shellac, a material in limited supply because it was made naturally from the secretion of lac insects (specifically Kerria lacca). He produced a soluble phenol-formaldehyde shellac called "Novolak", but it was not a market success, even though it is still used to this day (e.g., as a photoresist).
He then began experimenting on strengthening wood by impregnating it with a synthetic resin rather than coating it. By controlling the pressure and temperature applied to phenol and formaldehyde, he produced a hard moldable material that he named Bakelite, after himself. It was the first synthetic thermosetting plastic produced, and Baekeland speculated on "the thousand and one ... articles" it could be used to make. He considered the possibilities of using a wide variety of filling materials, including cotton, powdered bronze, and slate dust, but was most successful with wood and asbestos fibers, though asbestos was gradually abandoned by all manufacturers due to stricter environmental laws.
Baekeland filed a substantial number of related patents. Bakelite, his "method of making insoluble products of phenol and formaldehyde," was filed on July 13, 1907 and granted on December 7, 1909. He also filed for patent protection in other countries, including Belgium, Canada, Denmark, Hungary, Japan, Mexico, Russia and Spain. He announced his invention at a meeting of the American Chemical Society on February 5, 1909.
Baekeland started semi-commercial production of his new material in his home laboratory, marketing it as a material for electrical insulators. In the summer of 1909 he licensed the continental European rights to Rütger AG. The subsidiary formed at that time, Bakelite AG, was the first to produce Bakelite on an industrial scale.
By 1910, Baekeland was producing enough material in the US to justify expansion. He formed the General Bakelite Company of Perth Amboy, NJ as a U.S. company to manufacture and market his new industrial material, and made overseas connections to produce it in other countries.
The Bakelite Company produced "transparent" cast resin (which did not include filler) for a small market during the 1910s and 1920s. Blocks or rods of cast resin, also known as "artificial amber", were machined and carved to create items such as pipe stems, cigarette holders, and jewelry. However, the demand for molded plastics led the company to concentrate on molding rather than cast solid resins.
The Bakelite Corporation was formed in 1922 after patent litigation favorable to Baekeland, from a merger of three companies: Baekeland's General Bakelite Company; the Condensite Company, founded by J. W. Aylesworth; and the Redmanol Chemical Products Company, founded by Lawrence V. Redman. Under director of advertising and public relations Allan Brown, who came to Bakelite from Condensite, Bakelite was aggressively marketed as "the material of a thousand uses". A filing for a trademark featuring the letter B above the mathematical symbol for infinity was made August 25, 1925, and claimed the mark was in use as of December 1, 1924. A wide variety of uses were listed in their trademark applications.
The first issue of Plastics magazine, October 1925, featured Bakelite on its cover and included the article "Bakelite – What It Is" by Allan Brown. The range of colors that were available included "black, brown, red, yellow, green, gray, blue, and blends of two or more of these". The article emphasized that Bakelite came in various forms. "Bakelite is manufactured in several forms to suit varying requirements. In all these forms the fundamental basis is the initial Bakelite resin. This variety includes clear material, for jewelry, smokers' articles, etc.; cement, for sealing electric light bulbs in metal bases; varnishes, for impregnating electric coils, etc.; lacquers, for protecting the surface of hardware; enamels, for giving resistive coating to industrial equipment; Laminated Bakelite, used for silent gears and insulation; and molding material, from which are formed innumerable articles of utility and beauty. The molding material is prepared ordinarily by the impregnation of cellulose substances with the initial 'uncured' resin." In a 1925 report, the United States Tariff Commission hailed the commercial manufacture of synthetic phenolic resin as "distinctly an American achievement", and noted that "the publication of figures, however, would be a virtual disclosure of the production of an individual company".
In England, Bakelite Limited, a merger of three British phenol formaldehyde resin suppliers (Damard Lacquer Company Limited of Birmingham, Mouldensite Limited of Darley Dale and Redmanol Chemical Products Company of London), was formed in 1926. A new Bakelite factory opened in Tyseley, Birmingham, around 1928. It was the "heart of Bakelite production in the UK" until it closed in 1987.
A factory to produce phenolic resins and precursors opened in Bound Brook, New Jersey in 1931.
In 1939, the companies were acquired by Union Carbide and Carbon Corporation.
In 2005 German Bakelite manufacturer Bakelite AG was acquired by Borden Chemical of Columbus, Ohio, now Hexion Inc.
In addition to the original Bakelite material, these companies eventually made a wide range of other products, many of which were marketed under the brand name "Bakelite plastics". These included other types of cast phenolic resins similar to Catalin, and urea-formaldehyde resins, which could be made in brighter colors than polyoxybenzylmethyleneglycolanhydride.
Once Baekeland's heat and pressure patents expired in 1927, Bakelite Corporation faced serious competition from other companies. Because molded Bakelite incorporated fillers to give it strength, it tended to be made in concealing dark colors. In 1927, beads, bangles, and earrings were produced by the Catalin company, through a different process which enabled them to introduce 15 new colors. Translucent jewelry, poker chips and other items made of phenolic resins were introduced in the 1930s or 1940s by the Catalin company under the Prystal name. The creation of marbled phenolic resins may also be attributable to the Catalin company.
Synthesis
Making Bakelite is a multi-stage process. It begins with the heating of phenol and formaldehyde in the presence of a catalyst such as hydrochloric acid, zinc chloride, or the base ammonia. This creates a liquid condensation product, referred to as Bakelite A, which is soluble in alcohol, acetone, or additional phenol. Heated further, the product becomes partially soluble and can still be softened by heat. Sustained heating results in an "insoluble hard gum". However, the high temperatures required to create this tend to cause violent foaming of the mixture when done at standard atmospheric pressure, which results in the cooled material being porous and breakable. Baekeland's innovative step was to put his "last condensation product" into an egg-shaped "Bakelizer". By heating it under pressure, at about , Baekeland was able to suppress the foaming that would otherwise occur. The resulting substance is extremely hard and both infusible and insoluble.
Compression molding
Molded Bakelite forms in a condensation reaction of phenol and formaldehyde, with wood flour or asbestos fiber as a filler, under high pressure and heat in a time frame of a few minutes of curing. The result is a hard plastic material. Asbestos was gradually abandoned as filler because many countries banned the production of asbestos.
Bakelite's molding process had a number of advantages. Bakelite resin could be provided either as powder or as preformed partially cured slugs, increasing the speed of the casting. Thermosetting resins such as Bakelite required heat and pressure during the molding cycle but could be removed from the molding process without being cooled, again making the molding process faster. Also, because of the smooth polished surface that resulted, Bakelite objects required less finishing. Millions of parts could be duplicated quickly and relatively cheaply.
Phenolic sheet
Another market for Bakelite resin was the creation of phenolic sheet materials. A phenolic sheet is a hard, dense material made by applying heat and pressure to layers of paper or glass cloth impregnated with synthetic resin. Paper, cotton fabrics, synthetic fabrics, glass fabrics, and unwoven fabrics are all possible materials used in lamination. When heat and pressure are applied, polymerization transforms the layers into thermosetting industrial laminated plastic.
Bakelite phenolic sheet is produced in many commercial grades and with various additives to meet diverse mechanical, electrical, and thermal requirements. Some common types include:
Paper reinforced NEMA XX per MIL-I-24768 PBG. Normal electrical applications, moderate mechanical strength, continuous operating temperature of .
Canvas-reinforced NEMA C per MIL-I-24768 TYPE FBM NEMA CE per MIL-I-24768 TYPE FBG. Good mechanical and impact strength with a continuous operating temperature of .
Linen-reinforced NEMA L per MIL-I-24768 TYPE FBI NEMA LE per MIL-I-24768 TYPE FEI. Good mechanical and electrical strength. Recommended for intricate high-strength parts. Continuous operating temperature .
Nylon reinforced NEMA N-1 per MIL-I-24768 TYPE NPG. Superior electrical properties under humid conditions, fungus resistant, continuous operating temperature of .
Properties
Bakelite has a number of important properties. It can be molded very quickly, decreasing production time. Moldings are smooth, retain their shape, and are resistant to heat, scratches, and destructive solvents. It is also resistant to electricity, and prized for its low conductivity. It is not flexible.
Phenolic resin products may swell slightly under conditions of extreme humidity or perpetual dampness. When rubbed or burnt, Bakelite has a distinctive, acrid, sickly-sweet or fishy odor.
Applications and uses
The characteristics of Bakelite made it particularly suitable as a molding compound, an adhesive or binding agent, a varnish, and a protective coating. Bakelite was particularly suitable for the emerging electrical and automobile industries because of its extraordinarily high resistance to electricity, heat, and chemical action.
The earliest commercial use of Bakelite in the electrical industry was the molding of tiny insulating bushings, made in 1908 for the Weston Electrical Instrument Corporation by Richard W. Seabury of the Boonton Rubber Company. Bakelite was soon used for non-conducting parts of telephones, radios, and other electrical devices, including bases and sockets for light bulbs and electron tubes (vacuum tubes), supports for any type of electrical components, automobile distributor caps, and other insulators. By 1912, it was being used to make billiard balls, since its elasticity and the sound it made were similar to ivory.
During World War I, Bakelite was used widely, particularly in electrical systems. Important projects included the Liberty airplane engine, the wireless telephone and radio phone, and the use of micarta-bakelite propellers in the NBS-1 bomber and the DH-4B aeroplane.
Bakelite's availability and ease and speed of molding helped to lower the costs and increase product availability so that telephones and radios became common household consumer goods. It was also very important to the developing automobile industry. It was soon found in myriad other consumer products ranging from pipe stems and buttons to saxophone mouthpieces, cameras, early machine guns, and appliance casings. Bakelite was also very commonly used in making molded grip panels on handguns, as furniture for submachine guns and machineguns, the classic Bakelite magazines for Kalashnikov rifles, as well as numerous knife handles and "scales" through the first half of the 20th century.
Beginning in the 1920s, it became a popular material for jewelry. Designer Coco Chanel included Bakelite bracelets in her costume jewelry collections. Designers such as Elsa Schiaparelli used it for jewelry and also for specially designed dress buttons. Later, Diana Vreeland, editor of Vogue, was enthusiastic about Bakelite. Bakelite was also used to make presentation boxes for Breitling watches.
By 1930, designer Paul T. Frankl considered Bakelite a "Materia Nova", "expressive of our own age". By the 1930s, Bakelite was used for game pieces like chessmen, poker chips, dominoes and mahjong sets. Kitchenware made with Bakelite, including canisters and tableware, was promoted for its resistance to heat and to chipping. In the mid-1930s, Northland marketed a line of skis with a black "Ebonite" base, a coating of Bakelite. By 1935, it was used in solid-body electric guitars. Performers such as Jerry Byrd loved the tone of Bakelite guitars but found them difficult to keep in tune.
Charles Plimpton patented BAYKO in 1933 and rushed out his first construction sets for Christmas 1934. He called the toy Bayko Light Constructional Sets, the words "Bayko Light" being a pun on the word "Bakelite."
During World War II, Bakelite was used in a variety of wartime equipment including pilots' goggles and field telephones. It was also used for patriotic wartime jewelry. In 1943, the thermosetting phenolic resin was even considered for the manufacture of coins, due to a shortage of traditional material. Bakelite and other non-metal materials were tested for usage for the one cent coin in the US before the Mint settled on zinc-coated steel.
During World War II, Bakelite buttons were part of British uniforms. These included brown buttons for the Army and black buttons for the RAF.
In 1947, Dutch art forger Han van Meegeren was convicted of forgery, after chemist and curator Paul B. Coremans proved that a purported Vermeer contained Bakelite, which van Meegeren had used as a paint hardener.
Bakelite was sometimes used in the pistol grip, hand guard, and buttstock of firearms. The AKM and some early AK-74 rifles are frequently mistakenly identified as using Bakelite, but most were made with AG-4S.
By the late 1940s, newer materials were superseding Bakelite in many areas. Phenolics are less frequently used in general consumer products today due to their cost and complexity of production and their brittle nature. They still appear in some applications where their specific properties are required, such as small precision-shaped components, molded disc brake cylinders, saucepan handles, electrical plugs, switches and parts for electrical irons, Printed circuit boards, as well as in the area of inexpensive board and tabletop games produced in China, Hong Kong, and India. Items such as billiard balls, dominoes and pieces for board games such as chess, checkers, and backgammon are constructed of Bakelite for its look, durability, fine polish, weight, and sound. Common dice are sometimes made of Bakelite for weight and sound, but the majority are made of a thermoplastic polymer such as acrylonitrile butadiene styrene (ABS).
Bakelite continues to be used for wire insulation, brake pads and related automotive components, and industrial electrical-related applications. Bakelite stock is still manufactured and produced in sheet, rod, and tube form for industrial applications in the electronics, power generation, and aerospace industries, and under a variety of commercial brand names.
Phenolic resins have been commonly used in ablative heat shields. Soviet heatshields for ICBM warheads and spacecraft reentry consisted of asbestos textolite, impregnated with Bakelite. Bakelite is also used in the mounting of metal samples in metallography.
Collectible status
Bakelite items, particularly jewelry and radios, have become popular collectibles. The term Bakelite is sometimes used in the resale market to indicate various types of early plastics, including Catalin and Faturan, which may be brightly colored, as well as items made of Bakelite material.
Patents
The United States Patent and Trademark Office granted Baekeland a patent for a "Method of making insoluble products of phenol and formaldehyde" on December 7, 1909. Producing hard, compact, insoluble, and infusible condensation products of phenols and formaldehyde marked the beginning of the modern plastics industry.
Similar plastics
Catalin is also a phenolic resin, similar to Bakelite, but contains different mineral fillers that allow the production of light colors.
Condensites are similar thermoset materials having much the same properties, characteristics, and uses.
Crystalate is an early plastic.
Faturan is a phenolic resin, also similar to Bakelite, that turns red over time, regardless of its original color.
Galalith is an early plastic derived from milk products.
Micarta is an early composite insulating plate that used Bakelite as a binding agent. It was developed in 1910 by Westinghouse Elec. & Mfg Co.
Novotext is a brand name for cotton textile-phenolic resin.
See also
Bakelite Museum, Williton, Somerset, England
Ericsson DBH 1001 telephone
Prodema, a construction material with a bakelite core.
References
External links
All Things Bakelite: The Age of Plastic—trailer for a film by John Maher, with additional video & resources
Amsterdam Bakelite Collection
Large Bakelite Collection
Bakelite: The Material of a Thousand Uses
Virtual Bakelite Museum of Ghent 1907–2007
1909 introductions
Belgian inventions
Composite materials
Dielectrics
Phenol formaldehyde resins
Plastic brands
Thermosetting plastics | 8 |
The breast is one of two prominences located on the upper ventral region of a primate's torso. Both females and males develop breasts from the same embryological tissues.
In females, it serves as the mammary gland, which produces and secretes milk to feed infants. Subcutaneous fat covers and envelops a network of ducts that converge on the nipple, and these tissues give the breast its size and shape. At the ends of the ducts are lobules, or clusters of alveoli, where milk is produced and stored in response to hormonal signals. During pregnancy, the breast responds to a complex interaction of hormones, including estrogens, progesterone, and prolactin, that mediate the completion of its development, namely lobuloalveolar maturation, in preparation of lactation and breastfeeding.
Humans are the only animals with permanent breasts. At puberty, estrogens, in conjunction with growth hormone, cause permanent breast growth in female humans. This happens only to a much lesser extent in other primates—breast development in other primates generally only occurs with pregnancy. Along with their major function in providing nutrition for infants, female breasts have social and sexual characteristics. Breasts have been featured in ancient and modern sculpture, art, and photography. They can figure prominently in the perception of a woman's body and sexual attractiveness. A number of cultures associate breasts with sexuality and tend to regard bare breasts in public as immodest or indecent. Breasts, especially the nipples, are an erogenous zone.
Etymology and terminology
The English word breast derives from the Old English word ('breast, bosom') from Proto-Germanic (breast), from the Proto-Indo-European base (to swell, to sprout). The breast spelling conforms to the Scottish and North English dialectal pronunciations. The Merriam-Webster Dictionary states that "Middle English , [comes] from Old English ; akin to Old High German ..., Old Irish [belly], [and] Russian "; the first known usage of the term was before the 12th century.
A large number of colloquial terms for breasts are used in English, ranging from fairly polite terms to vulgar or slang. Some vulgar slang expressions may be considered to be derogatory or sexist to women.
Evolutionary development
Humans are the only mammals whose breasts become permanently enlarged after sexual maturity (known in humans as puberty). The reason for this evolutionary change is unknown. Several hypotheses have been put forward:
A link has been proposed to processes for synthesizing the endogenous steroid hormone precursor dehydroepiandrosterone which takes place in fat rich regions of the body like the buttocks and breasts. These contributed to human brain development and played a part in increasing brain size. Breast enlargement may for this purpose have occurred as early as Homo ergaster (1.7–1.4 MYA). Other breast formation hypotheses may have then taken over as principal drivers.
It has been suggested by zoologists Avishag and Amotz Zahavi that the size of the human breasts can be explained by the handicap theory of sexual dimorphism. This would see the explanation for larger breasts as them being an honest display of the women's health and ability to grow and carry them in her life. Prospective mates can then evaluate the genes of a potential mate for their ability to sustain her health even with the additional energy demanding burden she is carrying.
The zoologist Desmond Morris describes a sociobiological approach in his science book The Naked Ape. He suggests, by making comparisons with the other primates, that breasts evolved to replace swelling buttocks as a sex signal of ovulation. He notes how humans have, relatively speaking, large penises as well as large breasts. Furthermore, early humans adopted bipedalism and face-to-face coitus. He therefore suggested enlarged sexual signals helped maintain the bond between a mated male and female even though they performed different duties and therefore were separated for lengths of time.
The study The Evolution of the Human Breast (2001) proposed that the rounded shape of a woman's breast evolved to prevent the sucking infant offspring from suffocating while feeding at the teat; that is, because of the human infant's small jaw, which did not project from the face to reach the nipple, they might block the nostrils against the mother's breast if it were of a flatter form (cf. common chimpanzee). Theoretically, as the human jaw receded into the face, the woman's body compensated with round breasts.
Ashley Montague (1965) proposed that breasts came about as an adaptation for infant feeding for a different reason, as early human ancestors adopted bipedalism and the loss of body hair. Human upright stance meant infants must be carried at the hip or shoulder instead of on the back as in the apes. This gives the infant less opportunity to find the nipple or the purchase to cling on to the mother's body hair. The mobility of the nipple on a large breast in most human females gives the infant more ability to find grasp it and feed.
Other suggestions include simply that permanent breasts attracted mates, that "pendulous" breasts gave infants something to cling to, or that permanent breasts shared the function of a camel's hump, to store fat as an energy reserve.
Anatomy
In women, the breasts overlie the pectoralis major muscles and extend on average from the level of the second rib to the level of the sixth rib in the front of the rib cage; thus, the breasts cover much of the chest area and the chest walls. At the front of the chest, the breast tissue can extend from the clavicle (collarbone) to the middle of the sternum (breastbone). At the sides of the chest, the breast tissue can extend into the axilla (armpit), and can reach as far to the back as the latissimus dorsi muscle, extending from the lower back to the humerus bone (the bone of the upper arm). As a mammary gland, the breast is composed of differing layers of tissue, predominantly two types: adipose tissue; and glandular tissue, which affects the lactation functions of the breasts.
Morphologically the breast is tear-shaped. The superficial tissue layer (superficial fascia) is separated from the skin by 0.5–2.5 cm of subcutaneous fat (adipose tissue). The suspensory Cooper's ligaments are fibrous-tissue prolongations that radiate from the superficial fascia to the skin envelope. The female adult breast contains 14–18 irregular lactiferous lobes that converge at the nipple. The 2.0–4.5 mm milk ducts are immediately surrounded with dense connective tissue that support the glands. Milk exits the breast through the nipple, which is surrounded by a pigmented area of skin called the areola. The size of the areola can vary widely among women. The areola contains modified sweat glands known as Montgomery's glands. These glands secrete oily fluid that lubricate and protect the nipple during breastfeeding. Volatile compounds in these secretions may also serve as an olfactory stimulus for the newborn's appetite.
The dimensions and weight of the breast vary widely among women. A small-to-medium-sized breast weighs 500 grams (1.1 pounds) or less, and a large breast can weigh approximately 750 to 1,000 grams (1.7 to 2.2 pounds) or more. In terms of composition, the breasts are about 80 to 90% stromal tissue (fat and connective tissue), while epithelial or glandular tissue only accounts for about 10 to 20% of the volume of the breasts. The tissue composition ratios of the breast also vary among women. Some women's breasts have a higher proportion of glandular tissue than of adipose or connective tissues. The fat-to-connective-tissue ratio determines the density or firmness of the breast. During a woman's life, her breasts change size, shape, and weight due to hormonal changes during puberty, the menstrual cycle, pregnancy, breastfeeding, and menopause.
Glandular structure
The breast is an apocrine gland that produces the milk used to feed an infant. The nipple of the breast is surrounded by the areola (nipple-areola complex). The areola has many sebaceous glands, and the skin color varies from pink to dark brown. The basic units of the breast are the terminal duct lobular units (TDLUs), which produce the fatty breast milk. They give the breast its offspring-feeding functions as a mammary gland. They are distributed throughout the body of the breast. Approximately two-thirds of the lactiferous tissue is within 30 mm of the base of the nipple. The terminal lactiferous ducts drain the milk from TDLUs into 4–18 lactiferous ducts, which drain to the nipple. The milk-glands-to-fat ratio is 2:1 in a lactating woman, and 1:1 in a non-lactating woman. In addition to the milk glands, the breast is also composed of connective tissues (collagen, elastin), white fat, and the suspensory Cooper's ligaments. Sensation in the breast is provided by the peripheral nervous system innervation by means of the front (anterior) and side (lateral) cutaneous branches of the fourth-, fifth-, and sixth intercostal nerves. The T-4 nerve (Thoracic spinal nerve 4), which innervates the dermatomic area, supplies sensation to the nipple-areola complex.
Lymphatic drainage
Approximately 75% of the lymph from the breast travels to the axillary lymph nodes on the same side of the body, whilst 25% of the lymph travels to the parasternal nodes (beside the sternum bone). A small amount of remaining lymph travels to the other breast and to the abdominal lymph nodes. The subareolar region has a lymphatic plexus known as the "subareolar plexus of Sappey". The axillary lymph nodes include the pectoral (chest), subscapular (under the scapula), and humeral (humerus-bone area) lymph-node groups, which drain to the central axillary lymph nodes and to the apical axillary lymph nodes. The lymphatic drainage of the breasts is especially relevant to oncology because breast cancer is common to the mammary gland, and cancer cells can metastasize (break away) from a tumour and be dispersed to other parts of the body by means of the lymphatic system.
Shape, texture, and support
The morphologic variations in the size, shape, volume, tissue density, pectoral locale, and spacing of the breasts determine their natural shape, appearance, and position on a woman's chest. Breast size and other characteristics do not predict the fat-to-milk-gland ratio or the potential for the woman to nurse an infant. The size and the shape of the breasts are influenced by normal-life hormonal changes (thelarche, menstruation, pregnancy, menopause) and medical conditions (e.g. virginal breast hypertrophy). The shape of the breasts is naturally determined by the support of the suspensory Cooper's ligaments, the underlying muscle and bone structures of the chest, and by the skin envelope. The suspensory ligaments sustain the breast from the clavicle (collarbone) and the clavico-pectoral fascia (collarbone and chest) by traversing and encompassing the fat and milk-gland tissues. The breast is positioned, affixed to, and supported upon the chest wall, while its shape is established and maintained by the skin envelope. In most women, one breast is slightly larger than the other. More obvious and persistent asymmetry in breast size occurs in up to 25% of women.
While it is a common belief that breastfeeding causes breasts to sag, researchers have found that a woman's breasts sag due to four key factors: cigarette smoking, number of pregnancies, gravity, and weight loss or gain.
The base of each breast is attached to the chest by the deep fascia over the pectoralis major muscles. The space between the breast and the pectoralis major muscle, called retromammary space, gives mobility to the breast.
The chest (thoracic cavity) progressively slopes outwards from the thoracic inlet (atop the breastbone) and above to the lowest ribs that support the breasts. The inframammary fold, where the lower portion of the breast meets the chest, is an anatomic feature created by the adherence of the breast skin and the underlying connective tissues of the chest; the IMF is the lower-most extent of the anatomic breast. Normal breast tissue typically has a texture that feels nodular or granular, to an extent that varies considerably from woman to woman.
Development
The breasts are principally composed of adipose, glandular, and connective tissues. Because these tissues have hormone receptors, their sizes and volumes fluctuate according to the hormonal changes particular to thelarche (sprouting of breasts), menstruation (egg production), pregnancy (reproduction), lactation (feeding of offspring), and menopause (end of menstruation).
Puberty
The morphological structure of the human breast is identical in males and females until puberty. For pubescent girls in thelarche (the breast-development stage), the female sex hormones (principally estrogens) in conjunction with growth hormone promote the sprouting, growth, and development of the breasts. During this time, the mammary glands grow in size and volume and begin resting on the chest. These development stages of secondary sex characteristics (breasts, pubic hair, etc.) are illustrated in the five-stage Tanner scale.
During thelarche the developing breasts are sometimes of unequal size, and usually the left breast is slightly larger. This condition of asymmetry is transitory and statistically normal in female physical and sexual development. Medical conditions can cause overdevelopment (e.g., virginal breast hypertrophy, macromastia) or underdevelopment (e.g., tuberous breast deformity, micromastia) in girls and women.
Approximately two years after the onset of puberty (a girl's first menstrual cycle), estrogen and growth hormone stimulate the development and growth of the glandular fat and suspensory tissues that compose the breast. This continues for approximately four years until the final shape of the breast (size, volume, density) is established at about the age of 21. Mammoplasia (breast enlargement) in girls begins at puberty, unlike all other primates in which breasts enlarge only during lactation.
Changes during the menstrual cycle
During the menstrual cycle, the breasts are enlarged by premenstrual water retention and temporary growth.
Pregnancy and breastfeeding
The breasts reach full maturity only when a woman's first pregnancy occurs. Changes to the breasts are among the first signs of pregnancy. The breasts become larger, the nipple-areola complex becomes larger and darker, the Montgomery's glands enlarge, and veins sometimes become more visible. Breast tenderness during pregnancy is common, especially during the first trimester. By mid-pregnancy, the breast is physiologically capable of lactation and some women can express colostrum, a form of breast milk.
Pregnancy causes elevated levels of the hormone prolactin, which has a key role in the production of milk. However, milk production is blocked by the hormones progesterone and estrogen until after delivery, when progesterone and estrogen levels plummet.
Menopause
At menopause, breast atrophy occurs. The breasts can decrease in size when the levels of circulating estrogen decline. The adipose tissue and milk glands also begin to wither. The breasts can also become enlarged from adverse side effects of combined oral contraceptive pills. The size of the breasts can also increase and decrease in response to weight fluctuations. Physical changes to the breasts are often recorded in the stretch marks of the skin envelope; they can serve as historical indicators of the increments and the decrements of the size and volume of a woman's breasts throughout the course of her life.
Breastfeeding
The primary function of the breasts, as mammary glands, is the nourishing of an infant with breast milk. Milk is produced in milk-secreting cells in the alveoli. When the breasts are stimulated by the suckling of her baby, the mother's brain secretes oxytocin. High levels of oxytocin trigger the contraction of muscle cells surrounding the alveoli, causing milk to flow along the ducts that connect the alveoli to the nipple.
Full-term newborns have an instinct and a need to suck on a nipple, and breastfed babies nurse for both nutrition and for comfort. Breast milk provides all necessary nutrients for the first six months of life, and then remains an important source of nutrition, alongside solid foods, until at least one or two years of age.
Clinical significance
The breast is susceptible to numerous benign and malignant conditions. The most frequent benign conditions are puerperal mastitis, fibrocystic breast changes and mastalgia.
Lactation unrelated to pregnancy is known as galactorrhea. It can be caused by certain drugs (such as antipsychotic medications), extreme physical stress, or endocrine disorders. Lactation in newborns is caused by hormones from the mother that crossed into the baby's bloodstream during pregnancy.
Breast cancer
Breast cancer is the most common cause of cancer death among women and it is one of the leading causes of death among women. Factors that appear to be implicated in decreasing the risk of breast cancer are regular breast examinations by health care professionals, regular mammograms, self-examination of breasts, healthy diet, exercise to decrease excess body fat, and breastfeeding.
Male breasts
Both females and males develop breasts from the same embryological tissues. Anatomically, male breasts do not normally contain lobules and acini that are present in females. In rare instances it is possible for very few lobules to be present, this makes it possible for some men to develop lobular carcinoma of the breast. Normally, males produce lower levels of estrogens and higher levels of androgens, namely testosterone, which suppress the effects of estrogens in developing excessive breast tissue. In boys and men, abnormal breast development is manifested as gynecomastia, the consequence of a biochemical imbalance between the normal levels of estrogen and testosterone in the male body. Around 70% of boys temporarily develop breast tissue during adolescence. The condition usually resolves by itself within two years. When male lactation occurs, it is considered a symptom of a disorder of the pituitary gland.
Plastic surgery
Plastic surgery can be performed to augment or reduce the size of breasts, or reconstruct the breast in cases of deformative disease, such as breast cancer. Breast augmentation and breast lift (mastopexy) procedures are done only for cosmetic reasons, whereas breast reduction is sometimes medically indicated. In cases where a woman's breasts are severely asymmetrical, surgery can be performed to either enlarge the smaller breast, reduce the size of the larger breast, or both.
Breast augmentation surgery generally does not interfere with future ability to breastfeed. Breast reduction surgery more frequently leads to decreased sensation in the nipple-areola complex, and to low milk supply in women who choose to breastfeed. Implants can interfere with mammography (breast x-rays images).
Society and culture
General
In Christian iconography, some works of art depict women with their breasts in their hands or on a platter, signifying that they died as a martyr by having their breasts severed; one example of this is Saint Agatha of Sicily.
Femen is a feminist activist group which uses topless protests as part of their campaigns against sex tourism religious institutions, sexism, and homophobia. Femen activists have been regularly detained by police in response to their protests.
There is a long history of female breasts being used by comedians as a subject for comedy fodder (e.g., British comic Benny Hill's burlesque/slapstick routines).
Art history
In European pre-historic societies, sculptures of female figures with pronounced or highly exaggerated breasts were common. A typical example is the so-called Venus of Willendorf, one of many Paleolithic Venus figurines with ample hips and bosom. Artifacts such as bowls, rock carvings and sacred statues with breasts have been recorded from 15,000 BC up to late antiquity all across Europe, North Africa and the Middle East.
Many female deities representing love and fertility were associated with breasts and breast milk. Figures of the Phoenician goddess Astarte were represented as pillars studded with breasts. Isis, an Egyptian goddess who represented, among many other things, ideal motherhood, was often portrayed as suckling pharaohs, thereby confirming their divine status as rulers. Even certain male deities representing regeneration and fertility were occasionally depicted with breast-like appendices, such as the river god Hapy who was considered to be responsible for the annual overflowing of the Nile.
Female breasts were also prominent in Minoan art in the form of the famous Snake Goddess statuettes, and a few other pieces, though most female breasts are covered. In Ancient Greece there were several cults worshipping the "Kourotrophos", the suckling mother, represented by goddesses such as Gaia, Hera and Artemis. The worship of deities symbolized by the female breast in Greece became less common during the first millennium. The popular adoration of female goddesses decreased significantly during the rise of the Greek city states, a legacy which was passed on to the later Roman Empire.
During the middle of the first millennium BC, Greek culture experienced a gradual change in the perception of female breasts. Women in art were covered in clothing from the neck down, including female goddesses like Athena, the patron of Athens who represented heroic endeavor. There were exceptions: Aphrodite, the goddess of love, was more frequently portrayed fully nude, though in postures that were intended to portray shyness or modesty, a portrayal that has been compared to modern pin ups by historian Marilyn Yalom. Although nude men were depicted standing upright, most depictions of female nudity in Greek art occurred "usually with drapery near at hand and with a forward-bending, self-protecting posture". A popular legend at the time was of the Amazons, a tribe of fierce female warriors who socialized with men only for procreation and even removed one breast to become better warriors (the idea being that the right breast would interfere with the operation of a bow and arrow). The legend was a popular motif in art during Greek and Roman antiquity and served as an antithetical cautionary tale.
Body image
Many women regard their breasts as important to their sexual attractiveness, as a sign of femininity that is important to their sense of self. A woman with smaller breasts may regard her breasts as less attractive.
Clothing
Because breasts are mostly fatty tissue, their shape can—within limits—be molded by clothing, such as foundation garments. Bras are commonly worn by about 90% of Western women, and are often worn for support. The social norm in most Western cultures is to cover breasts in public, though the extent of coverage varies depending on the social context. Some religions ascribe a special status to the female breast, either in formal teachings or through symbolism. Islam forbids free women from exposing their breasts in public.
Many cultures, including Western cultures in North America, associate breasts with sexuality and tend to regard bare breasts as immodest or indecent. In some cultures, like the Himba in northern Namibia, bare-breasted women are normal. In some African cultures, for example, the thigh is regarded as highly sexualised and never exposed in public, but breast exposure is not taboo. In a few Western countries and regions female toplessness at a beach is acceptable, although it may not be acceptable in the town center.
Social attitudes and laws regarding breastfeeding in public vary widely. In many countries, breastfeeding in public is common, legally protected, and generally not regarded as an issue. However, even though the practice may be legal or socially accepted, some mothers may nevertheless be reluctant to expose a breast in public to breastfeed due to actual or potential objections by other people, negative comments, or harassment. It is estimated that around 63% of mothers across the world have publicly breast-fed. Bare-breasted women are legal and culturally acceptable at public beaches in Australia and much of Europe. Filmmaker Lina Esco made a film entitled Free the Nipple, which is about "...laws against female toplessness or restrictions on images of female, but not male, nipples", which Esco states is an example of sexism in society.
Sexual characteristic
In some cultures, breasts play a role in human sexual activity. Breasts and especially the nipples are among the various human erogenous zones. They are sensitive to the touch as they have many nerve endings; and it is common to press or massage them with hands or orally before or during sexual activity. During sexual arousal, breast size increases, venous patterns across the breasts become more visible, and nipples harden. Compared to other primates, human breasts are proportionately large throughout adult females' lives. Some writers have suggested that they may have evolved as a visual signal of sexual maturity and fertility.
Many people regard bare female breasts to be aesthetically pleasing or erotic, and they can elicit heightened sexual desires in men in many cultures. In the ancient Indian work the Kama Sutra, light scratching of the breasts with nails and biting with teeth are considered erotic. Some people show a sexual interest in female breasts distinct from that of the person, which may be regarded as a breast fetish. A number of Western fashions include clothing which accentuate the breasts, such as the use of push-up bras and decollete (plunging neckline) gowns and blouses which show cleavage. While U.S. culture prefers breasts that are youthful and upright, some cultures venerate women with drooping breasts, indicating mothering and the wisdom of experience.
Research conducted at the Victoria University of Wellington showed that breasts are often the first thing men look at, and for a longer time than other body parts. The writers of the study had initially speculated that the reason for this is due to endocrinology with larger breasts indicating higher levels of estrogen and a sign of greater fertility, but the researchers said that "Men may be looking more often at the breasts because they are simply aesthetically pleasing, regardless of the size."
Some women report achieving an orgasm from nipple stimulation, but this is rare. Research suggests that the orgasms are genital orgasms, and may also be directly linked to "the genital area of the brain". In these cases, it seems that sensation from the nipples travels to the same part of the brain as sensations from the vagina, clitoris and cervix. Nipple stimulation may trigger uterine contractions, which then produce a sensation in the genital area of the brain.
Anthropomorphic geography
There are many mountains named after the breast because they resemble it in appearance and so are objects of religious and ancestral veneration as a fertility symbol and of well-being. In Asia, there was "Breast Mountain", which had a cave where the Buddhist monk Bodhidharma (Da Mo) spent much time in meditation. Other such breast mountains are Mount Elgon on the Uganda–Kenya border; and the Maiden Paps in Scotland; the ('Maiden's breast mountains') in Talim Island, Philippines, the twin hills known as the Paps of Anu ( or 'the breasts of Anu'), near Killarney in Ireland; the 2,086 m high or in the , Spain; in Thailand, in Puerto Rico; and the Breasts of Aphrodite in Mykonos, among many others. In the United States, the Teton Range is named after the French word for 'nipple'.
Measurement
The maturation and size of the breasts can be measured by a variety of different methods. These include Tanner staging, bra cup size, breast volume, breast–chest difference, the breast unit, breast hemicircumference, and breast circumference, among other measures.
See also
Udder
References
Bibliography
Morris, Desmond The Naked Ape: a zoologist's study of the human animal Bantam Books, Canada. 1967
External links
Breastfeeding
Human sexuality | 5 |
Baghdad (; ) is the capital of Iraq and the second-largest city in the Arab world after Cairo. It is located on the Tigris river. In 762 AD, Baghdad was chosen as the capital of the Abbasid Caliphate, and became its most notable major development project. Within a short time, the city evolved into a significant cultural, commercial, and intellectual center of the Muslim world. This, in addition to housing several key academic institutions, including the House of Wisdom, as well as a multiethnic and multi-religious environment, garnered it a worldwide reputation as the "Center of Learning".
For much of the Abbasid era, during the Islamic Golden Age, Baghdad was the largest city in the world. Its population peaked at more than one million people. The city was largely destroyed at the hands of the Mongol Empire in 1258, resulting in a decline that would linger through many centuries due to frequent plagues and multiple successive empires. With the recognition of Iraq as an independent state (formerly the British Mandate of Mesopotamia) in 1932, Baghdad gradually regained some of its former prominence as a significant center of Arab culture, with a population variously estimated at 6 or over 7 million. Compared to its large population, it has a small area at just 673 square kilometers (260 sq mi).
The city has faced severe infrastructural damage due to the Iraq War, which began with the United States-led invasion of Iraq in 2003 and lasted until 2011, and the subsequent insurgency and renewed war that lasted until 2017, resulting in a substantial loss of cultural heritage and historical artifacts. During this period, Baghdad had one of the highest rates of terrorist attacks in the world. However, terrorist attacks have gradually been on the decline since the territorial defeat of the Islamic State militant group in Iraq in 2017.
Name
The name Baghdad is pre-Islamic, and its origin is disputed. The site where the city of Baghdad developed has been populated for millennia. Archaeological evidence shows that the site of Baghdad was occupied by various peoples long before the Arab conquest of Mesopotamia in 637 CE, and several ancient empires had capitals located in the surrounding area.
Arab authors, realizing the pre-Islamic origins of Baghdad's name, generally looked for its roots in Middle Persian. They suggested various meanings, the most common of which was "bestowed by God". Modern scholars generally tend to favor this etymology, which views the word as a Persian compound of bagh () "god" and dād () "given". In Old Persian the first element can be traced to boghu and is related to Indo-Iranian bhag and Slavic bog "god." A similar term in Middle Persian is the name Mithradāt (Mehrdad in New Persian), known in English by its borrowed Hellenistic form Mithridates, meaning "Given by Mithra" (dāt is the more archaic form of dād, related to Sanskrit dāt, Latin dat and English donor), ultimately borrowed from Persian Mehrdad. There are a number of other locations whose names are compounds of the Middle Persian word bagh, including Baghlan and Bagram in Afghanistan, Baghshan in Iran itself, and Baghdati in Georgia, which likely share the same etymological Iranic origins.
Other authors have suggested older origins for the name, in particular the name Bagdadu or Hudadu that existed in Old Babylonian (spelled with a sign that can represent both bag and hu), and the Jewish Babylonian Aramaic name of a place called "Baghdatha" (. Some scholars suggested Aramaic derivations. In Hindu Puranas, It is mentioned that the city was named after King Bhagadatta.
Another view, suggested by Christophe Wall-Romana, is that name of "Baghdad" is derived from "Akkad", as the cuneiform logogram for Akkad (𒀀𒂵𒉈𒆠) is pronounced "a-ga-dèKI" ("Agade") and its resemblance to "Baghdad" is compelling.
When the Abbasid caliph al-Mansur founded a completely new city for his capital, he chose the name City of Peace (Arabic: مدینه السلام), which now refers to the Round city of Baghdad proper. This was the official name on coins, weights, and other official usage, although the common people continued to use the old name. By the 11th century, "Baghdad" became almost the exclusive name for the world-renowned metropolis.
Christophe Wall-Romana has suggested that al-Mansur's choice to found his 'new city' at Baghdad because of its strategic location was the same criteria which influenced Sargon's choice to found the original city of Akkad in the exact same location.
History
Foundation
After the fall of the Umayyads, the first Muslim dynasty, the victorious Abbasid rulers wanted their own capital from which they could rule. They chose a site north of the Sassanid capital of Ctesiphon, and on 30 July 762 the caliph Al-Mansur commissioned the construction of the city. It was built under the guidance of the Barmakids. Mansur believed that Baghdad was the perfect city to be the capital of the Islamic Empire under the Abbasids. The Muslim historian al-Tabari reported an ancient prediction by Christian monks that a lord named Miklas would one day build a spectacular city around the area of Baghdad. When Mansur heard the story, he became very joyful, for legend has it, he was called Miklas as a child. Mansur loved the site so much he is quoted saying: "This is indeed the city that I am to found, where I am to live, and where my descendants will reign afterward".
The city's growth was helped by its excellent location, based on at least two factors: it had control over strategic and trading routes along the Tigris, and it had an abundance of water in a dry climate. Water exists on both the north and south ends of the city, allowing all households to have a plentiful supply, which was quite uncommon during this time. The city of Baghdad quickly became so large that it had to be divided into three judicial districts: Madinat al-Mansur (the Round City), al-Sharqiyya (Karkh) and Askar al-Mahdi (on the West Bank).
Baghdad eclipsed Ctesiphon, the capital of the Sassanians, which was located some to the southeast. Today, all that remains of Ctesiphon is the shrine town of Salman Pak, just to the south of Greater Baghdad which is where Salman the Persian is believed to have been buried. Ctesiphon itself had replaced and absorbed Seleucia, the first capital of the Seleucid Empire, which had earlier replaced the city of Babylon.
According to the traveler Ibn Battuta, Baghdad was one of the largest cities, not including the damage it has received. The residents are mostly Hanbal. Baghdad is also home to the grave of Abu Hanifa where there is a cell and a mosque above it. The Sultan of Baghdad, Abu Said Bahadur Khan, was a Tatar king who embraced Islam.
In its early years, the city was known as a deliberate reminder of an expression in the Qur'an, when it refers to Paradise. It took four years to build (764–768). Mansur assembled engineers, surveyors, and art constructionists from around the world to come together and draw up plans for the city. Over 100,000 construction workers came to survey the plans; many were distributed salaries to start the building of the city. July was chosen as the starting time because two astrologers, Naubakht Ahvazi and Mashallah, believed that the city should be built under the sign of the lion, Leo. Leo is associated with fire and symbolizes productivity, pride, and expansion and Leo's connection symbolically to Mithra.
The bricks used to make the city were on all four sides. Abu Hanifah was the counter of the bricks and he developed a canal, which brought water to the work site for both human consumption and the manufacture of the bricks. Marble was also used to make buildings throughout the city, and marble steps led down to the river's edge.
The basic framework of the city consists of two large semicircles about in diameter. The inner city connecting them was designed as a circle about in diameter, leading it to be known as the "Round City". The original design shows a single ring of residential and commercial structures along the inside of the city walls, but the final construction added another ring inside the first. Within the city there were many parks, gardens, villas, and promenades. There was a large sanitation department, many fountains and public baths, and unlike contemporary European cities at the time, streets were frequently washed free of debris and trash. In fact, by the time of Harun al-Rashid, Baghdad had a few thousand hammams. These baths increased public hygiene and served as a way for the religious to perform ablutions as prescribed by Islam. Moreover, entry fees were usually so low that almost everyone could afford them. In the center of the city lay the mosque, as well as headquarters for guards. The purpose or use of the remaining space in the center is unknown. The circular design of the city was a direct reflection of the traditional Persian Sasanian urban design. The Sasanian city of Gur in Fars, built 500 years before Baghdad, is nearly identical in its general circular design, radiating avenues, and the government buildings and temples at the center of the city. This style of urban planning contrasted with Ancient Greek and Roman urban planning, in which cities are designed as squares or rectangles with streets intersecting each other at right angles.
Baghdad was a hectic city during the day and had many attractions at night. There were cabarets and taverns, halls for backgammon and chess, live plays, concerts, and acrobats. On street corners, storytellers engaged crowds with tales such as those later told in Arabian Nights.
Surrounding walls
The four surrounding walls of Baghdad were named Kufa, Basra, Khurasan, and Syria; named because their gates pointed in the directions of these destinations. The distance between these gates was a little less than . Each gate had double doors that were made of iron; the doors were so heavy it took several men to open and close them. The wall itself was about 44 m thick at the base and about 12 m thick at the top. Also, the wall was 30 m high, which included merlons, a solid part of an embattled parapet usually pierced by embrasures. This wall was surrounded by another wall with a thickness of 50 m. The second wall had towers and rounded merlons, which surrounded the towers. This outer wall was protected by a solid glacis, which is made out of bricks and quicklime. Beyond the outer wall was a water-filled moat.
Golden Gate Palace
The Golden Gate Palace, the residence of the caliph and his family, was in the heart of Baghdad, in the central square. In the central part of the building, there was a green dome that was 39 m high. Surrounding the palace was an esplanade, a waterside building, in which only the caliph could come riding on horseback. In addition, the palace was near other mansions and officer's residences. Near the Gate of Syria, a building served as the home for the guards. It was made of brick and marble. The palace governor lived in the latter part of the building and the commander of the guards in the front. In 813, after the death of caliph Al-Amin, the palace was no longer used as the home for the caliph and his family. The roundness points to the fact that it was based on Arabic script. The two designers who were hired by Al-Mansur to plan the city's design were Naubakht, a Zoroastrian who also determined that the date of the foundation of the city would be astrologically auspicious, and Mashallah, a Jew from Khorasan, Iran.
Center of learning (8th–9th centuries)
Within a generation of its founding, Baghdad became a hub of learning and commerce. The city flourished into an unrivaled intellectual center of science, medicine, philosophy, and education, especially with the Abbasid translation movement began under the second caliph Al-Mansur and thrived under the seventh caliph Al-Ma'mun. Baytul-Hikmah or the "House of Wisdom" was among the most well known academies, and had the largest selection of books in the world by the middle of the 9th century. Notable scholars based in Baghdad during this time include translator Hunayn ibn Ishaq, mathematician al-Khwarizmi, and philosopher Al-Kindi. Although Arabic was used as the international language of science, the scholarship involved not only Arabs, but also Persians, Syriacs, Nestorians, Jews, Arab Christians, and people from other ethnic and religious groups native to the region. These are considered among the fundamental elements that contributed to the flourishing of scholarship in the Medieval Islamic world. Baghdad was also a significant center of Islamic religious learning, with Al-Jahiz contributing to the formation of Mu'tazili theology, as well as Al-Tabari culminating in the scholarship on the Quranic exegesis. Baghdad is likely to have been the largest city in the world from shortly after its foundation until the 930s, when it tied with Córdoba. Several estimates suggest that the city contained over a million inhabitants at its peak. Many of the One Thousand and One Nights tales, widely known as the Arabian Nights, are set in Baghdad during this period. It would surpass even Constantinople in prosperity and size.
Among the notable features of Baghdad during this period were its exceptional libraries. Many of the Abbasid caliphs were patrons of learning and enjoyed collecting both ancient and contemporary literature. Although some of the princes of the previous Umayyad dynasty had begun to gather and translate Greek scientific literature, the Abbasids were the first to foster Greek learning on a large scale. Many of these libraries were private collections intended only for the use of the owners and their immediate friends, but the libraries of the caliphs and other officials soon took on a public or a semi-public character. Four great libraries were established in Baghdad during this period. The earliest was that of the famous Al-Ma'mun, who was caliph from 813 to 833. Another was established by Sabur ibn Ardashir in 991 or 993 for the literary men and scholars who frequented his academy. This second library was plundered and burned by the Seljuks only seventy years after it was established. This was a good example of the sort of library built up out of the needs and interests of a literary society. The last two were examples of madrasa or theological college libraries. The Nezamiyeh was founded by the Persian Nizam al-Mulk, who was vizier of two early Seljuk sultans. It continued to operate even after the coming of the Mongols in 1258. The Mustansiriyah madrasa, which owned an exceedingly rich library, was founded by Al-Mustansir, the second last Abbasid caliph, who died in 1242. This would prove to be the last great library built by the caliphs of Baghdad.
Stagnation and invasions (10th–16th centuries)
By the 10th century, the city's population was between 1.2 million and 2 million. Baghdad's early meteoric growth eventually slowed due to troubles within the Caliphate, including relocations of the capital to Samarra (during 808–819 and 836–892), the loss of the western and easternmost provinces, and periods of political domination by the Iranian Buwayhids (945–1055) and Seljuk Turks (1055–1135).
The Seljuks were a clan of the Oghuz Turks from Central Asia that converted to the Sunni branch of Islam. In 1040, they destroyed the Ghaznavids, taking over their land and in 1055, Tughril Beg, the leader of the Seljuks, took over Baghdad. The Seljuks expelled the Buyid dynasty of Shiites that had ruled for some time and took over power and control of Baghdad. They ruled as Sultans in the name of the Abbasid caliphs (they saw themselves as being part of the Abbasid regime). Tughril Beg saw himself as the protector of the Abbasid Caliphs.
Sieges and wars in which Baghdad was involved are listed below:
Siege of Baghdad (812–813), Fourth Fitna (Caliphal Civil War)
Siege of Baghdad (865), Abbasid civil war (865–866)
Battle of Baghdad (946), Buyid–Hamdanid War
Siege of Baghdad (1157), Abbasid–Seljuq Wars
Siege of Baghdad (1258), Mongol conquest of Baghdad
Siege of Baghdad (1393), by Tamerlane
Siege of Baghdad (1401), by Tamerlane
Capture of Baghdad (1534), Ottoman–Safavid Wars
Capture of Baghdad (1623), Ottoman–Safavid Wars
Capture of Baghdad (1638), Ottoman–Safavid Wars
In 1058, Baghdad was captured by the Fatimids under the Turkish general Abu'l-Ḥārith Arslān al-Basasiri, an adherent of the Ismailis along with the 'Uqaylid Quraysh. Not long before the arrival of the Saljuqs in Baghdad, al-Basasiri petitioned to the Fatimid Imam-Caliph al-Mustansir to support him in conquering Baghdad on the Ismaili Imam's behalf. It has recently come to light that the famed Fatimid da'i, al-Mu'ayyad al-Shirazi, had a direct role in supporting al-Basasiri and helped the general to succeed in taking Mawṣil, Wāsit and Kufa. Soon after, by December 1058, a Shi'i adhān (call to prayer) was implemented in Baghdad and a khutbah (sermon) was delivered in the name of the Fatimid Imam-Caliph. Despite his Shi'i inclinations, Al-Basasiri received support from Sunnis and Shi'is alike, for whom opposition to the Saljuq power was a common factor.
On 10 February 1258, Baghdad was captured by the Mongols led by Hulegu, a grandson of Chingiz Khan (Genghis Khan), during the siege of Baghdad. Many quarters were ruined by fire, siege, or looting. The Mongols massacred most of the city's inhabitants, including the caliph Al-Musta'sim, and destroyed large sections of the city. The canals and dykes forming the city's irrigation system were also destroyed. During this time, in Baghdad, Christians and Shia were tolerated, while Sunnis were treated as enemies. The sack of Baghdad put an end to the Abbasid Caliphate. It has been argued that this marked an end to the Islamic Golden Age and served a blow from which Islamic civilization never fully recovered.
At this point, Baghdad was ruled by the Ilkhanate, a breakaway state of the Mongol Empire, ruling from Iran. In August 1393, Baghdad was occupied by the Central Asian Turkic conqueror Timur ("Tamerlane"), by marching there in only eight days from Shiraz. Sultan Ahmad Jalayir fled to Syria, where the Mamluk Sultan Barquq protected him and killed Timur's envoys. Timur left the Sarbadar prince Khwaja Mas'ud to govern Baghdad, but he was driven out when Ahmad Jalayir returned.
In 1401, Baghdad was again sacked, by Timur. When his forces took Baghdad, he spared almost no one, and ordered that each of his soldiers bring back two severed human heads. Baghdad became a provincial capital controlled by the Mongol Jalayirid (1400–1411), Turkic Kara Koyunlu (1411–1469), Turkic Ak Koyunlu (1469–1508), and the Iranian Safavid (1508–1534) dynasties.
Ottoman and mamluks (16th–19th centuries)
In 1534, Baghdad was captured by the Ottoman Empire. Under the Ottomans, Baghdad continued into a period of decline, partially as a result of the enmity between its rulers and Iranian Safavids, which did not accept the Sunni control of the city. Between 1623 and 1638, it returned to Iranian rule before falling back into Ottoman hands. Baghdad has suffered severely from visitations of the plague and cholera, and sometimes two-thirds of its population has been wiped out.
For a time, Baghdad had been the largest city in the Middle East. The city saw relative revival in the latter part of the 18th century, under a Mamluk government. Direct Ottoman rule was reimposed by Ali Rıza Pasha in 1831. From 1851 to 1852 and from 1861 to 1867, Baghdad was governed, under the Ottoman Empire by Mehmed Namık Pasha. The Nuttall Encyclopedia reports the 1907 population of Baghdad as 185,000.
Modern era
Baghdad and southern Iraq remained under Ottoman rule until 1917, when they were captured by the British during World War I. In 1920, Baghdad became the capital of the British Mandate of Mesopotamia, with several architectural and planning projects commissioned to reinforce this administration. After receiving independence in 1932, the city became capital of the Kingdom of Iraq.
During this period, the substantial Jewish community (probably exceeding 100,000 people) comprised between a quarter and a third of the city's population. On 1 April 1941, members of the "Golden Square" and Rashid Ali staged a coup in Baghdad. Rashid Ali installed a pro-German and pro-Italian government to replace the pro-British government of Regent Abd al-Ilah. On 31 May, after the resulting Anglo-Iraqi War and after Rashid Ali and his government had fled, the Mayor of Baghdad surrendered to British and Commonwealth forces. On 1–2 June, during the ensuing power vacuum, Jewish residents were attacked following rumors they had aided the British. In what became known as the Farhud, over 180 Jews were killed, 1,000 injured and hundreds of Jewish properties were ransacked. Between 300 and 400 non-Jewish rioters were killed in the attempt to quell the violence.
The city's population grew from an estimated 145,000 in 1900 to 580,000 in 1950. On 14 July 1958, members of the Iraqi Army, under Abd al-Karim Qasim, staged a coup to topple the Kingdom of Iraq. King Faisal II, former Prime Minister Nuri al-Said, former Regent Prince 'Abd al-Ilah, members of the royal family, and others were brutally killed during the coup. Many of the victim's bodies were then dragged through the streets of Baghdad.
During the 1970s, Baghdad experienced a period of prosperity and growth because of a sharp increase in the price of petroleum, Iraq's main export. New infrastructure including modern sewerage, water, and highway facilities were built during this period. The masterplans of the city (1967, 1973) were delivered by the Polish planning office Miastoprojekt-Kraków, mediated by Polservice. However, the Iran–Iraq War of the 1980s was a difficult time for the city, as money was diverted by Saddam Hussein to the army and thousands of residents were killed. Iran launched a number of missile attacks against Baghdad in retaliation for Saddam Hussein's continuous bombardments of Tehran's residential districts. In 1991 and 2003, the Gulf War and the US invasion of Iraq caused significant damage to Baghdad's transportation, power, and sanitary infrastructure as the US-led coalition forces launched massive aerial assaults in the city in the two wars. Also in 2003, a minor riot in the city (which took place on 21 July) caused some disturbance in the population. The historic "Assyrian Quarter" of the city, Dora, which boasted a population of 150,000 Assyrians in 2003, made up over 3% of the capital's Assyrian population then. The community has been subject to kidnappings, death threats, vandalism, and house burnings by al-Qaeda and other insurgent groups. As of the end of 2014, only 1,500 Assyrians remained in Dora. The Iraq War took place from 2003 to 2011, but an Islamist insurgency lasted until 2013. It was followed by another war from 2013 to 2017 and a low-level insurgency from 2017, which included suicide bombings in January 2018 and January 2021. Priceless collection of artifacts in the National Museum of Iraq was looted by Iraqi citizens during the 2003 US-led invasion. Thousands of ancient manuscripts in the National Library were destroyed.
Baghdad gained significance on 3 January 2020, when Iranian major general Qasem Soleimani was killed in a U.S. drone strike at Baghdad International Airport.
Reconstruction efforts
Most Iraqi reconstruction efforts have been devoted to the restoration and repair of badly damaged urban infrastructure. More visible efforts at reconstruction through private development, like architect and urban designer Hisham N. Ashkouri's Baghdad Renaissance Plan and the Sindbad Hotel Complex and Conference Center have also been made. A plan was proposed by a Government agency to rebuild a tourist island in 2008. Investors were sought to develop a "romantic island" on the River Tigris that was once a popular honeymoon spot for newlyweds. The project would include a six-star hotel, spa, an 18-hole golf course and a country club. In addition, the go-ahead has been given to build numerous architecturally unique skyscrapers along the Tigris that would develop the city's financial center in Kadhehemiah. In late 2009, a construction plan was proposed to rebuild the heart of Baghdad, but the plan was never realized because corruption was involved in it.
The Baghdad Eye Ferris wheel, proposed in August 2008, was installed at the Al-Zawraa Park in March 2011. In May 2010, a new large scale residential and commercial project called Baghdad Gate was announced.
In August 2010, Iraqi-British architect Zaha Hadid, was appointed to design a new headquarters for the Central Bank in Baghdad. Initial talks about the project were held in Istanbul, Turkey, on 14 August 2010, in the presence of the Central Bank Governor Sinan al-Shabibi. On 2 February 2012, Zaha Hadid joined Sinan al-Shabibi at a ceremony in London to sign the agreement between the Central Bank of Iraq and Zaha Hadid Architects for the design stages of the new CBI Headquarters building. The construction was postponed in 2015 due to economical problems, but started again in 2019.
Climate
Baghdad has a hot desert climate (Köppen BWh), featuring extremely hot, prolonged, dry summers and mild to cool, slightly wet, short winters. In the summer, from June through August, the average maximum temperature is as high as and accompanied by sunshine. Rainfall has been recorded on fewer than half a dozen occasions at this time of year and has never exceeded . Even at night, temperatures in summer are seldom below . Baghdad's record highest temperature of was reached on 28 July 2020. The humidity is typically under 50% in summer due to Baghdad's distance from the marshy southern Iraq and the coasts of Persian Gulf, and dust storms from the deserts to the west are a normal occurrence during the summer.
Winter temperatures are typical of hot desert climates. From December through February, Baghdad has maximum temperatures averaging , though highs above are not unheard of. Lows below freezing occur a couple of times per year on average.
Annual rainfall, almost entirely confined to the period from November through March, averages approximately , but has been as high as and as low as . On 11 January 2008, light snow fell across Baghdad for the first time in 100 years. Snowfall was again reported on 11 February 2020, with accumulations across the city.
Geography
The city is located on a vast plain bisected by the Tigris river. The Tigris splits Baghdad in half, with the eastern half being called "Risafa" and the Western half known as "Karkh". The land on which the city is built is almost entirely flat and low-lying, being of quaternary alluvial origin due to the periodic large floods which have occurred on the river.
Administrative divisions
Administratively, Baghdad Governorate is divided into districts which are further divided into sub-districts. Municipally, the governorate is divided into 9 municipalities, which have responsibility for local issues. Regional services, however, are coordinated and carried out by a mayor who oversees the municipalities. The governorate council is responsible for the governorate-wide policy. These official subdivisions of the city served as administrative centers for the delivery of municipal services but until 2003 had no political function. Beginning in April 2003, the U.S. controlled Coalition Provisional Authority (CPA) began the process of creating new functions for these. The process initially focused on the election of neighborhood councils in the official neighborhoods, elected by neighborhood caucuses. The CPA convened a series of meetings in each neighborhood to explain local government, to describe the caucus election process and to encourage participants to spread the word and bring friends, relatives and neighbors to subsequent meetings. Each neighborhood process ultimately ended with a final meeting where candidates for the new neighborhood councils identified themselves and asked their neighbors to vote for them. Once all 88 (later increased to 89) neighborhood councils were in place, each neighborhood council elected representatives from among their members to serve on one of the city's nine district councils. The number of neighborhood representatives on a district council is based upon the neighborhood's population. The next step was to have each of the nine district councils elect representatives from their membership to serve on the 37 member Baghdad City Council. This three tier system of local government connected the people of Baghdad to the central government through their representatives from the neighborhood, through the district, and up to the city council. The same process was used to provide representative councils for the other communities in Baghdad Province outside of the city itself. There, local councils were elected from 20 neighborhoods (Nahia) and these councils elected representatives from their members to serve on six district councils (Qada). As within the city, the district councils then elected representatives from among their members to serve on the 35 member Baghdad Regional Council. The first step in the establishment of the system of local government for Baghdad Province was the election of the Baghdad Provincial Council. As before, the representatives to the Provincial Council were elected by their peers from the lower councils in numbers proportional to the population of the districts they represent. The 41 member Provincial Council took office in February 2004 and served until national elections held in January 2005, when a new Provincial Council was elected. This system of 127 separate councils may seem overly cumbersome; however, Baghdad Province is home to approximately seven million people. At the lowest level, the neighborhood councils, each council represents an average of 75,000 people. The nine District Advisory Councils (DAC) are as follows:
Adhamiyah
Karkh (Green Zone)
Karrada
Kadhimiya
Mansour
Sadr City (Thawra)
Al Rashid
Rusafa
New Baghdad (Tisaa Nissan) (9 April)
The nine districts are subdivided into 89 smaller neighborhoods which may make up sectors of any of the districts above. The following is a selection (rather than a complete list) of these neighborhoods:
Al-Ghazaliya
Al-A'amiriya
Dora
Karrada
Al-Jadriya
Al-Hebnaa
Zayouna
Al-Saydiya
Al-Sa'adoon
Al-Shu'ala
Al-Mahmudiyah
Bab Al-Moatham
Al-Baya'
Al-Za'franiya
Hayy Ur
Sha'ab
Hayy Al-Jami'a
Al-Adel
Al Khadhraa
Hayy Al-Jihad
Hayy Al-A'amel
Hayy Aoor
Al-Hurriya
Haydar-Khana
Hayy Al-Shurtta
Yarmouk
Jesr Diyala
Abu Disher
Al-Maidan
Raghiba Khatoun
Arab Jibor
Al-Fathel
Al-Ubedy
Al-Washash
Al-Wazireya
Notable streets
Haifa Street
Hilla Road – Runs from the north into Baghdad via Yarmouk (Baghdad)
Caliphs Street – site of historical mosques and churches
Al-Sa'doun Street – stretching from Liberation Square to Masbah
Abu Nuwas Street – runs along the Tigris from the Jumhouriya Bridge to 14 July Suspended Bridge
Damascus Street – goes from Damascus Square to the Baghdad Airport Road
Mutanabbi Street – A street with numerous bookshops, named after the 10th century Iraqi poet Al-Mutanabbi
Rabia Street
14th July Street (Mosul Road)
Muthana al-Shaibani Street
Bor Saeed (Port Said) Street
Thawra Street
Al-Qanat Street – runs through Baghdad north-south
Al-Khat al-Sare'a – Mohammed al-Qasim (high speed lane) – runs through Baghdad, north–south
Industry Street runs by the University of Technology – center of the computer trade in Baghdad
Al Nidhal Street
Al-Rasheed Street – city center Baghdad
Al-Jumhuriya Street – city center Baghdad
Falastin Street
Tariq al-Muaskar – (Al-Rasheed Camp Road)
Akhrot street
Baghdad Airport Road
Demographics
Baghdad's population was estimated at 7.22 million in 2015. The city historically had a predominantly Sunni population, but by the early 21st century around 52% of the city's population were Iraqi Shi'ites. At the beginning of the 21st century, some 1.5 million people migrated to Baghdad. Sunni Muslims make up 29–34% of Iraq's population and they are still a majority in west and north Iraq. As early as 2003, about 20 percent of the population of the city was the result of mixed marriages between Shi'ites and Sunnis. Following the civil war between the Sunni and Shia militia groups during the U.S. occupation of Iraq, the population of Sunnis significantly decreased as they were pushed out of many neighborhoods. The War in Iraq following the Islamic State's invasion in 2014 caused hundreds of thousands of Iraqi internally displaced people to flee to the city. The city has Shia, Sunni, Kurdish, Turkmen, Assyrian/Chaldean/Syriacs, Armenians and mixed neighborhoods. The city was also home to a large Jewish community and regularly visited by Sikh pilgrims.
Religion
Baghdad is home to diverse ethnic and religious groups with an Arab majority, as well as Kurds, Turkmens, Assyrians, Yazidis, Shabakis, Armenians and Mandaeans. The majority of the citizens are Muslims with minorities of Christians, Yezidis and Mandeans also present. There are many religious centers distributed around the city including mosques, churches and Mashkhannas cultic huts.
Masjid Al-Kadhimain is a shrine that is located in the Kādhimayn suburb of Baghdad. It contains the tombs of the seventh and ninth Twelver Shi'ite Imams, Musa al-Kadhim and Muhammad at-Taqi respectively, upon whom the title of Kādhimayn ("Two who swallow their anger") was bestowed. Many Shi'ites travel to the mosque from far away places to commemorate those imams.
In the Kadhimiya district of Baghdad, was the house of Baháʼu'lláh, (Prophet Founder of the Baha'i Faith) also known as the "Most Great House" (Bayt-i-Azam) and the "House of God," where Baháʼu'lláh mostly resided from 1853 to 1863. It is considered a holy place and a place of pilgrimage by Baha'i's according to their "Most Holy Book". On 23 June 2013, the house was destroyed under unclear circumstances.
Economy
Baghdad accounts for 22.2% of Iraq's population and 40% of the country's gross domestic product (PPP).
Tourism
Baghdad was once one of the main destinations in the country and the region with a wealth of cultural attractions. Tourism has diminished since the Iraq-Iran war and later during the US invasion, but in recent years Baghdad has become a main tourist destination although it is still facing challenges.
There are numerous historic, scientific and artistic museums in Baghdad which include, Iraq Museum, Baghdadi Museum, Natural History Museum and several others.
Baghdad is known for its famous Mutanabbi street which is well established for bookselling and has often been referred to as the heart and soul of the Baghdad literary and intellectual community. The annual International Book Fair in Baghdad is well known to the international publishing world as a promising publishing event in the region after years of instability.
Transport
Baghdad lacks substantial public transportation, and taxis are the primary means of transportation in the city. Roads in Baghdad are noted to be especially congested.
Iraqi Airways, the national airline of Iraq, has its headquarters on the grounds of Baghdad International Airport in Baghdad.
Proposed elevated metro
The Baghdad Metro is a proposed metro system repeatedly proposed since the reign of Saddam Hussein. The current proposal for the metro, this time in the form of an elevated railway to ease congestion in the city center, is set to begin construction in 2023 and per Iraqi officials is presumed to be primarily built by Hyundai and Alstom. The first phase is predicted to have 14 stations.
Education
The House of Wisdom was a major academy and public center in Baghdad. The Mustansiriya Madrasa was established in 1227 by the Abbasid Caliph al-Mustansir. The name was changed to al-Mustansiriya University in 1963. The University of Baghdad is the largest university in Iraq and the second largest in the Arab world. Prior to the Gulf War, multiple international schools operated in Baghdad, including:
École française de Bagdad
Deutsche Schule Bagdad
Baghdad Japanese School (バグダッド日本人学校), a nihonjin gakko
Universities
University of Baghdad
Mustansiriya University
Iraqi University
Nahrain University
Albayan University
University of Technology, Iraq
American University of Iraq – Baghdad
Al-Turath University College
Dijlah University College
Culture
Baghdad has always played a significant role in the broader Arab cultural sphere, contributing several significant writers, musicians and visual artists. Famous Arab poets and singers such as Nizar Qabbani, Umm Kulthum, Fairuz, Salah Al-Hamdani, Ilham al-Madfai and others have performed for the city. The dialect of Arabic spoken in Baghdad today differs from that of other large urban centers in Iraq, having features more characteristic of nomadic Arabic dialects (Versteegh, The Arabic Language). It is possible that this was caused by the repopulating of the city with rural residents after the multiple sackings of the late Middle Ages. For poetry written about Baghdad, see Reuven Snir (ed.), Baghdad: The City in Verse (Harvard, 2013). Baghdad joined the UNESCO Creative Cities Network as a City of Literature in December 2015.
Some of the important cultural institutions in the city include the National Theater, which was looted during the 2003 invasion of Iraq, but efforts are underway to restore the theater. The live theater industry received a boost during the 1990s, when UN sanctions limited the import of foreign films. As many as 30 movie theaters were reported to have been converted to live stages, producing a wide range of comedies and dramatic productions. Institutions offering cultural education in Baghdad include The Music and Ballet School of Baghdad and the Institute of Fine Arts Baghdad. The Iraqi National Symphony Orchestra is a government funded symphony orchestra in Baghdad. The INSO plays primarily classical European music, as well as original compositions based on Iraqi and Arab instruments and music. Baghdad is also home to a number of museums which housed artifacts and relics of ancient civilization; many of these were stolen, and the museums looted, during the widespread chaos immediately after United States forces entered the city.
During US occupation of Iraq, AFN Iraq ("Freedom Radio") broadcast news and entertainment within Baghdad, among other locations. There is also a private radio station called "Dijlah" (named after the Arabic word for the Tigris River) that was created in 2004 as Iraq's first independent talk radio station. Radio Dijlah offices, in the Jamia neighborhood of Baghdad, have been attacked on several occasions.
Sights of interest
The National Museum of Iraq whose collection of artifacts was looted during the 2003 US invasion, and the iconic Hands of Victory arches. Multiple Iraqi parties are in discussions as to whether the arches should remain as historical monuments or be dismantled. Thousands of ancient manuscripts in the National Library were destroyed under Saddam's command.
Mutanabbi Street is located near the old quarter of Baghdad; at Al-Rasheed Street. It is the historic center of Baghdadi book-selling, a street filled with bookstores and outdoor book stalls. It was named after the 10th-century classical Iraqi poet Al-Mutanabbi. This street is well established for bookselling and has often been referred to as the heart and soul of the Baghdad literacy and intellectual community.
Baghdad Zoo used to be the largest zoological park in the Middle East. Within eight days following the 2003 invasion, however, only 35 of the 650 animals in the facility survived. This was a result of theft of some animals for human food, and starvation of caged animals that had no food. Conservationist Lawrence Anthony and some of the zoo keepers cared for the animals and fed the carnivores with donkeys they had bought locally. Eventually Paul Bremer, Director of the Coalition Provisional Authority in Iraq after the invasion, ordered protection for the zoo and enlisted U.S. engineers to help reopen the facility.
Grand Festivities Square is the main square where public celebrations are held and is also the home to three important monuments commemorating Iraqi's fallen soldiers and victories in war; namely Al-Shaheed Monument, the Victory Arch and the Unknown Soldier's Monument.
Al-Shaheed Monument, also known as the Martyr's Memorial, is a monument dedicated to the Iraqi soldiers who died in the Iran–Iraq War. However, now it is generally considered by Iraqis to be for all of the martyrs of Iraq, especially those allied with Iran and Syria fighting ISIS, not just of the Iran–Iraq War. The monument was opened in 1983, and was designed by the Iraqi architect Saman Kamal and the Iraqi sculptor and artist Ismail Fatah Al Turk. During the 1970s and 1980s, Saddam Hussein's government spent a lot of money on new monuments, which included the al-Shaheed Monument.
Qushla or Qishla is a public square and the historical complex located in al-Rusafa neighborhood at the riverbank of Tigris. Qushla and its surroundings is where the historical features and cultural capitals of Baghdad are concentrated, from the Mutanabbi Street, Abbasid-era palace and bridges, Ottoman-era mosques to the Mustansariyah Madrasa. The square developed during the Ottoman era as a military barracks. Today, it is a place where the citizens of Baghdad find leisure such as reading poetry in gazebos. It is characterized by the iconic clock tower which was donated by George V. The entire area is submitted to the UNESCO World Heritage Site Tentative list.
A'dhamiyyah is a predominantly Sunni area with a Mosque that is associated with the Sunni Imam Abu Hanifa. The name of Al-Aʿẓamiyyah is derived from Abu Hanifa's title, al-Imām al-Aʿẓam (the Great Imam).
Firdos Square is a public open space in Baghdad and the location of two of the best-known hotels, the Palestine Hotel and the Sheraton Ishtar, which are both also the tallest buildings in Baghdad. The square was the site of the statue of Saddam Hussein that was pulled down by U.S.-led coalition forces in a widely televised event during the 2003 invasion of Iraq.
Al-Rasheed Street is one of the most significant landmarks in Baghdad. Located in al-Rusafa area, the street was an artistic, intellectual and cultural center for many Baghdadis. It also included many prominent theaters and nightclubs such as the Crescent Theatre where Egyptian Singer Umm Kulthum sang during her visit in 1932 as well as the Chakmakji Company that recorded the music of various Arab singers. The street also contains famous and well-known landmarks including the ancient Haydar-Khana Mosque as well as numerous well-known cafés such as al-Zahawi Café and the Brazilian Café. The Street is also notable for its architecture and aesthetic which was inspired by Renaissance architecture and also includes the famous Iraqi shanasheel.
Sport
Baghdad is home to some of the most successful football (soccer) teams in Iraq, the biggest being Al-Shorta (Police), Al-Quwa Al-Jawiya (Air Force), Al-Zawraa, and Al-Talaba (Students). The largest stadium in Baghdad is Al-Shaab Stadium, which was opened in 1966. In recent years, the capital has seen the building of several football stadiums which are meant be opened in near future. The city has also had a strong tradition of horse racing ever since World War I, known to Baghdadis simply as 'Races'. There are reports of pressures by the Islamists to stop this tradition due to the associated gambling.
Twin towns – sister cities
Cairo, Egypt
Pyongyang, North Korea
Tehran, Iran
See also
Iraqi art
List of mosques in Baghdad
List of places in Iraq
History of the Jews in Baghdad
Battle of Baghdad (2003)
Notes
References
Further reading
Articles
A Dweller in Mesopotamia, being the adventures of an official artist in the Garden of Eden, by Donald Maxwell, 1921 (a searchable facsimile at the University of Georgia Libraries; DjVu & format)
By Desert Ways to Baghdad, by Louisa Jebb (Mrs. Roland Wilkins), 1908 (1909 ed) (a searchable facsimile at the University of Georgia Libraries; DjVu & format)
Miastoprojekt goes abroad: the transfer of architectural labour from socialist Poland to Iraq (1958–1989) by Lukasz Stanek, The Journal of Architecture, Volume 17, Issue 3, 2012
Books
Caecilia Pieri, Bagdad, la construction d'une capitale moderne, 1914–1960, Presses de l'Ifpo, 2015, 440 pages, about 800 illustrations (ISBN 978-2-35159-399-8) (ISSN 2225-7578).
Mina Marefat, Caecilia Pieri, Gilles Ragot, Le Corbusier's Gymnasium in Bagdad, 2014, Éditions du patrimoine, collection Regards (French and English versions), Presses de l'Ifpo (Arabic version) (ISBN 2757703013).
"Travels in Asia and Africa 1325-135" by Ibn Battuta.
"Gertrude Bell: The Arabian Diaries, 1913–1914." by Bell Gertrude Lowthian, and O'Brien, Rosemary.
"Historic Cities of the Islamic World". by Bosworth, Clifford Edmund.
"Ottoman administration of Iraq, 1890–1908." by Cetinsaya, Gokhan.
"Naked in Baghdad." by Garrels, Anne, and Lawrence, Vint.
"A memoir of Major-General Sir Henry Creswicke Rawlinson." by Rawlinson, George.
Stanek, Łukasz (2020). Architecture in Global Socialism: Eastern Europe, West Africa, and the Middle East in the Cold War. Princeton. .
External links
Amanat/Mayoralty of Baghdad
Map of Baghdad
Iraq Image – Baghdad Satellite Observation
National Commission for Investment in Iraq
Interactive map
Iraq – Urban Society
– Baghdad government websites
Envisioning Reconstruction In Iraq
Description of the original layout of Baghdad
Ethnic and sectarian map of Baghdad – Healingiraq
UAE Investors Keen On Taking Part In Baghdad Renaissance Project
Man With A Plan: Hisham Ashkouri
Behind Baghdad's 9/11
Iraq Inter-Agency Information & Analysis Unit Reports, maps and assessments of Iraq from the UN Inter-Agency Information & Analysis Unit
762 establishments
Capitals in Asia
Capitals of caliphates
Cities in Iraq
Assyrian communities in Iraq
Turkmen communities in Iraq
Historic Jewish communities
Iraqi culture
Populated places along the Silk Road
Populated places established in the 8th century
Populated places on the Tigris River
8th-century establishments in Asia
Planned communities | 7 |
Biology – The natural science that studies life. Areas of focus include structure, function, growth, origin, evolution, distribution, and taxonomy.
History of biology
History of anatomy
History of biochemistry
History of biotechnology
History of ecology
History of genetics
History of evolutionary thought:
The eclipse of Darwinism – Catastrophism – Lamarckism – Orthogenesis – Mutationism – Structuralism – Vitalism
Modern (evolutionary) synthesis
History of molecular evolution
History of speciation
History of medicine
History of model organisms
History of molecular biology
Natural history
History of plant systematics
Overview
Biology
Science
Life
Properties: Adaptation – Energy processing – Growth – Order – Regulation – Reproduction – Response to environment
Biological organization: atom – molecule – cell – tissue – organ – organ system – organism – population – community – ecosystem – biosphere
Approach: Reductionism – emergent property – mechanistic
Biology as a science:
Natural science
Scientific method: observation – research question – hypothesis – testability – prediction – experiment – data – statistics
Scientific theory – scientific law
Research method
List of research methods in biology
Scientific literature
List of biology journals: peer review
Chemical basis
Outline of biochemistry
Atoms and molecules
matter – element – atom – proton – neutron – electron– Bohr model – isotope – chemical bond – ionic bond – ions – covalent bond – hydrogen bond – molecule
Water:
properties of water – solvent – cohesion – surface tension – Adhesion – pH
Organic compounds:
carbon – carbon-carbon bonds – hydrocarbon – monosaccharide – amino acids – nucleotide – functional group – monomer – adenosine triphosphate (ATP) – lipids – oil – sugar – vitamins – neurotransmitter – wax
Macromolecules:
polysaccharide: cellulose – carbohydrate – chitin – glycogen – starch
proteins: primary structure – secondary structure – tertiary structure – conformation – native state – protein folding – enzyme – receptor – transmembrane receptor – ion channel – membrane transporter – collagen – pigments: chlorophyll – carotenoid – xanthophyll – melanin – prion
lipids: cell membrane – fats – phospholipids
nucleic acids: DNA – RNA
Cells
Outline of cell biology
Cell structure:
Cell coined by Robert Hooke
Techniques: cell culture – microscope – light microscope – electron microscopy – SEM – TEM
Organelles: Cytoplasm – Vacuole – Peroxisome – Plastid
Cell nucleus
Nucleoplasm – Nucleolus – Chromatin – Chromosome
Endomembrane system
Nuclear envelope – Endoplasmic reticulum – Golgi apparatus – Vesicles – Lysosome
Energy creators: Mitochondrion and Chloroplast
Biological membranes:
Plasma membrane – Mitochondrial membrane – Chloroplast membrane
Other subcellular features: Cell wall – pseudopod – cytoskeleton – mitotic spindle – flagellum – cilium
Cell transport: Diffusion – Osmosis – isotonic – active transport – phagocytosis
Cellular reproduction: cytokinesis – centromere – meiosis
Nuclear reproduction: mitosis – interphase – prophase – metaphase – anaphase – telophase
programmed cell death – apoptosis – cell senescence
Metabolism:
enzyme - activation energy - proteolysis – cooperativity
Cellular respiration
Glycolysis – Pyruvate dehydrogenase complex – Citric acid cycle – electron transport chain – fermentation
Photosynthesis
light-dependent reactions – Calvin cycle
Cell cycle
mitosis – chromosome – haploid – diploid – polyploidy – prophase – metaphase – anaphase – cytokinesis – meiosis
Genetics
Outline of Genetics
Inheritance
heredity – Mendelian inheritance – gene – locus – trait – allele – polymorphism – homozygote – heterozygote – hybrid – hybridization – dihybrid cross – Punnett square – inbreeding
genotype–phenotype distinction – genotype – phenotype – dominant gene – recessive gene
genetic interactions – Mendel's law of segregation – genetic mosaic – maternal effect – penetrance – complementation – suppression – epistasis – genetic linkage
Model organisms: Drosophila – Arabidopsis – Caenorhabditis elegans – mouse – Saccharomyces cerevisiae – Escherichia coli – Lambda phage – Xenopus – chicken – zebrafish – Ciona intestinalis – amphioxus
Techniques: genetic screen – linkage map – genetic map
DNA
Nucleic acid double helix
Nucleobase: adenine (A) – cytosine (C) – guanine (G) – thymine (T) – uracil (U)
DNA replication – mutation – mutation rate – proofreading – DNA mismatch repair – point mutation – crossover – recombination – plasmid – transposon
Gene expression
Central dogma of molecular biology: nucleosome – genetic code – codon – transcription factor – transcription – translation – RNA – histone – telomere
heterochromatin – promoter – RNA polymerase
Protein biosynthesis – ribosomes
Gene regulation
operon – activator – repressor – corepressor – enhancer – alternative splicing
Genomes
DNA sequencing – high throughput sequencing – bioinformatics
Proteome – proteomics – metabolome – metabolomics
DNA paternity testing
Biotechnology (see also Outline of biochemical techniques and Molecular biology):
DNA fingerprinting – genetic fingerprint – microsatellite – gene knockout – imprinting – RNA interference Genomics – computational biology – bioinformatics – gel electrophoresis – transformation – PCR – PCR mutagenesis – primer – chromosome walking – RFLP – restriction enzyme – sequencing – shotgun sequencing – cloning – culture – DNA microarray – electrophoresis – protein tag – affinity chromatography – x-ray diffraction – Proteomics – mass spectrometry
Genes, development, and evolution
Apoptosis
French flag model
Pattern formation
Evo-devo gene toolkit
Transcription factor
Evolution
Outline of evolution (see also evolutionary biology)
Evolutionary processes
evolution
microevolution: adaptation – selection – natural selection – directional selection – sexual selection – genetic drift – sexual reproduction – asexual reproduction – colony – allele frequency – neutral theory of molecular evolution – population genetics – Hardy–Weinberg principle
Speciation
Species
Phylogeny
Lineage (evolution) – evolutionary tree – cladistics – species – taxon – clade – monophyletic – polyphyly – paraphyly – heredity – phenotypic trait – nucleic acid sequence – synapomorphy – homology – molecular clock – outgroup (cladistics) – maximum parsimony (phylogenetics) – Computational phylogenetics
Linnaean taxonomy: Carl Linnaeus – domain (biology) – kingdom (biology) – phylum – class (biology) – order (biology) – family (biology) – genus – species
Three-domain system: archaea – bacteria – eukaryote – protist – fungi – plant – animal
Binomial nomenclature: scientific classification – Homo sapiens
History of life
Origin of life – hierarchy of life – Miller–Urey experiment
Macroevolution: adaptive radiation – convergent evolution – extinction – mass extinction – fossil – taphonomy – geologic time – plate tectonics – continental drift – vicariance – Gondwana – Pangaea – endosymbiosis
Diversity
Bacteria and Archaea
Protists
Plant diversity
Green algae
Chlorophyta
Charophyta
Bryophytes
Marchantiophyta
Anthocerotophyta
Moss
Pteridophytes
Lycopodiophyta
Polypodiophyta
Seed plants
Cycadophyta
Ginkgophyta
Pinophyta
Gnetophyta
Magnoliophyta
Fungi
Yeast – mold (fungus) – mushroom
Animal diversity
Invertebrates:
sponge – cnidarian – coral – jellyfish – Hydra (genus) – sea anemone
flatworms – nematodes
arthropods: crustacean – chelicerata – myriapoda – arachnids – insects – annelids – molluscs
Vertebrates:
fishes: – agnatha – chondrichthyes – osteichthyes
Tiktaalik
tetrapods
amphibians
reptiles
birds
flightless birds – Neognathae – dinosaurs
mammals
placental: primates
marsupial
monotreme
Viruses
DNA viruses – RNA viruses – retroviruses
Plant form and function
Plant body
Organ systems: root – shoot – stem – leaf – flower
Plant nutrition and transport
Vascular tissue – bark (botany) – Casparian strip – turgor pressure – xylem – phloem – transpiration – wood – trunk (botany)
Plant development
tropism – taxis
seed – cotyledon – meristem – apical meristem – vascular cambium – cork cambium
alternation of generations – gametophyte – antheridium – archegonium – sporophyte – spore – sporangium
Plant reproduction
angiosperms – flower – reproduction – sperm – pollination – self-pollination – cross-pollination – nectar – pollen
Plant responses
Plant hormone – ripening – fruit – Ethylene as a plant hormone – toxin – pollinator – phototropism – skototropism – phototropin – phytochrome – auxin – photoperiodism – gravity
Animal form and function
General features: morphology (biology) – anatomy – physiology – biological tissues – organ (biology) – organ systems
Water and salt balance
Body fluids: osmotic pressure – ionic composition – volume
Diffusion – osmosis) – Tonicity – sodium – potassium – calcium – chloride
Excretion
Nutrition and digestion
Digestive system: stomach – intestine – liver – nutrition – primary nutritional groups metabolism – kidney – excretion
Breathing
Respiratory system: lungs
Circulation
Circulatory system: heart – artery – vein – capillary – Blood – blood cell
Lymphatic system: lymph node
Muscle and movement
Skeletal system: bone – cartilage – joint – tendon
Muscular system: muscle – actin – myosin – reflex
Nervous system
Neuron – dendrite – axon – nerve – electrochemical gradient – electrophysiology – action potential – signal transduction – synapse – receptor –
Central nervous system: brain – spinal cord
limbic system – memory – vestibular system
Peripheral nervous system
Sensory nervous system: eye – vision – audition – proprioception – olfaction –
Integumentary system: skin cell
Hormonal control
Endocrine system: hormone
Animal reproduction
Reproductive system: testes – ovary – pregnancy
Fish#Reproductive system
Mammalian reproductive system
Human reproductive system
Mammalian penis
Os penis
Penile spines
Genitalia of bottlenose dolphins
Genitalia of marsupials
Equine reproductive system
Even-toed ungulate#Genitourinary system
Bull#Reproductive anatomy
Carnivora#Reproductive system
Fossa (animal)#External genitalia
Female genitalia of spotted hyenas
Cat anatomy#Genitalia
Genitalia of dogs
Canine penis
Bulbus glandis
Animal development
stem cell – blastula – gastrula – egg (biology) – fetus – placenta - gamete – spermatid – ovum – zygote – embryo – cellular differentiation – morphogenesis – homeobox
Immune system
antibody – host – vaccine – immune cell – AIDS – T cell – leucocyte
Animal behavior
Behavior: mating – animal communication – seek shelter – migration (ecology)
Fixed action pattern
Altruism (biology)
Ecology
Outline of ecology
Ecosystems:
Ecology – Biodiversity – habitat – plankton – thermocline – saprobe
Abiotic component: water – light – radiation – temperature – humidity – atmosphere – acidity
Microbe – biomass – organic matter – decomposer – decomposition – carbon – nutrient cycling – solar energy – topography – tilt – Windward and leeward – precipitation Temperature – biome
Populations
Population ecology: organism – geographical area – sexual reproduction – population density – population growth – birth rate – death Rate – immigration rate – exponential growth – carrying capacity – logistic function – natural environment – competition (biology) – mating – biological dispersal – endemic (ecology) – growth curve (biology) – habitat – drinking water – resource – human population – technology – Green revolution
Communities
Community (ecology) – ecological niche – keystone species – mimicry – symbiosis – pollination – mutualism – commensalism – parasitism – predation – invasive species – environmental heterogeneity – edge effect
Consumer–resource interactions: food chain – food web – autotroph – heterotrophs – herbivore – carnivore – trophic level
Biosphere
lithosphere – atmosphere – hydrosphere
biogeochemical cycle: nitrogen cycle – carbon cycle – water cycle
Climate change: Fossil fuel – coal – oil – natural gas – World energy consumption – Climate change feedback – Albedo – water vapor Carbon sink
Conservation
Biodiversity – habitats – Ecosystem services – biodiversity loss – extinction – Sustainability – Holocene extinction
Branches
Anatomy – study of form in animals, plants and other organisms, or specifically in humans. Simply, the study of internal structure of living organisms.
Comparative anatomy – the study of evolution of species through similarities and differences in their anatomy.
Osteology – study of bones.
Osteomyoarthrology – the study of the movement apparatus, including bones, joints, ligaments and muscles.
Viscerology – the study of organs
Neuroanatomy – the study of the nervous system.
Histology – also known as microscopic anatomy or microanatomy, the branch of biology which studies the microscopic anatomy of biological tissues.
Astrobiology – study of origin, early-evolution, distribution, and future of life in the universe. Also known as exobiology, and bioastronomy.
Bioarchaeology – study of human and animal remains from archaeological sites.
Biochemistry – study of the chemical reactions required for life to exist and function, usually a focus on the cellular level.
Biocultural anthropology – the study of the relations between human biology and culture.
Biogeography – study of the distribution of species spatially and temporally.
Biolinguistics – study of biology and the evolution of language.
Biological economics – an interdisciplinary field in which the interaction of human biology and economics is studied.
Biophysics – study of biological processes through the methods traditionally used in the physical sciences.
Biomechanics – the study of the mechanics of living beings.
Neurophysics – study of the development of the nervous system on a molecular level.
Quantum biology – application of quantum mechanics and theoretical chemistry to biological objects and problems.
Virophysics – study of mechanics and dynamics driving the interactions between virus and cells.
Biotechnology – new and sometimes controversial branch of biology that studies the manipulation of living matter, including genetic modification and synthetic biology.
Bioinformatics – use of information technology for the study, collection, and storage of genomic and other biological data.
Bioengineering – study of biology through the means of engineering with an emphasis on applied knowledge and especially related to biotechnology.
Synthetic biology – research integrating biology and engineering; construction of biological functions not found in nature.
Botany – study of plants.
Photobiology – scientific study of the interactions of light (technically, non-ionizing radiation) and living organisms. The field includes the study of photosynthesis, photomorphogenesis, visual processing, circadian rhythms, bioluminescence, and ultraviolet radiation effects.
Phycology – scientific study of algae.
Plant physiology – subdiscipline of botany concerned with the functioning, or physiology, of plants.
Cell biology – study of the cell as a complete unit, and the molecular and chemical interactions that occur within a living cell.
Histology – study of the anatomy of cells and tissues of plants and animals using microscopy.
Chronobiology – field of biology that examines periodic (cyclic) phenomena in living organisms and their adaptation to solar- and lunar-related rhythms.
Dendrochronology – study of tree rings, using them to date the exact year they were formed in order to analyze atmospheric conditions during different periods in natural history.
Developmental biology – study of the processes through which an organism forms, from zygote to full structure
Embryology – study of the development of embryo (from fecundation to birth).
Gerontology – study of aging processes.
Ecology – study of the interactions of living organisms with one another and with the non-living elements of their environment.
Epidemiology – major component of public health research, studying factors affecting the health of populations.
Evolutionary biology – study of the origin and descent of species over time.
Evolutionary developmental biology – field of biology that compares the developmental processes of different organisms to determine the ancestral relationship between them, and to discover how developmental processes evolved.
Paleobiology – discipline which combines the methods and findings of the life sciences with the methods and findings of the earth science, paleontology.
Paleoanthropology – the study of fossil evidence for human evolution, mainly using remains from extinct hominin and other primate species to determine the morphological and behavioral changes in the human lineage, as well as the environment in which human evolution occurred.
Paleobotany – study of fossil plants.
Paleontology – study of fossils and sometimes geographic evidence of prehistoric life.
Paleopathology – the study of pathogenic conditions observable in bones or mummified soft tissue, and on nutritional disorders, variation in stature or morphology of bones over time, evidence of physical trauma, or evidence of occupationally derived biomechanic stress.
Genetics – study of genes and heredity.
Quantitative genetics – study of phenotypes that vary continuously (in characters such as height or mass)—as opposed to discretely identifiable phenotypes and gene-products (such as eye-colour, or the presence of a particular biochemical).
Geobiology – study of the interactions between the physical Earth and the biosphere.
Marine biology – study of ocean ecosystems, plants, animals, and other living beings.
Microbiology – study of microscopic organisms (microorganisms) and their interactions with other living things.
Bacteriology – study of bacteria
Immunology – study of immune systems in all organisms.
Mycology – study of fungi
Parasitology – study of parasites and parasitism.
Virology – study of viruses
Molecular biology – study of biology and biological functions at the molecular level, with some cross over from biochemistry.
Structural biology – a branch of molecular biology, biochemistry, and biophysics concerned with the molecular structure of biological macromolecules.
Neuroscience – study of the nervous system, including anatomy, physiology and emergent proprieties.
Behavioral neuroscience – study of physiological, genetic, and developmental mechanisms of behavior in humans and other animals.
Cellular neuroscience – study of neurons at a cellular level.
Cognitive neuroscience – study of biological substrates underlying cognition, with a focus on the neural substrates of mental processes.
Computational neuroscience – study of the information processing functions of the nervous system, and the use of digital computers to study the nervous system.
Developmental neuroscience – study of the cellular basis of brain development and addresses the underlying mechanisms.
Molecular neuroscience – studies the biology of the nervous system with molecular biology, molecular genetics, protein chemistry and related methodologies.
Neuroanatomy – study of the anatomy of nervous tissue and neural structures of the nervous system.
Neuroendocrinology – studies the interaction between the nervous system and the endocrine system, that is how the brain regulates the hormonal activity in the body.
Neuroethology – study of animal behavior and its underlying mechanistic control by the nervous system.
Neuroimmunology – study of the nervous system, and immunology, the study of the immune system.
Neuropharmacology – study of how drugs affect cellular function in the nervous system.
Neurophysiology – study of the function (as opposed to structure) of the nervous system.
Systems neuroscience – studies the function of neural circuits and systems. It is an umbrella term, encompassing a number of areas of study concerned with how nerve cells behave when connected together to form neural networks.
Physiology – study of the internal workings of organisms.
Endocrinology – study of the endocrine system.
Oncology – study of cancer processes, including virus or mutation, oncogenesis, angiogenesis and tissues remoldings.
Systems biology – computational modeling of biological systems.
Theoretical Biology – the mathematical modeling of biological phenomena.
– study of animals, including classification, physiology, development, and behavior. Subbranches include:
Arthropodology – biological discipline concerned with the study of arthropods, a phylum of animals that include the insects, arachnids, crustaceans and others that are characterized by the possession of jointed limbs.
Acarology – study of the taxon of arachnids that contains mites and ticks.
Arachnology – scientific study of spiders and related animals such as scorpions, pseudoscorpions, harvestmen, collectively called arachnids.
Entomology – study of insects.
Coleopterology – study of beetles.
Lepidopterology – study of a large order of insects that includes moths and butterflies (called lepidopterans).
Myrmecology – scientific study of ants.
Carcinology – study of crustaceans.
Myriapodology – study of centipedes, millipedes, and other myriapods.
– scientific study of animal behavior, usually with a focus on behavior under natural conditions.
Helminthology – study of worms, especially parasitic worms.
Herpetology – study of amphibians (including frogs, toads, salamanders, newts, and gymnophiona) and reptiles (including snakes, lizards, amphisbaenids, turtles, terrapins, tortoises, crocodilians, and the tuataras).
Batrachology – subdiscipline of herpetology concerned with the study of amphibians alone.
Ichthyology – study of fishes. This includes bony fishes (Osteichthyes), cartilaginous fishes (Chondrichthyes), and jawless fishes (Agnatha).
Malacology – branch of invertebrate zoology which deals with the study of the Mollusca (mollusks or molluscs), the second-largest phylum of animals in terms of described species after the arthropods.
Teuthology – branch of Malacology which deals with the study of cephalopods.
Mammalogy – study of mammals, a class of vertebrates with characteristics such as homeothermic metabolism, fur, four-chambered hearts, and complex nervous systems. Mammalogy has also been known as "mastology," "theriology," and "therology." There are about 4,200 different species of animals which are considered mammals.
Cetology – branch of marine mammal science that studies the approximately eighty species of whales, dolphins, and porpoise in the scientific order Cetacea.
Primatology – scientific study of primates
Human biology – interdisciplinary field studying the range of humans and human populations via biology/life sciences, anthropology/social sciences, applied/medical sciences
Biological anthropology – subfield of anthropology that studies the physical morphology, genetics and behavior of the human genus, other hominins and hominids across their evolutionary development
Human behavioral ecology – the study of behavioral adaptations (foraging, reproduction, ontogeny) from the evolutionary and ecologic perspectives (see behavioral ecology). It focuses on human adaptive responses (physiological, developmental, genetic) to environmental stresses.
Nematology – scientific discipline concerned with the study of nematodes, or roundworms.
Ornithology – scientific study of birds.
Biologists
Lists of notable biologists
List of notable biologists
List of Nobel Prize winners in physiology or medicine
Lists of biologists by author abbreviation
List of authors of names published under the ICZN
Lists of biologists by subject
List of biochemists
List of ecologists
List of neuroscientists
List of physiologists
See also
Bibliography of biology
Earliest known life forms
Invasion biology terminology
List of omics topics in biology
Related outlines
Outline of life forms
Outline of zoology
Outline of engineering
Outline of technology
List of social sciences
Journals
Biology journals
References
External links
OSU's Phylocode
The Tree of Life: A multi-authored, distributed Internet project containing information about phylogeny and biodiversity.
MIT video lecture series on biology
A wiki site for protocol sharing run from MIT.
Biology and Bioethics.
Biology online wiki dictionary.
Biology Video Sharing Community.
What is Biotechnology : a voluntary program as Biotech for Beginners.
Biology
Biology | 13 |
Automobiles Ettore Bugatti was a German then French manufacturer of high-performance automobiles. The company was founded in 1909 in the then-German city of Molsheim, Alsace, by the Italian-born industrial designer Ettore Bugatti. The cars were known for their design beauty and their many race victories. Famous Bugatti automobiles include the Type 35 Grand Prix cars, the Type 41 "Royale", the Type 57 "Atlantic" and the Type 55 sports car.
The death of Ettore Bugatti in 1947 proved to be a severe blow to the marque, and the death of his son Jean in 1939 meant that there was no successor to lead the factory with no more than about 8,000 cars made. The company struggled financially, and it released one last model in the 1950s before eventually being purchased for its airplane parts business in 1963.
In 1987, an Italian entrepreneur bought the brand name and revived it as Bugatti Automobili SpA.
Under Ettore Bugatti
The founder Ettore Bugatti was born in Milan, Italy, and the automobile company that bears his name was founded in 1909 in Molsheim located in the Alsace region which was part of the German Empire from 1871 to 1919. The company was known both for the level of detail of its engineering in its automobiles, and for the artistic manner in which the designs were executed, given the artistic nature of Ettore's family (his father, Carlo Bugatti (1856–1940), was an important Art Nouveau furniture and jewelry designer).
World War I and its aftermath
During the war Ettore Bugatti was sent away, initially to Milan and later to Paris, but as soon as hostilities had been concluded he returned to his factory at Molsheim. Less than four months after the Versailles Treaty formalised the transfer of Alsace from Germany to France, Bugatti was able to obtain, at the last minute, a stand at the 15th Paris motor show in October 1919. He exhibited three light cars, all of them closely based on their pre-war equivalents, and each fitted with the same overhead camshaft 4-cylinder 1,368cc engine with four valves per cylinder. Smallest of the three was a "Type 13" with a racing body (constructed by the Bugatti themselves) and using a chassis with a wheelbase. The others were a "Type 22" and a "Type 23" with wheelbases of respectively.
Racing successes
The company also enjoyed great success in early Grand Prix motor racing: in 1929, a privately entered Bugatti won the first ever Monaco Grand Prix. Bugatti's racing success culminated with driver Jean-Pierre Wimille winning the 24 hours of Le Mans twice (in 1937 with Robert Benoist and in 1939 with Pierre Veyron).
Bugatti cars were extremely successful in racing. The little Bugatti Type 10 swept the top four positions at its first race. The 1924 Bugatti Type 35 is one of the most successful racing cars - developed by Bugatti with master engineer and racing driver Jean Chassagne who also drove it in the car's first ever Grand Prix in 1924 Lyon. Bugattis swept to victory in the Targa Florio for five years straight from 1925 through 1929. Louis Chiron held the most podiums in Bugatti cars, and the modern marque revival Bugatti Automobiles S.A.S. named the 1999 Bugatti 18/3 Chiron concept car in his honour. But it was the final racing success at Le Mans that is most remembered—Jean-Pierre Wimille and Pierre Veyron won the 1939 race with just one car and meagre resources.
Aeroplane racing
In the 1930s, Ettore Bugatti got involved in the creation of a racer airplane, hoping to beat the Germans in the Deutsch de la Meurthe prize. This would be the Bugatti 100P, which never flew. It was designed by Belgian engineer Louis de Monge who had already applied Bugatti Brescia engines in his "Type 7.5" lifting body.
Railcar
Ettore Bugatti also designed a successful motorised railcar, the Autorail Bugatti.
Family tragedy
The death of Ettore Bugatti's son, Jean Bugatti, on 11 August 1939 marked a turning point in the company's fortunes as he died while testing a Type 57 tank-bodied race car near the Molsheim factory.
After World War II
World War II left the Molsheim factory in ruins and the company lost control of the property. During the war, Bugatti planned a new factory at Levallois, a northwestern suburb of Paris. After the war, Bugatti designed and planned to build a series of new cars, including the Type 73 road car and Type 73C single seat racing car, but in all Bugatti built only five Type 73 cars.
Development of a 375 cc supercharged car was stopped when Ettore Bugatti died on 21 August 1947. Following his death, the business declined further and made its last appearance as a business in its own right at a Paris Motor Show in October 1952.
After a long decline, the original incarnation of Bugatti ceased operations in 1952.
Design
Bugattis are recognized for their focus on design. Engine blocks were hand scraped to ensure that the surfaces were flat so that gaskets were not required for sealing, and many of the exposed surfaces of the engine compartment featured guilloché finishes on them. Safety wires were threaded through most fasteners in intricately laced patterns. Rather than bolt the springs to the axles as most manufacturers did, Bugatti's axles were forged such that the spring passed through an opening in the axle, a much more elegant solution requiring fewer parts. Bugatti himself described his competitor Bentley's cars as "the world's fastest lorries" for focusing on durability. According to Bugatti, "weight was the enemy".
Important models built
Gallery
Notable finds in the modern era
Relatives of Harold Carr found a rare 1937 Bugatti Type 57S Atalante when cataloguing the doctor's belongings after his death in 2009. Carr's Type 57S is notable because it was originally owned by British race car driver Earl Howe. Because much of the car's original equipment is intact, it can be restored without relying on replacement parts.
On 10 July 2009, a 1925 Bugatti Brescia Type 22 which had lain at the bottom of Lake Maggiore on the border of Switzerland and Italy for 75 years was recovered from the lake. The Mullin Museum in Oxnard, California bought it at auction for $351,343 at Bonham's Rétromobile sale in Paris in 2010.
Attempts at revival
The company attempted a comeback under Roland Bugatti in the mid-1950s with the mid-engined Type 251 race car. Designed with help from Gioacchino Colombo, the car failed to perform to expectations and the company's attempts at automobile production were halted.
In the 1960s, Virgil Exner designed a Bugatti as part of his "Revival Cars" project. A show version of this car was actually built by Ghia using the last Bugatti Type 101 chassis, and was shown at the 1965 Turin Motor Show. Finance was not forthcoming, and Exner then turned his attention to a revival of Stutz.
Bugatti continued manufacturing airplane parts and was sold to Hispano-Suiza, also a former auto maker turned aircraft supplier, in 1963. Snecma took over Hispano-Suiza in 1968. After acquiring Messier, Snecma merged Messier and Bugatti into Messier-Bugatti in 1977.
Modern revivals
Bugatti Automobili S.p.A. (1987–1995)
Italian entrepreneur Romano Artioli acquired the Bugatti brand in 1987, and established Bugatti Automobili S.p.A.. Artioli commissioned architect Giampaolo Benedini to design the factory which was built in Campogalliano, Modena, Italy. Construction of the plant began in 1988, alongside the development of the first model, and it was inaugurated two years later—in 1990. By 1989, the plans for the new Bugatti revival were presented by Paolo Stanzani and Marcello Gandini, designers of the Lamborghini Miura and Lamborghini Countach.
The first production vehicle was the Bugatti EB110 GT which featured a 3.5-litre, 5-valve per cylinder, quad-turbocharged 60° V12 engine, a six-speed gearbox, and four-wheel drive. Stanzani proposed an aluminium honeycomb chassis, which was used for all early prototypes. He and president Artioli clashed over engineering decisions so Stanzani left the project and Artioli sought Nicola Materazzi to replace him in June 1990. Materazzi, who had been the chief designer for the Ferrari 288 GTO and Ferrari F40 replaced the aluminium chassis with a carbon fibre one manufactured by Aerospatiale and also altered the torque distribution of the car from 40:60 to 27:73. He remained Director until late 1992.
Racing car designer Mauro Forghieri served as Bugatti's technical director from 1993 through 1994. On 27 August 1993, through his holding company, ACBN Holdings S.A. of Luxembourg, Romano Artioli purchased Lotus Cars from General Motors. Plans were made to list Bugatti shares on international stock exchanges.
Bugatti presented a prototype large saloon called the EB112 in 1993.
Perhaps the most famous Bugatti EB110 owner was seven-time Formula One World Champion racing driver Michael Schumacher who purchased an EB110 in 1994. Schumacher sold his EB110, which had been repaired after a severe 1994 crash, to Modena Motorsport, a Ferrari service and race preparation garage in Germany.
By the time the EB110 came to market, the North American and European economies were in recession. Poor economic conditions forced the company to fail and operations ceased in September 1995. A model specific to the US market called the "Bugatti America" was in the preparatory stages when the company ceased operations.
Bugatti's liquidators sold Lotus Cars to Proton of Malaysia. German firm Dauer Racing purchased the EB110 licence and remaining parts stock in 1997 in order to produce five more EB110 SS vehicles. These five SS versions of the EB110 were greatly refined by Dauer. The Campogalliano factory was sold to a furniture-making company, which became defunct prior to moving in, leaving the building unoccupied. After Dauer stopped producing cars in 2011, Toscana-Motors GmbH of Germany purchased the remaining parts stock from Dauer.
Ex vice-president Jean-Marc Borel and ex-employees Federico Trombi, Gianni Sighinolfi and Nicola Materazzi established the B Engineering company and designed and built the Edonis using the chassis and engine from the Bugatti EB110 SS, but simplifying the turbocharging system and driveline (from 4WD to 2WD).
Bugatti Automobiles S.A.S. (1998–present)
Pre-Veyron
Volkswagen Group acquired the Bugatti brand in 1998. Bugatti Automobiles S.A.S. commissioned Giorgetto Giugiaro of ItalDesign to produce Bugatti Automobiles's first concept vehicle, the EB118, a coupé that debuted at the 1998 Paris Auto Show. The EB118 concept featured a , W-18 engine. After its Paris debut, the EB118 concept was shown again in 1999 at the Geneva Auto Show and the Tokyo Motor Show. Bugatti introduced its next concepts, the EB 218 at the 1999 Geneva Motor Show and the 18/3 Chiron at the 1999 Frankfurt Motor Show (IAA).
Veyron era (2005–2015)
Bugatti Automobiles S.A.S. began assembling its first regular-production vehicle, the Bugatti Veyron 16.4 (the 1001 PS super car with an 8-litre W-16 engine with four turbochargers) in September 2005 at the Bugatti Molsheim, France assembly "studio". On 23 February 2015, Bugatti sold its last Veyron Grand Sport Vitesse, which was named La Finale.
Chiron era (2016–present)
The Bugatti Chiron is a mid-engined, two-seated sports car, designed by Achim Anscheidt, developed as the successor to the Bugatti Veyron. The Chiron was first revealed at the Geneva Motor Show on March 1, 2016.
See also
Musée National de l'Automobile de Mulhouse, home of the Schlumpf Collection of Bugatti cars
References
External links
Bugatti Automobiles S.A.S.
Bugatti bibliography
The Bugatti Trust
Bugatti at LeMans
Car manufacturers of France
Companies based in Grand Est
Vehicle manufacturing companies established in 1909
Vehicle manufacturing companies disestablished in 1963
Defunct aircraft engine manufacturers of France
Defunct companies of France
Formula One constructors
Formula One entrants
Auto racing teams in France
French racecar constructors
Grand Prix teams
Auto racing teams established in 1929
Auto racing teams disestablished in 1956
Luxury motor vehicle manufacturers
Sports car manufacturers
Volkswagen Group
Molsheim
Car brands
German companies established in 1909
1963 disestablishments in France | 7 |
Biotechnology is a multidisciplinary field that involves the integration of natural sciences and engineering sciences in order to achieve the application of organisms, cells, parts thereof and molecular analogues for products and services.
The term biotechnology was first used by Károly Ereky in 1919, to refer to the production of products from raw materials with the aid of living organisms. The core principle of biotechnology involves harnessing biological systems and organisms, such as bacteria, yeast, and plants, to perform specific tasks or produce valuable substances.
Biotechnology had a significant impact on many areas of society, from medicine to agriculture to environmental science. One of the key techniques used in biotechnology is genetic engineering, which allows scientists to modify the genetic makeup of organisms to achieve desired outcomes. This can involve inserting genes from one organism into another, creating new traits or modifying existing ones.
Other important techniques used in biotechnology include tissue culture, which allows researchers to grow cells and tissues in the lab for research and medical purposes, and fermentation, which is used to produce a wide range of products such as beer, wine, and cheese.
The applications of biotechnology are diverse and have led to the development of essential products like life-saving drugs, biofuels, genetically modified crops, and innovative materials. It has also been used to address environmental challenges, such as developing biodegradable plastics and using microorganisms to clean up contaminated sites.
Biotechnology is a rapidly evolving field with significant potential to address pressing global challenges and improve the quality of life for people around the world; however, despite its numerous benefits, it also poses ethical and societal challenges, such as questions around genetic modification and intellectual property rights. As a result, there is ongoing debate and regulation surrounding the use and application of biotechnology in various industries and fields.
Definition
The concept of biotechnology encompasses a wide range of procedures for modifying living organisms for human purposes, going back to domestication of animals, cultivation of the plants, and "improvements" to these through breeding programs that employ artificial selection and hybridization. Modern usage also includes genetic engineering, as well as cell and tissue culture technologies. The American Chemical Society defines biotechnology as the application of biological organisms, systems, or processes by various industries to learning about the science of life and the improvement of the value of materials and organisms, such as pharmaceuticals, crops, and livestock. As per the European Federation of Biotechnology, biotechnology is the integration of natural science and organisms, cells, parts thereof, and molecular analogues for products and services. Biotechnology is based on the basic biological sciences (e.g., molecular biology, biochemistry, cell biology, embryology, genetics, microbiology) and conversely provides methods to support and perform basic research in biology.
Biotechnology is the research and development in the laboratory using bioinformatics for exploration, extraction, exploitation, and production from any living organisms and any source of biomass by means of biochemical engineering where high value-added products could be planned (reproduced by biosynthesis, for example), forecasted, formulated, developed, manufactured, and marketed for the purpose of sustainable operations (for the return from bottomless initial investment on R & D) and gaining durable patents rights (for exclusives rights for sales, and prior to this to receive national and international approval from the results on animal experiment and human experiment, especially on the pharmaceutical branch of biotechnology to prevent any undetected side-effects or safety concerns by using the products). The utilization of biological processes, organisms or systems to produce products that are anticipated to improve human lives is termed biotechnology.
By contrast, bioengineering is generally thought of as a related field that more heavily emphasizes higher systems approaches (not necessarily the altering or using of biological materials directly) for interfacing with and utilizing living things. Bioengineering is the application of the principles of engineering and natural sciences to tissues, cells, and molecules. This can be considered as the use of knowledge from working with and manipulating biology to achieve a result that can improve functions in plants and animals. Relatedly, biomedical engineering is an overlapping field that often draws upon and applies biotechnology (by various definitions), especially in certain sub-fields of biomedical or chemical engineering such as tissue engineering, biopharmaceutical engineering, and genetic engineering.
History
Although not normally what first comes to mind, many forms of human-derived agriculture clearly fit the broad definition of "utilizing a biotechnological system to make products". Indeed, the cultivation of plants may be viewed as the earliest biotechnological enterprise.
Agriculture has been theorized to have become the dominant way of producing food since the Neolithic Revolution. Through early biotechnology, the earliest farmers selected and bred the best-suited crops (e.g., those with the highest yields) to produce enough food to support a growing population. As crops and fields became increasingly large and difficult to maintain, it was discovered that specific organisms and their by-products could effectively fertilize, restore nitrogen, and control pests. Throughout the history of agriculture, farmers have inadvertently altered the genetics of their crops through introducing them to new environments and breeding them with other plants — one of the first forms of biotechnology.
These processes also were included in early fermentation of beer. These processes were introduced in early Mesopotamia, Egypt, China and India, and still use the same basic biological methods. In brewing, malted grains (containing enzymes) convert starch from grains into sugar and then adding specific yeasts to produce beer. In this process, carbohydrates in the grains broke down into alcohols, such as ethanol. Later, other cultures produced the process of lactic acid fermentation, which produced other preserved foods, such as soy sauce. Fermentation was also used in this time period to produce leavened bread. Although the process of fermentation was not fully understood until Louis Pasteur's work in 1857, it is still the first use of biotechnology to convert a food source into another form.
Before the time of Charles Darwin's work and life, animal and plant scientists had already used selective breeding. Darwin added to that body of work with his scientific observations about the ability of science to change species. These accounts contributed to Darwin's theory of natural selection.
For thousands of years, humans have used selective breeding to improve the production of crops and livestock to use them for food. In selective breeding, organisms with desirable characteristics are mated to produce offspring with the same characteristics. For example, this technique was used with corn to produce the largest and sweetest crops.
In the early twentieth century scientists gained a greater understanding of microbiology and explored ways of manufacturing specific products. In 1917, Chaim Weizmann first used a pure microbiological culture in an industrial process, that of manufacturing corn starch using Clostridium acetobutylicum, to produce acetone, which the United Kingdom desperately needed to manufacture explosives during World War I.
Biotechnology has also led to the development of antibiotics. In 1928, Alexander Fleming discovered the mold Penicillium. His work led to the purification of the antibiotic compound formed by the mold by Howard Florey, Ernst Boris Chain and Norman Heatley – to form what we today know as penicillin. In 1940, penicillin became available for medicinal use to treat bacterial infections in humans.
The field of modern biotechnology is generally thought of as having been born in 1971 when Paul Berg's (Stanford) experiments in gene splicing had early success. Herbert W. Boyer (Univ. Calif. at San Francisco) and Stanley N. Cohen (Stanford) significantly advanced the new technology in 1972 by transferring genetic material into a bacterium, such that the imported material would be reproduced. The commercial viability of a biotechnology industry was significantly expanded on June 16, 1980, when the United States Supreme Court ruled that a genetically modified microorganism could be patented in the case of Diamond v. Chakrabarty. Indian-born Ananda Chakrabarty, working for General Electric, had modified a bacterium (of the genus Pseudomonas) capable of breaking down crude oil, which he proposed to use in treating oil spills. (Chakrabarty's work did not involve gene manipulation but rather the transfer of entire organelles between strains of the Pseudomonas bacterium).
The MOSFET (metal–oxide–semiconductor field-effect transistor) was invented by Mohamed M. Atalla and Dawon Kahng in 1959. Two years later, Leland C. Clark and Champ Lyons invented the first biosensor in 1962. Biosensor MOSFETs were later developed, and they have since been widely used to measure physical, chemical, biological and environmental parameters. The first BioFET was the ion-sensitive field-effect transistor (ISFET), invented by Piet Bergveld in 1970. It is a special type of MOSFET, where the metal gate is replaced by an ion-sensitive membrane, electrolyte solution and reference electrode. The ISFET is widely used in biomedical applications, such as the detection of DNA hybridization, biomarker detection from blood, antibody detection, glucose measurement, pH sensing, and genetic technology.
By the mid-1980s, other BioFETs had been developed, including the gas sensor FET (GASFET), pressure sensor FET (PRESSFET), chemical field-effect transistor (ChemFET), reference ISFET (REFET), enzyme-modified FET (ENFET) and immunologically modified FET (IMFET). By the early 2000s, BioFETs such as the DNA field-effect transistor (DNAFET), gene-modified FET (GenFET) and cell-potential BioFET (CPFET) had been developed.
A factor influencing the biotechnology sector's success is improved intellectual property rights legislation—and enforcement—worldwide, as well as strengthened demand for medical and pharmaceutical products to cope with an ageing, and ailing, U.S. population.
Rising demand for biofuels is expected to be good news for the biotechnology sector, with the Department of Energy estimating ethanol usage could reduce U.S. petroleum-derived fuel consumption by up to 30% by 2030. The biotechnology sector has allowed the U.S. farming industry to rapidly increase its supply of corn and soybeans—the main inputs into biofuels—by developing genetically modified seeds that resist pests and drought. By increasing farm productivity, biotechnology boosts biofuel production.
Examples
Biotechnology has applications in four major industrial areas, including health care (medical), crop production and agriculture, non-food (industrial) uses of crops and other products (e.g., biodegradable plastics, vegetable oil, biofuels), and environmental uses.
For example, one application of biotechnology is the directed use of microorganisms for the manufacture of organic products (examples include beer and milk products). Another example is using naturally present bacteria by the mining industry in bioleaching. Biotechnology is also used to recycle, treat waste, clean up sites contaminated by industrial activities (bioremediation), and also to produce biological weapons.
A series of derived terms have been coined to identify several branches of biotechnology, for example:
Bioinformatics (also called "gold biotechnology") is an interdisciplinary field that addresses biological problems using computational techniques, and makes the rapid organization as well as analysis of biological data possible. The field may also be referred to as computational biology, and can be defined as, "conceptualizing biology in terms of molecules and then applying informatics techniques to understand and organize the information associated with these molecules, on a large scale". Bioinformatics plays a key role in various areas, such as functional genomics, structural genomics, and proteomics, and forms a key component in the biotechnology and pharmaceutical sector.
Blue biotechnology is based on the exploitation of sea resources to create products and industrial applications. This branch of biotechnology is the most used for the industries of refining and combustion principally on the production of bio-oils with photosynthetic micro-algae.
Green biotechnology is biotechnology applied to agricultural processes. An example would be the selection and domestication of plants via micropropagation. Another example is the designing of transgenic plants to grow under specific environments in the presence (or absence) of chemicals. One hope is that green biotechnology might produce more environmentally friendly solutions than traditional industrial agriculture. An example of this is the engineering of a plant to express a pesticide, thereby ending the need of external application of pesticides. An example of this would be Bt corn. Whether or not green biotechnology products such as this are ultimately more environmentally friendly is a topic of considerable debate. It is commonly considered as the next phase of green revolution, which can be seen as a platform to eradicate world hunger by using technologies which enable the production of more fertile and resistant, towards biotic and abiotic stress, plants and ensures application of environmentally friendly fertilizers and the use of biopesticides, it is mainly focused on the development of agriculture. On the other hand, some of the uses of green biotechnology involve microorganisms to clean and reduce waste.
Red biotechnology is the use of biotechnology in the medical and pharmaceutical industries, and health preservation. This branch involves the production of vaccines and antibiotics, regenerative therapies, creation of artificial organs and new diagnostics of diseases. As well as the development of hormones, stem cells, antibodies, siRNA and diagnostic tests.
White biotechnology, also known as industrial biotechnology, is biotechnology applied to industrial processes. An example is the designing of an organism to produce a useful chemical. Another example is the using of enzymes as industrial catalysts to either produce valuable chemicals or destroy hazardous/polluting chemicals. White biotechnology tends to consume less in resources than traditional processes used to produce industrial goods.
"Yellow biotechnology" refers to the use of biotechnology in food production (food industry), for example in making wine (winemaking), cheese (cheesemaking), and beer (brewing) by fermentation. It has also been used to refer to biotechnology applied to insects. This includes biotechnology-based approaches for the control of harmful insects, the characterisation and utilisation of active ingredients or genes of insects for research, or application in agriculture and medicine and various other approaches.
Gray biotechnology is dedicated to environmental applications, and focused on the maintenance of biodiversity and the remotion of pollutants.
Brown biotechnology is related to the management of arid lands and deserts. One application is the creation of enhanced seeds that resist extreme environmental conditions of arid regions, which is related to the innovation, creation of agriculture techniques and management of resources.
Violet biotechnology is related to law, ethical and philosophical issues around biotechnology.
Dark biotechnology is the color associated with bioterrorism or biological weapons and biowarfare which uses microorganisms, and toxins to cause diseases and death in humans, livestock and crops.
Medicine
In medicine, modern biotechnology has many applications in areas such as pharmaceutical drug discoveries and production, pharmacogenomics, and genetic testing (or genetic screening). In 2021, nearly 40% of the total company value of pharmaceutical biotech companies worldwide were active in Oncology with Neurology and Rare Diseases being the other two big applications.
Pharmacogenomics (a combination of pharmacology and genomics) is the technology that analyses how genetic makeup affects an individual's response to drugs. Researchers in the field investigate the influence of genetic variation on drug responses in patients by correlating gene expression or single-nucleotide polymorphisms with a drug's efficacy or toxicity. The purpose of pharmacogenomics is to develop rational means to optimize drug therapy, with respect to the patients' genotype, to ensure maximum efficacy with minimal adverse effects. Such approaches promise the advent of "personalized medicine"; in which drugs and drug combinations are optimized for each individual's unique genetic makeup.
Biotechnology has contributed to the discovery and manufacturing of traditional small molecule pharmaceutical drugs as well as drugs that are the product of biotechnology – biopharmaceutics. Modern biotechnology can be used to manufacture existing medicines relatively easily and cheaply. The first genetically engineered products were medicines designed to treat human diseases. To cite one example, in 1978 Genentech developed synthetic humanized insulin by joining its gene with a plasmid vector inserted into the bacterium Escherichia coli. Insulin, widely used for the treatment of diabetes, was previously extracted from the pancreas of abattoir animals (cattle or pigs). The genetically engineered bacteria are able to produce large quantities of synthetic human insulin at relatively low cost. Biotechnology has also enabled emerging therapeutics like gene therapy. The application of biotechnology to basic science (for example through the Human Genome Project) has also dramatically improved our understanding of biology and as our scientific knowledge of normal and disease biology has increased, our ability to develop new medicines to treat previously untreatable diseases has increased as well.
Genetic testing allows the genetic diagnosis of vulnerabilities to inherited diseases, and can also be used to determine a child's parentage (genetic mother and father) or in general a person's ancestry. In addition to studying chromosomes to the level of individual genes, genetic testing in a broader sense includes biochemical tests for the possible presence of genetic diseases, or mutant forms of genes associated with increased risk of developing genetic disorders. Genetic testing identifies changes in chromosomes, genes, or proteins. Most of the time, testing is used to find changes that are associated with inherited disorders. The results of a genetic test can confirm or rule out a suspected genetic condition or help determine a person's chance of developing or passing on a genetic disorder. As of 2011 several hundred genetic tests were in use. Since genetic testing may open up ethical or psychological problems, genetic testing is often accompanied by genetic counseling.
Agriculture
Genetically modified crops ("GM crops", or "biotech crops") are plants used in agriculture, the DNA of which has been modified with genetic engineering techniques. In most cases, the main aim is to introduce a new trait that does not occur naturally in the species. Biotechnology firms can contribute to future food security by improving the nutrition and viability of urban agriculture. Furthermore, the protection of intellectual property rights encourages private sector investment in agrobiotechnology.
Examples in food crops include resistance to certain pests, diseases, stressful environmental conditions, resistance to chemical treatments (e.g. resistance to a herbicide), reduction of spoilage, or improving the nutrient profile of the crop. Examples in non-food crops include production of pharmaceutical agents, biofuels, and other industrially useful goods, as well as for bioremediation.
Farmers have widely adopted GM technology. Between 1996 and 2011, the total surface area of land cultivated with GM crops had increased by a factor of 94, from to 1,600,000 km2 (395 million acres). 10% of the world's crop lands were planted with GM crops in 2010. As of 2011, 11 different transgenic crops were grown commercially on 395 million acres (160 million hectares) in 29 countries such as the US, Brazil, Argentina, India, Canada, China, Paraguay, Pakistan, South Africa, Uruguay, Bolivia, Australia, Philippines, Myanmar, Burkina Faso, Mexico and Spain.
Genetically modified foods are foods produced from organisms that have had specific changes introduced into their DNA with the methods of genetic engineering. These techniques have allowed for the introduction of new crop traits as well as a far greater control over a food's genetic structure than previously afforded by methods such as selective breeding and mutation breeding. Commercial sale of genetically modified foods began in 1994, when Calgene first marketed its Flavr Savr delayed ripening tomato. To date most genetic modification of foods have primarily focused on cash crops in high demand by farmers such as soybean, corn, canola, and cotton seed oil. These have been engineered for resistance to pathogens and herbicides and better nutrient profiles. GM livestock have also been experimentally developed; in November 2013 none were available on the market, but in 2015 the FDA approved the first GM salmon for commercial production and consumption.
There is a scientific consensus that currently available food derived from GM crops poses no greater risk to human health than conventional food, but that each GM food needs to be tested on a case-by-case basis before introduction. Nonetheless, members of the public are much less likely than scientists to perceive GM foods as safe. The legal and regulatory status of GM foods varies by country, with some nations banning or restricting them, and others permitting them with widely differing degrees of regulation.
GM crops also provide a number of ecological benefits, if not used in excess. Insect-resistant crops have proven to lower pesticide usage, therefore reducing the environmental impact of pesticides as a whole. However, opponents have objected to GM crops per se on several grounds, including environmental concerns, whether food produced from GM crops is safe, whether GM crops are needed to address the world's food needs, and economic concerns raised by the fact these organisms are subject to intellectual property law.
Biotechnology has several applications in the realm of food security. Crops like Golden rice are engineered to have higher nutritional content, and there is potential for food products with longer shelf lives. Though not a form of agricultural biotechnology, vaccines can help prevent diseases found in animal agriculture. Additionally, agricultural biotechnology can expedite breeding processes in order to yield faster results and provide greater quantities of food. Transgenic biofortification in cereals has been considered as a promising method to combat malnutrition in India and other countries.
Industrial
Industrial biotechnology (known mainly in Europe as white biotechnology) is the application of biotechnology for industrial purposes, including industrial fermentation. It includes the practice of using cells such as microorganisms, or components of cells like enzymes, to generate industrially useful products in sectors such as chemicals, food and feed, detergents, paper and pulp, textiles and biofuels. In the current decades, significant progress has been done in creating genetically modified organisms (GMOs) that enhance the diversity of applications and economical viability of industrial biotechnology. By using renewable raw materials to produce a variety of chemicals and fuels, industrial biotechnology is actively advancing towards lowering greenhouse gas emissions and moving away from a petrochemical-based economy.
Synthetic biology is considered one of the essential cornerstones in industrial biotechnology due to its financial and sustainable contribution to the manufacturing sector. Jointly biotechnology and synthetic biology play a crucial role in generating cost-effective products with nature-friendly features by using bio-based production instead of fossil-based. Synthetic biology can be used to engineer model microorganisms, such as Escherichia coli, by genome editing tools to enhance their ability to produce bio-based products, such as bioproduction of medicines and biofuels. For instance, E. coli and Saccharomyces cerevisiae in a consortium could be used as industrial microbes to produce precursors of the chemotherapeutic agent paclitaxel by applying the metabolic engineering in a co-culture approach to exploit the benefits from the two microbes.
Another example of synthetic biology applications in industrial biotechnology is the re-engineering of the metabolic pathways of E. coli by CRISPR and CRISPRi systems toward the production of a chemical known as 1,4-butanediol, which is used in fiber manufacturing. In order to produce 1,4-butanediol, the authors alter the metabolic regulation of the Escherichia coli by CRISPR to induce point mutation in the gltA gene, knockout of the sad gene, and knock-in six genes (cat1, sucD, 4hbd, cat2, bld, and bdh). Whereas CRISPRi system used to knockdown the three competing genes (gabD, ybgC, and tesB) that affect the biosynthesis pathway of 1,4-butanediol. Consequently, the yield of 1,4-butanediol significantly increased from 0.9 to 1.8 g/L.
Environmental
Environmental biotechnology includes various disciplines that play an essential role in reducing environmental waste and providing environmentally safe processes, such as biofiltration and biodegradation. The environment can be affected by biotechnologies, both positively and adversely. Vallero and others have argued that the difference between beneficial biotechnology (e.g., bioremediation is to clean up an oil spill or hazard chemical leak) versus the adverse effects stemming from biotechnological enterprises (e.g., flow of genetic material from transgenic organisms into wild strains) can be seen as applications and implications, respectively. Cleaning up environmental wastes is an example of an application of environmental biotechnology; whereas loss of biodiversity or loss of containment of a harmful microbe are examples of environmental implications of biotechnology.
Regulation
The regulation of genetic engineering concerns approaches taken by governments to assess and manage the risks associated with the use of genetic engineering technology, and the development and release of genetically modified organisms (GMO), including genetically modified crops and genetically modified fish. There are differences in the regulation of GMOs between countries, with some of the most marked differences occurring between the US and Europe. Regulation varies in a given country depending on the intended use of the products of the genetic engineering. For example, a crop not intended for food use is generally not reviewed by authorities responsible for food safety. The European Union differentiates between approval for cultivation within the EU and approval for import and processing. While only a few GMOs have been approved for cultivation in the EU a number of GMOs have been approved for import and processing. The cultivation of GMOs has triggered a debate about the coexistence of GM and non-GM crops. Depending on the coexistence regulations, incentives for the cultivation of GM crops differ.
Database for the GMOs used in the EU
The EUginius (European GMO Initiative for a Unified Database System) database is intended to help companies, interested private users and competent authorities to find precise information on the presence, detection and identification of GMOs used in the European Union. The information is provided in English.
Learning
In 1988, after prompting from the United States Congress, the National Institute of General Medical Sciences (National Institutes of Health) (NIGMS) instituted a funding mechanism for biotechnology training. Universities nationwide compete for these funds to establish Biotechnology Training Programs (BTPs). Each successful application is generally funded for five years then must be competitively renewed. Graduate students in turn compete for acceptance into a BTP; if accepted, then stipend, tuition and health insurance support are provided for two or three years during the course of their PhD thesis work. Nineteen institutions offer NIGMS supported BTPs. Biotechnology training is also offered at the undergraduate level and in community colleges.
References and notes
External links
What is Biotechnology? – A curated collection of resources about the people, places and technologies that have enabled biotechnology
Life sciences industry | 13 |
The Battle of Poitiers was fought on 19September 1356 between a French army commanded by King JohnII and an Anglo-Gascon force under Edward, the Black Prince, during the Hundred Years' War. It took place in western France, south of Poitiers, when approximately 14,000 to 16,000 French attacked a strong defensive position held by 6,000 Anglo-Gascons.
Nineteen years after the start of the war, the Black Prince, eldest son and heir of the English King, set out on a major campaign in south-west France. His army marched from Bergerac to the River Loire, which they were unable to cross. John gathered a large and unusually mobile army and pursued Edward's forces. The Anglo-Gascons had by this point established a strong defensive position near Poitiers, and after unsuccessful negotiations between the two sides, were attacked by the French.
The first assault included two units of heavily armoured cavalry, a strong force of crossbowmen as well as many infantry and dismounted men-at-arms. They were driven back by the Anglo-Gascons, who were fighting entirely on foot. A second French attack by 4,000 men-at-arms on foot under John's son and heir Charles, the Dauphin, followed. After a prolonged fight this was also repulsed. As the Dauphin's division recoiled there was confusion in the French ranks: about half the men of their third division, under Philip, Duke of Orléans, left the field, taking with them all four of John's sons. Some of those who did not withdraw with Philip launched a weak and unsuccessful third assault. Those Frenchmen remaining gathered around the King and launched a fourth assault against the by now exhausted Anglo-Gascons, again all as infantry. The French sacred banner, the , was unfurled, the signal that no prisoners were to be taken. Battle was again joined, with the French slowly getting the better of it. Then a small, mounted, Anglo-Gascon force of 160 men, who had been sent earlier to threaten the French rear, appeared behind the French. Believing themselves surrounded, some Frenchmen fled, which panicked others, and soon the entire French force collapsed.
John was captured, as was one of his sons and between 2,000 and 3,000 men-at-arms. Approximately 2,500 French men-at-arms were killed. Additionally, either 1,500 or 3,800 French common infantry were killed or captured. The surviving French dispersed, while the Anglo-Gascons continued their withdrawal to Gascony. The following spring a two-year truce was agreed and the Black Prince escorted John to London. Populist revolts broke out across France. Negotiations to end the war and ransom John dragged out. In response Edward launched a further campaign in 1359. During this, both sides compromised and the Treaty of Brétigny was agreed in 1360 by which vast areas of France were ceded to England, to be ruled by the Black Prince, and John was ransomed for three million gold écu. At the time this seemed to end the war, but the French resumed hostilities in 1369 and recaptured most of the lost territory. The war eventually ended with a French victory in 1453.
Background
Since the Norman Conquest of 1066, English monarchs had held titles and lands within France, the possession of which made them vassals of the kings of France. By the first quarter of the fourteenth century, the only significant French possession still held by the English in France was Gascony in the south west. But Gascony was disproportionately important: duty levied by the English Crown on wine from Bordeaux, the capital of Gascony, totaled more than all other English customs duties combined and was by far the largest source of state income. Bordeaux had a population of more than 50,000, greater than London's, and Bordeaux was possibly richer. Following a series of disagreements between Philip VI of France () and Edward III of England (), on 24 May 1337 Philip's Great Council agreed that the lands held by EdwardIII in France should be taken back into Philip's hands on the grounds that EdwardIII was in breach of his obligations as a vassal. This marked the start of the Hundred Years' War, which was to last 116 years.
Although Gascony was the cause of the war, EdwardIII was able to spare few resources for its defence. In most campaigning seasons the Gascons had to rely on their own resources and had been hard-pressed by the French. Typically the Gascons could field 3,000 to 6,000 men, the large majority infantry, although up to two-thirds of them would be tied down in garrisoning their fortifications. In 1345 and 1346 Henry, Earl of Lancaster, led a series of successful Anglo-Gascon campaigns in Aquitaine and was able to push the focus of the fighting away from the heart of Gascony.
The French port of Calais fell to the English in August 1347 after the Crécy campaign. Shortly after this the Truce of Calais was signed, partially the result of both countries being financially exhausted. The same year the Black Death reached northern France and southern England and is estimated to have killed a third of the population of Western Europe; the death rate was over 40% in southern England. This catastrophe, which lasted until 1350, temporarily halted the fighting. The treaty was extended repeatedly over the years; this did not stop ongoing naval clashes, nor small-scale fightingwhich was especially fierce in south-west Francenor occasional fighting on a larger scale.
A treaty to end the war was negotiated at Guînes and signed on 6 April 1354. However, the composition of the inner council of the French king, JohnII (), changed and sentiment turned against its terms. John decided not to ratify it, and it was clear that from the summer of 1355 that both sides would be committed to full-scale war. In April 1355 EdwardIII and his council, with the treasury in an unusually favourable financial position, decided to launch offensives that year in both northern France and Gascony. John attempted to strongly garrison his northern towns and fortifications against the expected descent by EdwardIII, at the same time as assembling a field army; he was unable to, largely because of a lack of money.
Black Prince arrives
In 1355 EdwardIII's eldest son, Edward of Woodstock, later commonly known as the Black Prince, was given the Gascon command and began assembling men, shipping and supplies. He arrived in Bordeaux on 20September accompanied by 2,200 English soldiers. The next day he was formally acknowledged as the king's lieutenant in Gascony, with plenipotentiary powers, by the Gascon officials and dignitaries. Gascon nobles reinforced him to a strength of somewhere between 5,000 and 6,000 and provided a bridging train and a substantial supply train.
Edward set out on 5October on a , which was a large-scale mounted raid. The Anglo-Gascon force marched from Bordeaux to Narbonnealmost on the Mediterranean coast and deep in French-held territoryand back to Gascony. They devastated a wide swathe of French territory and sacked many French towns on the way. John, Count of Armagnac, who commanded the local French forces, avoided battle, and there was little fighting. While no territory was captured, enormous economic damage was done to France; the modern historian Clifford Rogers concluded "the importance of the economic attrition aspect of the can hardly be exaggerated." The expedition returned to Gascony on 2December having marched .
1356
The English troops resumed the offensive from Gascony after Christmas to great effect. More than 50 French-held towns or fortifications were captured during the following four months, including strategically important towns close to the borders of Gascony, and others more than away. Local French commanders did not attempt countermeasures. Several members of the local French nobility changed allegiance to the English; the Black Prince received homage from them on 24April 1356.
Money and enthusiasm for the war were running low in France. The modern historian Jonathan Sumption describes the French national administration as "fall[ing] apart in jealous acrimony and recrimination". A contemporary chronicler recorded "the King of France was severely hated in his own realm". The town of Arras rebelled and killed loyalists. The major nobles of Normandy refused to pay taxes. On 5April 1356 John arrested the notoriously treacherous CharlesII, king of Navarre, one of the largest landholders in Normandy and nine more of his more outspoken critics; four were summarily executed. The Norman nobles who had not been arrested turned to Edward for assistance.
Seeing an opportunity, Edward III diverted an expedition planned for Brittany under Henry of Lancaster to Normandy in late June. Lancaster set off with 2,300 men and pillaged and burnt his way eastward across Normandy. King John moved to Rouen with a much stronger force, hoping to intercept Lancaster. After relieving and re-victualling the besieged fortifications of Breteuil and Pont-Audemer the English stormed and sacked the town of Verneuil. John pursued, but bungled several opportunities to bring the English to battle and they escaped. In three weeks the expedition had, with few casualties, seized a large amount of loot including many horses, cemented new alliances, and damaged the French economy and prestige. The French King returned to Breteuil and re-established the siege, where he continued to be distracted from the English preparations for a greater from south-west France.
Prelude
Manoeuvres
On 4August 1356 a combined force of 6,000 Gascon and English fighting men headed north from Bergerac. They were accompanied by approximately 4,000 non-combatants. All of the fighting men were mounted, including those who would always fight on foot, such as the archers. On 14August the Anglo-Gascon army separated into three divisions, which moved north abreast of each other and began to systematically devastate the countryside. There would be approximately between the flanking units, enabling them to devastate a band of French territory more than wide, yet be able to unite to face an enemy at approximately a day's notice. They advanced slowly, to facilitate their tasks of looting and destruction. The modern historian David Green describes the progress of the Black Prince's army as "deliberately destructive, extremely brutal... methodical and sophisticated." Several strong castles were assaulted and captured. The populaces of most towns fled, or surrendered at the first sight of Anglo-Gascon troops. Overall, there was little French resistance. If a French field army had been in the area, the Anglo-Gascon forces would have had to stay relatively close together, ready to support each other if attacked. The absence of any such French force enabled the Prince's formations to disperse widely to maximise their destructive effect on the French countryside.
The main French army remained in Normandy. Despite it being clear that Breteuil could be neither stormed nor starved, John felt unable to abandon its siege as this would undermine his prestige as a warrior-king. He declined to march against the Black Prince, declaring that the garrison of Breteuil posed a more serious threat. At some point in August an unusually large belfry, or mobile siege tower, was pushed up to the walls of Breteuil and a full-scale assault launched. The defenders set fire to the belfry and repulsed the attack. Sumption describes the French losses in this attack as "terrible" and the entire second siege as "a pointless endeavour". The historian Kenneth Fowler describes the siege as "magnificent but archaic". Eventually John had to give way to the pressure to do something to prevent the destruction being inflicted in south-west France. Sometime around 20August he offered the garrison of Breteuil free passage, a huge bribe and permission to take with them their valuables and goods, which persuaded them to vacate the town. The French army promptly marched south, as all available forces were concentrated against the Black Prince.
Hearing on 28August that John was marching on Tours and was prepared to give battle, the Black Prince moved his three divisions closer together and ordered them to move towards Tours. He was also willing to fight an open battle, if he could do so under the right circumstances. He still hoped to cross the Loire River, both to be able to come to grips with the French army and to link up with either Edward III's or Lancaster's army, if they were in the area. The French royal army from Breteuil had moved to Chartres, where it received reinforcements, particularly of men-at-arms. John sent home nearly all of the infantry contingents, which reduced the French wage bill and left an entirely mounted force that had the mobility and speed to match that of the Black Prince's all-mounted army. Two hundred Scottish picked men-at-arms under William, Lord of Douglas, joined John at Chartres. Once John felt he had an overwhelmingly strong force it set off south towards the Loire, and then south west along its north bank. Early on 8September the Black Prince's army reached Tours, where he received news that Lancaster was not far to the east, on the other side of the Loire, and hoped to join him soon. The Anglo-Gascons prepared for battle and expected the imminent arrival of the French. But John had crossed the Loire at Blois, to the east of Tours, on 10September, where he was joined by the army of his son John, Count of Poitiers.
Meanwhile, the anticipated support from England failed to materialise. In early August an Aragonese galley fleet, which had sailed from Barcelona in April, arrived in the English Channel. The fleet hired by the French only contained nine galleys, but it caused panic among the English. Edward's attempts to raise an army to send to France were still underway and shipping was being assembled. The troops gathered were split up to guard the coast and the ships sailing to Southampton to transport the army were ordered to remain in port until the galleys had left. At some point in August Lancaster marched south from eastern Brittany with an army of 2,500 men or more. The unusual height of the Loire and the French control of its bridges meant Lancaster was unable to cross and effect a junction. In early September he abandoned the attempt to force a crossing at Les Ponts-de-Cé and returned to Brittany where he laid siege to its capital, Rennes.
Strategy
The Anglo-Gascon army was treading a balance. While there were no large French forces facing them they spread out to loot and despoil the land. But their primary objective was to use the threat of devastation to force, or perhaps persuade, the French army to attack them. The Anglo-Gascons were confident that fighting defensively on ground of their choosing they could defeat a numerically superior French force. In the event of the French being too numerous they were equally confident that they could avoid battle by manoeuvring. The French, aware of this approach, usually attempted to isolate English forces against a river or the sea, where the threat of starvation would force them to take the tactical offensive and attack the French in a prepared position. Once he crossed the Loire, John repeatedly attempted to interpose his army between the Anglo-Gascons and Gascony, so they would be forced to try and fight their way out. Meanwhile the Black Prince did not wish to rapidly retreat to the safety of Gascony, but to manoeuvre in the vicinity of the French army so as to persuade it to attack on unfavourable terms, without himself becoming cut off. He was aware that John had been eager to fight Lancaster's force in Normandy in June and anticipated this enthusiasm for battle would continue.
Movement to contact
Once he had crossed the Loire on 10September and been reinforced John moved to cut off the Anglo-Gascon line of retreat. Hearing of this, and losing hope that Lancaster would be able to join him, the Black Prince moved his army some south to Montbazon where he took up a fresh defensive position on 12September. The same day John's son and heir, Charles, the Dauphin, entered Tours, having travelled from Normandy with 1,000 men-at-arms, and Hélie de Talleyrand-Périgord, Cardinal of Périgord, arrived at the Black Prince's camp to attempt to negotiate a two-day truce on behalf of Pope Innocent VI. According to differing sources this was to be followed by peace negotiations or an arranged battle. The Black Prince dismissed Talleyrand and, happy to do battle, but concerned that a two-day delay would leave his army with its back to the Loire in an area with few supplies, marched hard and crossed the River Creuse at La Haye on 13September, to the south. John, aware he outnumbered the Anglo-Gascons, was also eager to wipe them out in battle and so similarly ignored Talleyrand. The French army continued to march south parallel to the English, rather than moving directly towards them, with the aim of cutting their lines of retreat and supply. On 14September the English marched south-west to Châtellerault on the Vienne.
At Châtellerault the Black Prince felt there were no geographical barriers against which the French could pin his army and that he was occupying an advantageous defensive position. He arrived there on 14September, the day Talleyrand had proposed for the two armies to engage in battle, and waited for the French to come to him. Two days later his scouts reported that John had bypassed his position and was about to cross the Vienne at Chauvigny. At this point the French had lost track of the Anglo-Gascon army and were unaware of its position, but were about to position themselves south of the Anglo-Gascons and directly in their path back to friendly territory. The Black Prince saw an opportunity to attack the French while they were on the march, or possibly even while crossing the Vienne, and so set off at first light on 17September to intercept them, leaving his baggage train behind to follow on as best it could.
When the Anglo-Gascon vanguard reached Chauvigny most of the French army had already crossed and marched on towards Poitiers. A force of 700 men-at-arms of the French rearguard was intercepted near Savigny-Lévescault. Contemporary accounts note that they were not wearing helmets, suggesting they were completely unarmoured and not expecting battle. They were rapidly routed with 240 killed or captured, including 3 counts taken prisoner. Many Anglo-Gascons pursued the remaining, fleeing, French, although the Black Prince held back most of his army, not wishing to scatter it in the close vicinity of the enemy, and camped at Savigny-Lévescault. In response, John drew up his army outside Poitiers in battle order.
Negotiations
On 18September the Anglo-Gascons marched towards Poitiers arrayed for battle. They took up a strong, carefully selected position south of Poitiers on a wooded hill in the and began preparing it for a defensive battle: digging pits to impede the French advance (especially that of mounted troops) and trenches, and forming barricades to fight behind. They hoped that the French would launch an impromptu assault. Instead, Talleyrand rode up to negotiate. The Black Prince was initially disinclined to delay any battle. He was persuaded to discuss terms after Talleyrand pointed out that the two armies were now so close that if the French declined to attack, the Anglo-Gascons would find it almost impossible to withdraw. If they attempted to the French would attack, aiming to defeat them in detail, and if they stood their position they would run out of supplies before the French. The Anglo-Gascons need to stay concentrated in the presence of the French army and several days' hard marching had reduced the opportunities to forage. Because of this, food was almost exhausted. Unknown to Talleyrand the Anglo-Gascons were already unable to find sufficient water for their horses.
After lengthy negotiations the Black Prince agreed extensive concessions in exchange for free passage to Gascony. However, they were dependent on the agreement being ratified by his father, EdwardIII. Unknown to Talleyrand or the French, Edward had given his son written permission to, in such circumstances, "help himself by making a truce or armistice, or in any other way that seems best to him." This has caused modern historians to doubt the Prince's sincerity. The French discussed these proposals at length, with John in favour. Several senior advisers felt it would be humiliating to, as they saw it, have at their mercy the Anglo-Gascon army which had devastated so much of France and to tamely allow it to escape. John was persuaded and Talleyrand informed the Black Prince he could expect a battle. Attempts to agree a site for the battle failed, as the French wished the Anglo-Gascons to move out of their strong defensive position and the English wished to remain there. At dawn on 19September Talleyrand again attempted to arrange a truce, but as his army's supplies were already running out the Black Prince rejected this.
Opposing forces
Anglo-Gascon army
The Anglo-Gascon army is generally considered by modern historians to have consisted of 6,000 men: 3,000 men-at-arms, 2,000 English and Welsh longbowmen and 1,000 Gascon infantry. The latter included many equipped with either crossbows or javelins, both classed as light infantry. Some contemporary accounts give lower numbers of 4,800 or 5,000. The division of the men-at-arms between English and Gascons is not recorded, but the previous year, when campaigning with a similarly sized army, 1,000 of the Prince's men-at-arms had been English. All of the Anglo-Gascons travelled on horses, but all or nearly all of them dismounted to fight.
The men-at-arms of both armies were, broadly, knights or knights in training. They were drawn from the landed gentry and ranged from great lords to the relatives and attendants of minor landowners. They needed to be able to equip themselves with a full suit of armour and a warhorse. They wore a quilted gambeson under mail (armour) which covered the body and limbs. This was supplemented by varying amounts of plate armour on the body and limbs, more so for wealthier and more experienced men. Heads were protected by bascinets: open-faced military iron or steel helmets, with mail attached to the lower edge of the helmet to protect the throat, neck and shoulders. A moveable visor (face guard) protected the face. Heater shields, typically made from thin wood overlaid with leather, were carried. The English men-at-arms were all dismounted. The weapons they used are not recorded, but in similar battles they used their lances as pikes, cut them down to use as short spears, or fought with swords and battle-axes.
The longbow used by the English and Welsh archers was unique to them; it took up to ten years to master and an experienced archer could discharge up to ten arrows per minute well over . Computer analysis by Warsaw University of Technology in 2017 demonstrated that heavy bodkin point arrows could penetrate typical plate armour of the time at . The depth of penetration would be slight at that range; predicted penetration increased as the range closed or against armour of less than the best quality available at the time. At short range longbow arrows could pierce any practicable thickness of plate armour if they struck at the correct angle. Archers carried one quiver of 24 arrows as standard. There may have been a resupply of ammunition from the wagons to the rear during the battle to at least some longbowmen; the archers also ventured forward during pauses in the fighting to retrieve arrows.
The Anglo-Gascons were divided into three divisions or "battles". The one on the left was commanded by Thomas, Earl of Warwick, marshal of England and a veteran of the Battle of Crecy, where he had been guardian to the Black Prince. He had as deputies John, Earl of Oxford, and the Gascon lord Jean, Captal de Buch; they were assisted by mostly Gascon lords. As well as 1,000 men-at-arms, Warwick's division contained approximately 1,000 archers. The archers were positioned to the left of the men-at-arms. The right flank was under William, Earl of Salisbury, deputised by Robert, Earl of Suffolk, and Maurice, Baron Berkeley. Salisbury's division, like Warwick's, consisted of about 1,000 men-at-arms and 1,000 Welsh and English longbowmen. Again the archers were positioned on the flank of the men-at-arms, in this case the right. The Black Prince took command of the centre division, which consisted of men-at-arms and Gascon infantry: about 1,000 of each, only the flanking divisions contained longbowmen. He had two veteran campaigners, John Chandos and James Audley, as his deputies. Initially the Prince's force was held back behind the other two divisions as a reserve. Each division deployed four to five men deep. It is possible a further, small, reserve was held back behind the Prince's division.
French army
The French army was made up of between 14,000 and 16,000 men: 10,000 to 12,000 were men-at-arms, 2,000 were crossbowmen and 2,000 were infantrymen who were not classed as men-at-arms. Although most or all of the French had travelled mounted, they all fought dismounted at Poitiers except for two small groups of mounted knights, totalling either 300 or 500. These were selected from the Frenchmen who had the best armour, especially on their horses; horse armour is known as barding and the use of plate armour for this was a recent innovation in Western Europe. Their riders were equipped as the dismounted men-at-arms, apart from the superior quality of their armour. They wielded wooden lances, usually ash, tipped with iron and approximately long; their dismounted colleagues retained their lances, but cut them down to in order to use them as short spears. The crossbowmen wore metal helmets, brigandines (thick leather jerkins with varying amounts of small pieces of plate armour sewn to them) and possibly chain-mail hauberks. Crossbowmen usually fought from behind pavisesvery large shields with their own bearers, behind each of which three crossbowmen could shelter. A trained crossbowman could shoot his weapon approximately twice a minute and had a shorter effective range than a longbowman of about .
The French army was divided into four battles. The foremost division was led by the constable of France, Walter, Count of Brienne. As well as a large core of French men-at-arms it included 200 Scottish men-at-arms under William Douglas, most of the French infantry and crossbowmen and all of their cavalry. The two small groups of cavalry were each led by one of the two marshals of France: Arnoul d'Audrehem and Jean de Clermont. The leading French were approximately from the English. Behind this was a division led jointly by John's 19-year-old son and heir and John's uncle: Charles, the Dauphin, and Peter, Duke of Bourbon, respectively; Charles was experiencing his first taste of war. This formation consisted entirely of dismounted men-at-arms, 4,000 of them. The third division was led by John's younger brother, Philip, Duke of Orléans, also inexperienced in war, and was made up of approximately 3,200 men-at-arms. The rearmost division, of 2,000 men-at-arms and an uncertain number of crossbowmen, was commanded by the king himself.
Battle
First attack
The English had slept in or near their defensive positions and just after dawnwhich would have been at 5:40 amthe French drew themselves up in battle order with their leading men about from the English positions. After the two armies had been facing each other for about two hours the French detected movement among the English, and believed the Black Prince's personal standard was withdrawing. There is modern debate as to what movement took place. Some scholars have proposed that the movement was of wagons, escorted by cavalry from Warwick's division; the wagons may have been empty and returning to their laager in the rear, or full and moving to a safer position away from the front line, or both and the start of a staged withdrawal by the English. If the latter their escort may have been most or all of Warwick's division and the movement of the standard was possibly his being mistaken for the Prince's or the Prince moving back as the second part of the disengagement. Another proposal is that the Black Prince deliberately had his troops move to simulate a withdrawal and provoke a French attack. The commanders of the leading French division took the movement to be a full-scale English withdrawal and ordered their men to advance, thinking this movement would effectively be a pursuit, thus starting the fighting.
Audrehem's cavalry attacked Warwick's division on the English left, while Clermont charged Salisbury's on the right. In both cases the French plan was that they clear away the English archers, while given fire support by their own crossbowmen. However, the archers in Warwick's division were positioned in the edge of a marsh and this terrain prevented the French cavalry from getting to grips with them. The archers in turn found that the French armour and barding prevented them from firing effectively. To get close enough to penetrate the French armour, the longbowmen would have had to leave the protection of the marsh, which would have exposed them to the risk of being ridden down by the French. Instead, they turned their fire on the supporting crossbowmen and, having a superior rate of fire, were able to suppress them. Oxford realised the French horses were mostly only barded on their forequarters. He led some of the archers along the edge of the marsh to a position from which they could shoot into the horses' unprotected hindquarters. The French cavalry took heavy casualties and withdrew; Audrehem was captured.
On the English right Clermont advanced more cautiously, not far ahead of Brienne's dismounted troops. He discovered that Salisbury's men were defending a thick hedge with a single passable gap, wide enough for four horses abreast. Already committed to the attack, the French attempted to smash through the men-at-arms defending the gap. The English archers positioned in trenches near and to the right of the hedge are calculated to have fired 50 arrows per second at Clermont's group of cavalry. Gascon crossbowmen joined in; although they had a much lower rate of fire, they could penetrate plate armour at longer ranges. Despite this fire, the cavalry were able to reach the gap in the hedge with few casualties. Here a fierce melee broke out. With the French now halted and at close range, the longbowmen were more effective against them. The French were also heavily outnumbered by the English men-at-arms and were forced back with heavy losses, including Clermont killed.
The sources contain only details concerning the rest of the attack by the first French division, made up of a mixed force of French and foreign men-at-arms, and common heavy infantry. The bolts from their supporting crossbowmen were recorded as falling thickly, but with the cavalry repulsed the longbowmen turned against them and, having a superior rate of fire, were able to force them to withdraw in spite of their use of pavises. The division's leader, Brienne, the constable of France, was killed, as was one of Talleyrand's nephews, Robert of Durazzo, who had accompanied the Cardinal during his negotiations. Douglas either fled to save his life or was badly wounded and carried from the field. Given the heavy French casualties, it is assumed the attack was strongly pressed. As some contemporary sources summarise this phase of the fighting with "the first French division was defeated by the arrows of the English" it is also assumed by many modern historians that the longbowmen, still well supplied with ammunition able to punch straight through armour at close range, played a prominent part in the attack's repulse. The Black Prince was infuriated by the participation of Talleyrand's relatives and companions, and when told that a relative of the Cardinal, the châtelain d'Emposte, had been captured he ordered him beheaded; he was rapidly persuaded to withdraw the order by his advisers.
Second attack
There was no pursuit of the French survivors of the first attack as they retreated. The English were ordered to hold their positions and to take the opportunity to reform, as the next French division was already moving towards them. This, 4,000 strong, attacked vigorously. The French advanced against the steady fire of the English and Welsh archers, which caused many casualties, and were disordered by the retreating members of the first assault. The French had to force their way through the hedge the English were defending, which put them at a disadvantage, but they closed with the Anglo-Gascons in ferocious hand-to-hand fighting which went on for two hours.
They massed against two gaps in the hedge, on one occasion succeeding in driving back their opponents and breaking through; a force of archers had been deployed to cover this position and their fire cut down the leading Frenchmen, giving the Anglo-Gascons the opportunity to counter-attack and reform their line. Suffolk, aged almost 60, rode behind the Anglo-Gascon line, shouting encouragement, directing reinforcements to threatened points and telling the archers where to direct their fire. Throughout the battle the experienced English and Gascon commanders were able to manoeuvre and redeploy their troops in a way the French were not. The French commanders, mostly, carried out their orders and their men fought with reckless bravery, but they were inflexible. The Anglo-Gascons were able to respond in the heat of battle to French threats. Sumption describes this as "remarkable", David Green refers to "an extremely flexible tactical response". The historian Peter Hoskins states that most of the Anglo-Gascons having served together for a year "contributed to the discipline that the Anglo-Gascons displayed" and suggests that the French attack was ineptly handled.
A contemporary French chronicler described this second attack as "more amazing, harder and more lethal than the others". An English account states "Man fought frenziedly against man, each one striving to bring death to his opponent so that he himself might live." As the fighting went on, the Black Prince was forced to commit almost all of his reserves to reinforce weak spots. Both sides suffered many casualties. Audley was noted for being wounded in the body, head and face, and fighting on for the English. One of the French joint commanders, Bourbon, was killed, and the Dauphin's standard-bearer was captured. The Dauphin was accompanied by two of his brothers, Louis and John, and the trio's advisers and bodyguards were perturbed by the intensity of the fighting in their vicinity and forced them to withdraw from the front line to a safer position. Seeing this, the rest of the division, exhausted after two hours fighting and already demoralised by the death of Bourbon and the loss of the Dauphin's standard, withdrew as well. There was no panic and the disengagement was orderly. The senior surviving commanders of the division confirmed the movement and the surviving men-at-arms marched away from the Anglo-Gascons.
It is unclear if the Anglo-Gascons pursued the French, and if so, to what extent. Some modern historians state that the Anglo-Gascons again remained in their positions, as they had after the repulse of the first French division. Others write of a limited pursuit by individuals breaking ranks or of a full-blooded one by Warwick's division causing many French casualties. In any event, most of the Anglo-Gascons stood their ground, tended their wounded, knifed the French wounded and stripped their bodies and those of the already dead, and recovered what arrows they could find in the immediate vicinity, including those impaling dead and wounded Frenchmen. There were many English and Gascons wounded or dead and those still standing were exhausted from three hours of ferocious and near-continuous fighting.
Third attack
As the Dauphin's division recoiled there was confusion in the French ranks. The third French division contained 3,200 men-at-arms. Their commander, John's brother the Duke of Orléans, marched away from the battle with half of them and many of the survivors of the first two attacks. The contemporary sources contradict each other regarding the reasons for this. Orléans may have thought that the orderly withdrawal of the Dauphin's division marked a general retreat. There were official accounts after the battle that John had ordered Orléans to escort his four sons to safety, but these were widely disbelieved and rumoured to have been invented after the event to excuse the behaviour of Orléans and the men who had retreated with him. Three of John's four sons, including the Dauphin, did leave the field at this point; one, Philip, returned to his father's side and took part in the final attack. Of the 1,600 men who did not flee the scene, who included some from Orléans' inner circle, many joined the King's division behind. The rest advanced against the Anglo-Gascons and launched a feeble attack, which was repelled easily.
In the aftermath of this failure a number, possibly a large number, of men from Warwick's division left their positions and pursued the French. One motivation for this would have been their intention to take prisoners, the ransoming of whom could be extremely lucrative. Many of the English and Welsh archers again scavenged longbow arrows from the immediate vicinity. Of those men-at-arms who did not pursue, the majority were carrying wounds of varying degrees of severity and treating them was a preoccupation.
Fourth attack
John's fourth French division had started the battle with 2,000 men-at-arms, including 400 picked men under his personal command. Many of the surviving men-at-arms of the first two attacks had rallied to the King, as had many of those from the third division who had not withdrawn with Orléans. Some survivors of the botched third assault also fell back to join the King. These reinforcements probably brought the number of men-at-arms in the division to about 4,000. John's division also had a large but unspecified number of crossbowmen attached to it, and they had been joined by many surviving crossbowmen from the first attack. Modern scholars differ as to whether the French or the Anglo-Gascons had more men at this stage of the battle. This very large division marched across the gap towards the by now exhausted Anglo-Gascons, again all as infantry. The King ordered the French sacred banner, the , to be unfurled, which signalled that no prisoners were to be taken, on pain of death.
It was normal for medieval armies to form up in three divisions; having overcome three French divisions, many in the Anglo-Gascon army thought the battle was over. The sight of a further major force, under the royal standard and with the flying, dispirited them. One chronicler reports the Black Prince prayed aloud as this last division approached. The Prince harangued his exhausted men in an attempt to stiffen their morale, but they remained doubtful of their ability to repulse the approaching force. The Anglo-Gascon command group conferred. It seemed probable that if they stood to face a fourth attack they would be defeated. They decided to attempt a stratagem. Perhaps remembering a similar ploy by a French force at the 1349 Battle of Lunalonge it was agreed to send a small mounted group under the Gascon lord Jean, the Captal de Buch, on a circuitous march around the French flank in an attempt to launch a surprise attack on the French rear. The account by one contemporary chronicler that all of the Anglo-Gascon men-at-arms remounted at this point is generally discounted by modern historians. Some modern sources have a force of volunteers led by the wounded Audley mounting and being tasked with launching an attack against King John personally once the two forces came to battleonly 4 men by some modern accounts, 400 in others. The modern historian Michael Jones describes this as a "suicide mission". Other modern sources maintain that other than the Captal de Buch's small force all of the Anglo-Gascons remained dismounted.
The sight of the Captal de Buch and his men making for the rear further disheartened the Anglo-Gascons, who believed that they were fearfully escaping an inevitable defeat. Some men fled. Concerned his army would break and rout in the face of the French assault, the Black Prince gave the order for a general advance. This bolstered Anglo-Gascon morale and shook the French. Discipline reasserted itself and the Anglo-Gascons moved forward, out of their defensive positions. The French crossbowmen advanced in front of their men-at-arms, and as the English longbowmen on the flanks of the Anglo-Gascon men-at-arms came within range they attempted to establish fire superiority. The French crossbow bolts are said to have "darkened the sky". The men firing them were able to shelter behind pavises and the English archers were running short of arrows after the desperate fighting of the morning. Nevertheless, the English were able to largely suppress this fire until the crossbowmen drew aside to let the French men-at-arms through for their final charge. As the English archers expended the last of their ammunition these 4,000 or so men-at-arms attempted to use their shields, ducked their heads against the arrows and charged home into the survivors of the 3,000 English and Gascon men-at-arms who had started the battle. The longbowmen threw their bows aside and joined the melee armed with swords and hand axes.
Battle was again joined, with fierce fighting. The impetus of the Anglo-Gascon charge was halted by the French, who slowly got the better of the struggle. Rogers is of the opinion that the French would have won this fight if no other factors had intervened. The Anglo-Gascon line was starting to break when it was reinforced by men of Warwick's division returning from their pursuit. This heartened the Anglo-Gascons and discouraged the French. If it occurred, it was at this point that Audley led a cavalry charge aimed directly at the French king. The fighting continued, with the French focused on the opponents in front of them. With the battle in the balance, the Captal de Buch's 160 men arrived undetected in the French rear. His 100 archers dismounted and opened an effective fire into the French reara contemporary account states they "greatly and horribly pierced" the Frenchand his 60 mounted men-at-arms charged into the rear of the French line.
The 2,000 men who had originally made up John's division were all assigned to its front line when it advanced. Men who joined after their original divisions had been defeated in the previous three attacks filled in behind them. They were more tired than those in the front ranks and, having already having taken part in a failed assault, their morale was brittle. Dismayed by Warwick's reinforcement and shocked by the Captal de Buch's sudden arrival behind them, some started to run from the field. Once this movement had started others copied them and the division fell apart. Most of the first to run were able to reach their horses and escape, as the Anglo-Gascons concentrated on dealing with their enemies who were still fighting. These were pushed back as the Anglo-Gascons were reinvigorated by the prospect of victory. The French still fighting around their King were forced into a loop of the River Miosson, known as the Champ d'Alexandre. By now they had been surrounded and split into small groups.
Many of these men were the elite of the French army: John's personal bodyguards, senior nobles or members of the Order of the Star. (The latter had all sworn not to retreat from a battle.) The fighting was brutal as these men refused to surrender. Their cause was clearly hopeless and the Anglo-Gascons were eager to take them prisonerin order that they could be ransomedrather than kill them, so many were captured. The standard-bearer of the was killed and the sacred banner captured. Surrounded by enemies, John and his youngest son, Philip, surrendered.
Mopping up
Frenchmen who had fled soon after the Captal de Buch's force arrived generally reached their horses and were able to escape. Once John's division was clearly retreating many Anglo-Gascons mounted and pursued. A large number pursued the Frenchmen fleeing towards what they thought was the safety of Poitiers. Its citizens, fearing the Anglo-Gascons, had closed the gates and manned the walls, and refused access. The mounted Anglo-Gascons caught the French soldiers as they milled outside the gate and slaughtered them. The lack of mention of any quarter being offered suggests that the French were common soldiers, rather than men-at-arms whom it would have been financially advantageous to capture in order to hold for ransom. The French camp was overrun by Anglo-Gascon cavalry. Elsewhere the Anglo-Gascons spread out in a helter-skelter chase. French men-at-arms who failed to reach their horses were captured or, occasionally, killed. Those who did mount were frequently pursued: some were caught and captured, some fought off their pursuers, while most escaped. It was evening before the last Anglo-Gascons returned to their camp with their prisoners.
Casualties
According to different modern sources 2,000 to 3,000 French men-at-arms and either 500 or 800 common soldiers were taken prisoner during the battle. As well as the King and his youngest son they included the archbishop of Sens, one of the two marshals of France, and the seneschals of Saintonge, Tours and Poitou. Approximately 2,500 French men-at-arms were killed, as were 3,300 common soldiers according to English accounts or 700 by French ones. Among the slain were the French King's uncle; the grand constable of France; the other marshal; the Bishop of Châlons; and John's standard bearer, Geoffroi de Charny. A contemporary opined that the French had suffered "a great harm, a great pity, and damage irreparable". The Anglo-Gascons suffered many wounded but reported a mere 40 to 60 killed, of whom only 4 were men-at-arms. Hoskins comments that these "seem improbably low". Modern sources estimate Anglo-Gascon fatalities at about 40 men-at-arms and an uncertain but much larger number of bowmen and other infantry.
Aftermath
March to Bordeaux
The French were concerned the victorious Anglo-Gascons would attempt to storm Poitiers or other towns, or continue their devastation. The Black Prince was more concerned with getting his army with its prisoners and loot safely back to Gascony. He was aware many Frenchmen had survived the battle, but unaware of their state of cohesion or morale. The Anglo-Gascons moved south on 20September and tended the wounded, buried the dead, paroled some of their prisoners, and reorganised their formations. On 21September the Anglo-Gascons continued their interrupted march south, travelling slowly, overladen as they were with plunder and prisoners. On 2 October they entered Libourne and rested while a triumphal entrance was arranged at Bordeaux. Two weeks later the Black Prince escorted John into Bordeaux amid ecstatic scenes.
Peace
The Black Prince's is described by Rogers as "the most important campaign of the Hundred Years' War". In its aftermath English and Gascon forces raided widely across France, against little or no opposition. With no effective central authority France dissolved into near anarchy. In March 1357 a truce was agreed for two years. In April the Black Prince sailed for England, accompanied by his prisoner, John, and landed at Plymouth on 5 May. They proceeded to London and a rapturous reception. Protracted negotiations between John and Edward III led to the First Treaty of London in May 1358, which would have ended the war with a large transfer of French territory to England and the payment of a ransom for John's freedom. The French government was unenthusiastic and was anyway unable to raise the first instalment of the ransom, causing the treaty to lapse. A peasant revolt known as the broke out in northern France during the spring of 1358 and was bloodily put down in June. At length John and Edward agreed the Second Treaty of London, which was similar to the first except that even larger swathes of French territory would be transferred to the English. In May 1359 this was similarly rejected by the Dauphin and the Estates General.
In October 1359 Edward III led another campaign in northern France. It was unopposed by French forces but was unable to take any strongly fortified places. Instead the English army spread out and for six months devastated much of the region. Both countries were finding it almost impossible to finance continued hostilities, but neither was inclined to change their attitude to the proposed peace terms. On 13 April 1360, near Chartres, a sharp fall in temperature and a heavy hail storm killed many English baggage horses and some soldiers. Taking this as a sign from God, Edward reopened negotiations, directly with the Dauphin. By 8 May the Treaty of Brétigny had been agreed, which largely replicated the First Treaty of London or the Treaty of Guînes. By this treaty vast areas of France were ceded to England, to be personally ruled by the Black Prince, and John was ransomed for three million gold écu. Rogers states "Edward gained territories comprising a full third of France, to be held in full sovereignty, along with a huge ransom for the captive King Johnhis original war aims and much more." As well as John, sixteen of the more senior nobles captured at Poitiers were finally released with the sealing of this treaty. At the time it seemed this was the end of the war, but large-scale fighting broke out again in 1369 and the Hundred Years' War did not end until 1453, with a French victory which left only Calais in English hands.
Notes, citations and sources
Notes
Citations
Sources
External links
1356 in England
1350s in France
14th-century military history of Scotland
Poitiers 1356
Poitiers 1356
Conflicts in 1356
History of Poitiers
Edward the Black Prince
Hundred Years' War, 1337–1360 | 9 |
The bongo (Tragelaphus eurycerus) is a large, mostly nocturnal, forest-dwelling antelope, native to sub-Saharan Africa. Bongos are characterised by a striking reddish-brown coat, black and white markings, white-yellow stripes and long slightly spiralled horns. It is the only tragelaphid in which both sexes have horns. Bongos have a complex social interaction and are found in African dense forest mosaics. They are the third-largest antelope in the world.
The western or lowland bongo, T. e. eurycerus, faces an ongoing population decline, and the IUCN Antelope Specialist Group considers it to be Near Threatened on the conservation status scale.
The eastern or mountain bongo, T. e. isaaci, of Kenya, has a coat even more vibrant than that of T. e. eurycerus. The mountain bongo is only found in the wild in a few mountain regions of central Kenya. This bongo is classified by the IUCN Antelope Specialist Group as Critically Endangered, with fewer individuals in the wild than in captivity (where it breeds readily).
In 2000, the Association of Zoos and Aquariums in the USA (AZA) upgraded the bongo to a Species Survival Plan participant and in 2006 added the Bongo Restoration to Mount Kenya Project to its list of the Top Ten Wildlife Conservation Success Stories of the year. However, in 2013, it seems, these successes have been compromised by reports of possibly only 100 mountain bongos left in the wild due to logging and poaching.
Taxonomy
The scientific name of the bongo is Tragelaphus eurycerus, and it belongs to the genus Tragelaphus and family Bovidae. It was first described by Irish naturalist William Ogilby in 1837. The generic name Tragelaphus is composed of two Greek words: trag-, meaning a goat; and elaphos, meaning deer. The specific name eurycerus originated from the fusion of eurus (broad, widespread) and keras (an animal's horn). The common name "bongo" originated probably from the Kele language of Gabon. The first known use of the name "bongo" in English dates to 1861.
Bongos are further classified into two subspecies: T. e. eurycerus, the lowland or western bongo, and the far rarer T. e. isaaci, the mountain or eastern bongo, restricted to the mountains of Kenya only. The eastern bongo is larger and heavier than the western bongo. Two other subspecies are described from West and Central Africa, but taxonomic clarification is required. They have been observed to live up to 19 years.
Appearance
Bongos are one of the largest of the forest antelopes. In addition to the deep chestnut colour of their coats, they have bright white stripes on their sides to help with camouflage.
Adults of both sexes are similar in size. Adult height is about at the shoulder and length is , including a tail of . Females weigh around , while males weigh about . Its large size puts it as the third-largest in the Bovidae tribe of Strepsicerotini, behind both the common and greater eland by about , and above the greater kudu by about .
Both sexes have heavy spiral horns; those of the male are longer and more massive. All bongos in captivity are from the isolated Aberdare Mountains of central Kenya.
Coat and body
The bongo sports a bright auburn or chestnut coat, with the neck, chest, and legs generally darker than the rest of the body, especially in males. Coats of male bongos become darker as they age until they reach a dark mahogany-brown colour. Coats of female bongos are usually more brightly coloured than those of males. The eastern bongo is darker in color than the western and this is especially pronounced in older males which tend to be chestnut brown, especially on the forepart of their bodies.
The smooth coat is marked with 10–15 vertical white-yellow stripes, spread along the back from the base of the neck to the rump. The number of stripes on each side is rarely the same. It also has a short, bristly, brown ridge of dorsal hair from the shoulder to the rump; the white stripes run into this ridge.
A white chevron appears between the eyes, with two large white spots on each cheek. Another white chevron occurs where the neck meets the chest. Bongos have no special secretion glands, so rely likely less on scent to find one another than do other similar antelopes. The lips of a bongo are white, topped with a black muzzle.
Horns
Bongos have two heavy and slightly spiralled horns that slope over their backs. Bongo males have larger backswept horns, while females have smaller, thinner, and more parallel horns. The size of the horns range between . The horns of bongos are spiraled, and share this trait with those of the related antelope species of nyalas, sitatungas, bushbucks, kudus and elands. The horns of bongos twist once.
Unlike deer, which have branched antlers shed annually, bongos and other antelopes have unbranched horns they keep throughout their lives.
Like all other horns of antelopes, the core of a bongo's horn is hollow and the outer layer of the horn is made of keratin, the same material that makes up human fingernails, toenails and hair. The bongo runs gracefully and at full speed through even the thickest tangles of lianas, laying its heavy spiralled horns on its back so the brush cannot impede its flight. Bongos are hunted for their horns by humans.
Social organization and behavior
Like other forest ungulates, bongos are seldom seen in large groups. Males, called bulls, tend to be solitary, while females with young live in groups of six to eight. Bongos have seldom been seen in herds of more than 20. Gestation is about 285 days (9.5 months), with one young per birth, and weaning occurs at six months. Sexual maturity is reached at 24–27 months. The preferred habitat of this species is so dense and difficult to operate in, that few Europeans or Americans observed this species until the 1960s.
As young males mature and leave their maternal groups, they most often remain solitary, although rarely they join an older male. Adult males of similar size/age tend to avoid one another. Occasionally, they meet and spar with their horns in a ritualised manner and it is rare for serious fights to take place. However, such fights are usually discouraged by visual displays, in which the males bulge their necks, roll their eyes, and hold their horns in a vertical position while slowly pacing back and forth in front of the other male. They seek out females only during mating time. When they are with a herd of females, males do not coerce them or try to restrict their movements as do some other antelopes.
Although mostly nocturnal, they are occasionally active during the day. However, like deer, bongos may exhibit crepuscular behaviour. Bongos are both timid and easily frightened; after a scare, a bongo moves away at considerable speed, even through dense undergrowth. Once they find cover, they stay alert and face away from the disturbance, but peek every now and then to check the situation. The bongo's hindquarters are less conspicuous than the forequarters, and from this position the animal can quickly flee.
When in distress, the bongo emits a bleat. It uses a limited number of vocalisations, mostly grunts and snorts; females have a weak mooing contact-call for their young. Females prefer to use traditional calving grounds restricted to certain areas, while newborn calves lie in hiding for a week or more, receiving short visits by the mother to suckle.
The calves grow rapidly and can soon accompany their mothers in the nursery herds. Their horns grow rapidly and begin to show in 3.5 months. They are weaned after six months and reach sexual maturity at about 20 months.
Ecology
Distribution and habitat
Bongos are found in tropical jungles with dense undergrowth up to an altitude of in Central Africa, with isolated populations in Kenya, and these West African countries: Cameroon, the Central African Republic, the Republic of the Congo, the Democratic Republic of Congo, the Ivory Coast, Equatorial Guinea, Gabon, Ghana, Guinea, Liberia, Sierra Leone, South Sudan.
Historically, bongos are found in three disjunct parts of Africa: East, Central and West. Today, all three populations' ranges have shrunk in size due to habitat loss for agriculture and uncontrolled timber cutting, as well as hunting for meat.
Bongos favour disturbed forest mosaics that provide fresh, low-level green vegetation. Such habitats may be promoted by heavy browsing by elephants, fires, flooding, tree-felling (natural or by logging), and fallowing. Mass bamboo die-off provides ideal habitat in East Africa. They can live in bamboo forests.
Diet
Like many forest ungulates, bongos are herbivorous browsers and feed on leaves, bushes, vines, bark and pith of rotting trees, grasses/herbs, roots, cereals, and fruits.
Bongos require salt in their diets, and are known to regularly visit natural salt licks. Bongos are also known to eat burnt wood after a storm, as a rich source of salt and minerals. This behavior is believed to be a means of getting salts and minerals into their diets. This behavior has also been reported in the okapi. Another similarity to the okapi, though the bongo is unrelated, is that the bongo has a long prehensile tongue which it uses to grasp grasses and leaves.
Suitable habitats for bongos must have permanent water available. As a large animal, the bongo requires an ample amount of food, and is restricted to areas with abundant year-round growth of herbs and low shrubs.
Population and conservation
Few estimates of population density are available. Assuming average population densities of 0.25 animals per km2 in regions where it is known to be common or abundant, and 0.02 per km2 elsewhere, and with a total area of occupancy of 327,000 km2, a total population estimate of around 28,000 is suggested. Only about 60% are in protected areas, suggesting the actual numbers of the lowland subspecies may only be in the low tens of thousands. In Kenya, their numbers have declined significantly and on Mount Kenya, they were extirpated within the last decade due to illegal hunting with dogs. Although information on their status in the wild is lacking, lowland bongos are not presently considered endangered.
Bongos are susceptible to diseases such as rinderpest, which almost exterminated the species during the 1890s. Tragelaphus eurycerus may suffer from goitre. Over the course of the disease, the thyroid glands greatly enlarge (up to 10 x 20 cm) and may become polycystic. Pathogenesis of goiter in the bongo may reflect a mixture of genetic predisposition coupled with environmental factors, including a period of exposure to a goitrogen. Leopards and spotted hyenas are the primary natural predators (lions are seldom encountered due to differing habitat preferences); pythons sometimes eat bongo calves. Humans prey on them for their pelts, horns, and meat, with the species being a common local source for "bush meat". Bongo populations have been greatly reduced by hunting, poaching, and animal trapping, although some bongo refuges exist.
Although bongos are quite easy for humans to catch using snares, many people native to the bongos' habitat believed that if they ate or touched bongo, they would have spasms similar to epileptic seizures. Because of this superstition, bongos were less harmed in their native ranges than expected. However, these taboos are said no longer to exist, which may account for increased hunting by humans in recent times.
Zoo programmes
An international studbook is maintained to help manage animals held in captivity. Because of its bright colour, it is very popular in zoos and private collections. In North America, over 400 individuals are thought to be held, a population that probably exceeds that of the mountain bongo in the wild.
In 2000, the Association of Zoos and Aquariums (AZA) upgraded the bongo to a Species Survival Plan participant, which works to improve the genetic diversity of managed animal populations. The target population for participating zoos and private collections in North America is 250 animals. Through the efforts of zoos in North America, a reintroduction to the population in Kenya is being developed.
At least one collaborative effort for reintroduction between North American wildlife facilities has already been carried out. In 2004, 18 eastern bongos born in North American zoos gathered at White Oak Conservation in Yulee, Florida for release in Kenya. White Oak staff members traveled with the bongos to a Mount Kenya holding facility, where they stayed until being reintroduced.
Conservation
In the last few decades, a rapid decline in the numbers of wild mountain bongo has occurred due to poaching and human pressure on their habitat, with local extinctions reported in Cherangani and Chepalungu hills, Kenya.
The Bongo Surveillance Programme, working alongside the Kenya Wildlife Service, have recorded photos of bongos at remote salt licks in the Aberdare Forests using camera traps, and, by analyzing DNA extracted from dung, have confirmed the presence of bongo in Mount Kenya, Eburru and Mau forests. The programme estimate as few as 140 animals left in the wild – spread across four isolated populations. Whilst captive breeding programmes can be viewed as having been successful in ensuring survival of this species in Europe and North America, the situation in the wild has been less promising. Evidence exists of bongo surviving in Kenya. However, these populations are believed to be small, fragmented, and vulnerable to extinction.
Animal populations with impoverished genetic diversity are inherently less able to adapt to changes in their environments (such as climate change, disease outbreaks, habitat change, etc.). The isolation of the four remaining small bongo populations, which themselves would appear to be in decline, means a substantial amount of genetic material is lost each generation. Whilst the population remains small, the impact of transfers will be greater, so the establishment of a "metapopulation management plan" occurs concurrently with conservation initiatives to enhance in situ population growth, and this initiative is both urgent and fundamental to the future survival of mountain bongo in the wild.
The western/lowland bongo faces an ongoing population decline as habitat destruction and hunting pressures increase with the relentless expansion of human settlement. Its long-term survival will only be assured in areas which receive active protection and management. At present, such areas comprise about 30,000 km2, and several are in countries where political stability is fragile. So, a realistic possibility exists whereby its status could decline to Threatened in the near future.
As the largest and most spectacular forest antelope, the western/lowland bongo is both an important flagship species for protected areas such as national parks, and a major trophy species which has been taken in increasing numbers in Central Africa by sport hunters during the 1990s. Both of these factors are strong incentives to provide effective protection and management of populations.
Trophy hunting has the potential to provide economic justification for the preservation of larger areas of bongo habitat than national parks, especially in remote regions of Central Africa, where possibilities for commercially successful tourism are very limited.
The eastern/mountain bongo's survival in the wild is dependent on more effective protection of the surviving remnant populations in Kenya. If this does not occur, it will eventually become extinct in the wild. The existence of a healthy captive population of this subspecies offers the potential for its reintroduction.
Groups supporting bongo conservation in Kenya
In 2004, Dr. Jake Veasey, the head of the Department of Animal Management and Conservation at Woburn Safari Park and a member of the European Association of Zoos and Aquariums Population Management Advisory Group, with the assistance of Lindsay Banks, took over responsibility for the management and coordination of the European Endangered Species Programme for the eastern bongo. This includes some 250 animals across Europe and the Middle East.
Along with the Rothschild giraffe, the eastern bongo is arguably one of the most threatened large mammals in Africa, with recent estimates numbering less than 140 animals, below a minimum sustainable viable population. The situation is exacerbated because these animals are spread across four isolated populations. Whilst the bongo endangered species program can be viewed as having been successful in ensuring survival of this species in Europe, it has not yet become actively involved in the conservation of this species in the wild in a coordinated fashion. The plan is to engage in conservation activities in Kenya to assist in reversing the decline of the eastern bongo populations and genetic diversity in Africa, and in particular, applying population management expertise to help ensure the persistence of genetic diversity in the free ranging wild populations.
To illustrate significance of genetic diversity loss, assume the average metapopulation size is 35 animals based on 140 animals spread across four populations (140/4=35). Assuming stable populations, these populations will lose 8% of their genetic diversity every decade. By managing all four populations as one, through strategic transfers, gene loss is reduced from 8% to 2% per decade, without any increase in bongo numbers in Kenya. By managing the European and African populations as one – by strategic exports from Europe combined with in situ transfers, gene loss is reduced to 0.72% every 100 years, with both populations remaining stable. If populations in Kenya are allowed to grow through the implementation of effective conservation, including strategic transfers, gene loss can be effectively halted in this species and its future secured in the wild.
The initial aims of the project are:
Through faecal DNA analysis, estimate the genetic diversity of the remaining wild bongos and calculate the relatedness of the isolated wild populations.
More accurately estimate the total population of wild bongos through faecal DNA analysis, camera trapping, and transect surveying.
Through direct sampling, estimate the genetic diversity of the captive bongo population and calculate its relatedness with the remaining isolated wild populations.
Collect DNA samples from western bongos to calculate the relatedness of the two subspecies.
Fund rangers to collect the above data in Kenya, enhance the degree of protection afforded to and level of understanding of the eastern bongos' ecological needs.
To realise such a metapopulation management plan, work with local communities is essential to reverse the decline and allow for the implementation of a transfer strategy. A substantial proportion of wild genetic diversity likely will have already been lost.
If effective protection were implemented immediately and bongo populations allowed to expand without transfers, then this would create a bigger population of genetically impoverished bongos. These animals would be less able to adapt to a dynamic environment. Whilst the population remains small, the impact of transfers will be greater. For this reason, the 'metapopulation management plan' must occur concurrently with conservation strategies to enhance in situ population growth. This initiative is both urgent and fundamental to the future survival of the mountain bongo in the wild.
In 2013, SafariCom telecommunications donated money to the Bongo Surveillance Programme to try to keep tabs on what are thought to be the last 100 eastern bongos left in the wild in the Mau Eburu Forest in central Kenya, whose numbers are still declining due to logging of their habitat and illegal poaching.
Mount Kenya Wildlife Conservancy runs a bongo rehabilitation program in collaboration with the Kenya Wildlife Service. The Conservancy aims to prevent extinction of the bongo through breeding and release back into the wild.
Status
The IUCN Antelope Specialist Group considers the western or lowland bongo, T. e. eurycerus, to be Lower Risk (Near Threatened) and the eastern or mountain bongo, T. e. isaaci, of Kenya, to be Critically Endangered. These bongos may be endangered due to human environmental interaction, as well as hunting and illegal actions towards wildlife.
CITES lists bongos as an Appendix III species, only regulating their exportation from a single country, Ghana. It is not protected by the US Endangered Species Act and is not listed by the USFWS.
References
External links
ARKive – images and movies of the bongo (Tragelaphus eurycerus)
WWF
Tragelaphus eurycerus
East African Bongo
Bongos: Wildlife summary from the African Wildlife Foundation
The Bongo Repatriation to Mount Kenya Project
The International Bongo Foundation
Tragelaphus eurycerus at Animal Diversity Web
Tragelaphus
Fauna of Central Africa
Mammals of West Africa
Mammals described in 1837
Bovids of Africa | 5 |
Genetically modified maize (corn) is a genetically modified crop. Specific maize strains have been genetically engineered to express agriculturally-desirable traits, including resistance to pests and to herbicides. Maize strains with both traits are now in use in multiple countries. GM maize has also caused controversy with respect to possible health effects, impact on other insects and impact on other plants via gene flow. One strain, called Starlink, was approved only for animal feed in the US but was found in food, leading to a series of recalls starting in 2000.
Marketed products
Herbicide-resistant maize
Corn varieties resistant to glyphosate herbicides were first commercialized in 1996 by Monsanto, and are known as "Roundup Ready Corn". They tolerate the use of Roundup. Bayer CropScience developed "Liberty Link Corn" that is resistant to glufosinate. Pioneer Hi-Bred has developed and markets corn hybrids with tolerance to imidazoline herbicides under the trademark "Clearfield" – though in these hybrids, the herbicide-tolerance trait was bred using tissue culture selection and the chemical mutagen ethyl methanesulfonate, not genetic engineering. Consequently, the regulatory framework governing the approval of transgenic crops does not apply for Clearfield.
As of 2011, herbicide-resistant GM corn was grown in 14 countries. By 2012, 26 varieties of herbicide-resistant GM maize were authorised for import into the European Union, but such imports remain controversial. Cultivation of herbicide-resistant corn in the EU provides substantial farm-level benefits.
Insect-resistant corn
Bt maize/corn
/ is a variant of maize that has been genetically altered to express one or more proteins from the bacterium Bacillus thuringiensis including Delta endotoxins. The protein is poisonous to certain insect pests. Spores of the bacillus are widely used in organic gardening, although GM corn is not considered organic. The European corn borer causes about a billion dollars in damage to corn crops each year.
In recent years, traits have been added to ward off corn ear worms and root worms, the latter of which annually causes about a billion dollars in damages.
The Bt protein is expressed throughout the plant. When a vulnerable insect eats the Bt-containing plant, the protein is activated in its gut, which is alkaline. In the alkaline environment, the protein partially unfolds and is cut by other proteins, forming a toxin that paralyzes the insect's digestive system and forms holes in the gut wall. The insect stops eating within a few hours and eventually starves.
In 1996, the first GM maize producing a Bt Cry protein was approved, which killed the European corn borer and related species; subsequent Bt genes were introduced that killed corn rootworm larvae.
The Philippine Government has promoted Bt corn, hoping for insect resistance and higher yields.
Approved Bt genes include single and stacked (event names bracketed) configurations of: Cry1A.105 (MON89034), CryIAb (MON810), CryIF (1507), Cry2Ab (MON89034), Cry3Bb1 (MON863 and MON88017), Cry34Ab1 (59122), Cry35Ab1 (59122), mCry3A (MIR604), and Vip3A (MIR162), in both corn and cotton. Corn genetically modified to produce VIP was first approved in the US in 2010.
A 2018 study found that Bt-corn protected nearby fields of non-Bt corn and nearby vegetable crops, reducing the use of pesticides on those crops. Data from 1976-1996 (before Bt corn was widespread) was compared to data after it was adopted (1996-2016). They examined levels of the European corn borer and corn earworm. Their larvae eat a variety of crops, including peppers and green beans. Between 1992 and 2016, the amount of insecticide applied to New Jersey pepper fields decreased by 85 percent. Another factor was the introduction of more effective pesticides that were applied less often.
Sweet Corn
GM sweet corn varieties include "Attribute", the brand name for insect-resistant sweet corn developed by Syngenta and Performance Series insect-resistant sweet corn developed by Monsanto.
Cuba
While Cuba's agriculture is largely focused on organic production, as of 2010, the country had developed a variety of genetically modified corn that is resistant to the palomilla moth.
Drought-resistant maize
In 2013 Monsanto launched the first transgenic drought tolerance trait in a line of corn hybrids called DroughtGard. The MON 87460 trait is provided by the insertion of the cspB gene from the soil microbe Bacillus subtilis; it was approved by the USDA in 2011 and by China in 2013.
Health Safety
In regular corn crops, insects promote fungal colonization by creating "wounds," or holes, in corn kernels. These wounds are favored by fungal spores for germination, which subsequently leads to mycotoxin accumulation in the crop that can be carcinogenic and toxic to humans and other animals. This can prove to be especially devastating in developing countries with drastic climate patterns such as high temperatures, which favor the development of toxic fungi. In addition, higher mycotoxin levels leads to market rejection or reduced market prices for the grain. GM corn crops encounter fewer insect attacks, and thus, have lower concentrations of mycotoxins. Fewer insect attacks also keep corn ears from being damaged, which increases overall yields.
Products in development
In 2007, South African researchers announced the production of transgenic maize resistant to maize streak virus (MSV), although it has not been released as a product. While breeding cultivars for resistance to MSV isn't done in the public, the private sector, international research centers, and national programmes have done all of the breeding. As of 2014, there have been a few MSV-tolerant cultivars released in Africa. A private company Seedco has released 5 MSV cultivars.
Research has been done on adding a single E. coli gene to maize to enable it to be grown with an essential amino acid (methionine).
Refuges
US Environmental Protection Agency (EPA) regulations require farmers who plant Bt corn to plant non-Bt corn nearby (called a refuge) to provide a location to harbor vulnerable pests. Typically, 20% of corn in a grower's fields must be refuge; refuge must be at least 0.5 miles from Bt corn for lepidopteran pests, and refuge for corn rootworm must at least be adjacent to a Bt field.
The theory behind these refuges is to slow the evolution of resistance to the pesticide. EPA regulations also require seed companies to train farmers how to maintain refuges, to collect data on the refuges and to report that data to the EPA. A study of these reports found that from 2003 to 2005 farmer compliance with keeping refuges was above 90%, but that by 2008 approximately 25% of Bt corn farmers did not keep refuges properly, raising concerns that resistance would develop.
Unmodified crops received most of the economic benefits of Bt corn in the US in 1996–2007, because of the overall reduction of pest populations. This reduction came because females laid eggs on modified and unmodified strains alike.
Seed bags containing both Bt and refuge seed have been approved by the EPA in the United States. These seed mixtures were marketed as "Refuge in a Bag" (RIB) to increase farmer compliance with refuge requirements and reduce additional work needed at planting from having separate Bt and refuge seed bags on hand. The EPA approved a lower percentage of refuge seed in these seed mixtures ranging from 5 to 10%. This strategy is likely to reduce the likelihood of Bt-resistance occurring for corn rootworm, but may increase the risk of resistance for lepidopteran pests, such as European corn borer. Increased concerns for resistance with seed mixtures include partially resistant larvae on a Bt plant being able to move to a susceptible plant to survive or cross pollination of refuge pollen on to Bt plants that can lower the amount of Bt expressed in kernels for ear feeding insects.
Resistance
Resistant strains of the European corn borer have developed in areas with defective or absent refuge management.
In November 2009, Monsanto scientists found the pink bollworm had become resistant to first-generation Bt cotton in parts of Gujarat, India – that generation expresses one Bt gene, Cry1Ac. This was the first instance of Bt resistance confirmed by Monsanto anywhere in the world. Bollworm resistance to first generation Bt cotton has been identified in Australia, China, Spain, and the United States. In 2012, a Florida field trial demonstrated that army worms were resistant to pesticide-containing GM corn produced by Dupont-Dow; armyworm resistance was first discovered in Puerto Rico in 2006, prompting Dow and DuPont to voluntarily stop selling the product on the island.
Regulation
Regulation of GM crops varies between countries, with some of the most-marked differences occurring between the US and Europe. Regulation varies in a given country depending on intended uses.
Controversy
There is a scientific consensus that currently available food derived from GM crops poses no greater risk to human health than conventional food, but that each GM food needs to be tested on a case-by-case basis before introduction. Nonetheless, members of the public are much less likely than scientists to perceive GM foods as safe. The legal and regulatory status of GM foods varies by country, with some nations banning or restricting them, and others permitting them with widely differing degrees of regulation.
The scientific rigor of the studies regarding human health has been disputed due to alleged lack of independence and due to conflicts of interest involving governing bodies and some of those who perform and evaluate the studies. However, no reports of ill effects from GM food have been documented in the human population.
GM crops provide a number of ecological benefits, but there are also concerns for their overuse, stalled research outside of the Bt seed industry, proper management and issues with Bt resistance arising from their misuse.
Critics have objected to GM crops on ecological, economic and health grounds. The economic issues derive from those organisms that are subject to intellectual property law, mostly patents. The first generation of GM crops lose patent protection beginning in 2015. Monsanto has claimed it will not pursue farmers who retain seeds of off-patent varieties. These controversies have led to litigation, international trade disputes, protests and to restrictive legislation in most countries.
Introduction of Bt maize led to significant reduction of mycotoxin-related poisoning and cancer rates, as they were significantly less prone to contain mycotoxins (29%), fumonisins (31%) and thricotecens (37%), all of which are toxic and carcinogenic.
Effects on nontarget insects
Critics claim that Bt proteins could target predatory and other beneficial or harmless insects as well as the targeted pest. These proteins have been used as organic sprays for insect control in France since 1938 and the USA since 1958 with no ill effects on the environment reported. While cyt proteins are toxic towards the insect order Diptera (flies), certain cry proteins selectively target lepidopterans (moths and butterflies), while other cyt selectively target Coleoptera. As a toxic mechanism, cry proteins bind to specific receptors on the membranes of mid-gut (epithelial) cells, resulting in rupture of those cells. Any organism that lacks the appropriate gut receptors cannot be affected by the cry protein, and therefore Bt. Regulatory agencies assess the potential for the transgenic plant to impact nontarget organisms before approving commercial release.
A 1999 study found that in a lab environment, pollen from Bt maize dusted onto milkweed could harm the monarch butterfly. Several groups later studied the phenomenon in both the field and the laboratory, resulting in a risk assessment that concluded that any risk posed by the corn to butterfly populations under real-world conditions was negligible. A 2002 review of the scientific literature concluded that "the commercial large-scale cultivation of current Bt–maize hybrids did not pose a significant risk to the monarch population". A 2007 review found that "nontarget invertebrates are generally more abundant in Bt cotton and Bt maize fields than in nontransgenic fields managed with insecticides. However, in comparison with insecticide-free control fields, certain nontarget taxa are less abundant in Bt fields."
Gene flow
Gene flow is the transfer of genes and/or alleles from one species to another. Concerns focus on the interaction between GM and other maize varieties in Mexico, and of gene flow into refuges.
In 2009 the government of Mexico created a regulatory pathway for genetically modified maize, but because Mexico is the center of diversity for maize, gene flow could affect a large fraction of the world's maize strains. A 2001 report in Nature presented evidence that Bt maize was cross-breeding with unmodified maize in Mexico. The data in this paper was later described as originating from an artifact. Nature later stated, "the evidence available is not sufficient to justify the publication of the original paper". A 2005 large-scale study failed to find any evidence of contamination in Oaxaca. However, other authors also found evidence of cross-breeding between natural maize and transgenic maize.
A 2004 study found Bt protein in kernels of refuge corn.
In 2017, a large-scale study found "pervasive presence of transgenes and glyphosate in maize-derived food in Mexico"
Food
The French High Council of Biotechnologies Scientific Committee reviewed the 2009 Vendômois et al. study and concluded that it "presents no admissible scientific element likely to ascribe any haematological, hepatic or renal toxicity to the three re-analysed GMOs." However, the French government applies the precautionary principle with respect to GMOs.
A review by Food Standards Australia New Zealand and others of the same study concluded that the results were due to chance alone.
A 2011 Canadian study looked at the presence of CryAb1 protein (BT toxin) in non-pregnant women, pregnant women and fetal blood. All groups had detectable levels of the protein, including 93% of pregnant women and 80% of fetuses at concentrations of 0.19 ± 0.30 and 0.04 ± 0.04 mean ± SD ng/ml, respectively. The paper did not discuss safety implications or find any health problems. FSANZ agency published a comment pointing out a number of inconsistencies in the paper, most notably that it "does not provide any evidence that GM foods are the source of the protein".
In January 2013, the European Food Safety Authority released all data submitted by Monsanto in relation to the 2003 authorisation of maize genetically modified for glyphosate tolerance.
Starlink corn recalls
StarLink contains Cry9C, which had not previously been used in a GM crop. Starlink's creator, Plant Genetic Systems, had applied to the US Environmental Protection Agency (EPA) to market Starlink for use in animal feed and in human food. However, because the Cry9C protein lasts longer in the digestive system than other Bt proteins, the EPA had concerns about its allergenicity, and PGS did not provide sufficient data to prove that Cry9C was not allergenic. As a result, PGS split its application into separate permits for use in food and use in animal feed. Starlink was approved by the EPA for use in animal feed only in May 1998.
StarLink corn was subsequently found in food destined for consumption by humans in the US, Japan, and South Korea. This corn became the subject of the widely publicized Starlink corn recall, which started when Taco Bell-branded taco shells sold in supermarkets were found to contain the corn. Sales of StarLink seed were discontinued. The registration for Starlink varieties was voluntarily withdrawn by Aventis in October 2000. Pioneer had been bought by AgrEvo which then became Aventis CropScience at the time of the incident, which was later bought by Bayer.
Fifty-one people reported adverse effects to the FDA; US Centers for Disease Control (CDC), which determined that 28 of them were possibly related to Starlink. However, the CDC studied the blood of these 28 individuals and concluded there was no evidence of hypersensitivity to the Starlink Bt protein.
A subsequent review of these tests by the Federal Insecticide, Fungicide, and Rodenticide Act Scientific Advisory Panel points out that while "the negative results decrease the probability that the Cry9C protein is the cause of allergic symptoms in the individuals examined ... in the absence of a positive control and questions regarding the sensitivity and specificity of the assay, it is not possible to assign a negative predictive value to this."
The US corn supply has been monitored for the presence of the Starlink Bt proteins since 2001.
In 2005, aid sent by the UN and the US to Central American nations also contained some StarLink corn. The nations involved, Nicaragua, Honduras, El Salvador and Guatemala refused to accept the aid.
Corporate espionage
On 19 December 2013 six Chinese citizens were indicted in Iowa on charges of plotting to steal genetically modified seeds worth tens of millions of dollars from Monsanto and DuPont. Mo Hailong, director of international business at the Beijing Dabeinong Technology Group Co., part of the Beijing-based DBN Group, was accused of stealing trade secrets after he was found digging in an Iowa cornfield.
See also
Genetically modified food
Genetically modified crops
Genetically modified food controversies
References
External links
- research project on coexistence and traceability of GM and non-GM supply chains
(Part of the minutes of the plenary meeting held on 3–4 December 2008, see on page 9)
Genetically modified organisms in agriculture | 9 |
A ballpoint pen, also known as a biro (British English), ball pen (Hong Kong, Indian and Philippine English), or dot pen (Nepali English), is a pen that dispenses ink (usually in paste form) over a metal ball at its point, i.e. over a "ball point". The metal commonly used is steel, brass, or tungsten carbide. The design was conceived and developed as a cleaner and more reliable alternative to dip pens and fountain pens, and it is now the world's most-used writing instrument; millions are manufactured and sold daily. It has influenced art and graphic design and spawned an artwork genre.
Some pen manufacturers like Uni ball produce designer ballpoint pens for the high-end and collectors' markets.
History
Origins
The concept of using a "ball point" within a writing instrument to apply ink to paper has existed since the late 19th century. In these inventions, the ink was placed in a thin tube whose end was blocked by a tiny ball, held so that it could not slip into the tube or fall out of the pen.
The first patent for a ballpoint pen was issued on 30 October 1888 to John J. Loud, who was attempting to make a writing instrument that would be able to write "on rough surfaces—such as wood, coarse wrapping-paper, and other articles" which fountain pens could not. Loud's pen had a small rotating steel ball held in place by a socket. Although it could be used to mark rough surfaces such as leather, as Loud intended, it proved too coarse for letter-writing. With no commercial viability, its potential went unexploited, and the patent eventually lapsed.
The manufacture of economical, reliable ballpoint pens as are known today arose from experimentation, modern chemistry, and the precision manufacturing capabilities of the early 20th century. Patents filed worldwide during early development are testaments to failed attempts at making the pens commercially viable and widely available. Early ballpoints did not deliver the ink evenly; overflow and clogging were among the obstacles faced by early inventors. If the ball socket were too tight or the ink too thick, it would not reach the paper. If the socket were too loose or the ink too thin, the pen would leak, or the ink would smear. Ink reservoirs pressurized by a piston, spring, capillary action, and gravity would all serve as solutions to ink-delivery and flow problems.
László Bíró, a Hungarian newspaper editor (later a naturalized Argentine) frustrated by the amount of time that he wasted filling up fountain pens and cleaning up smudged pages, noticed that inks used in newspaper printing dried quickly, leaving the paper dry and smudge-free. He decided to create a pen using the same type of ink. Bíró enlisted the help of his brother György, a dentist with useful knowledge of chemistry, to develop viscous ink formulae for new ballpoint designs.
Bíró's innovation successfully coupled ink-viscosity with a ball-socket mechanism which acted compatibly to prevent ink from drying inside the reservoir while allowing controlled flow. Bíró filed for a British patent on 15 June 1938.
In 1941, the Bíró brothers and a friend, Juan Jorge Meyne, fled Germany and moved to Argentina, where they formed "Bíró Pens of Argentina" and filed a new patent in 1943. Their pen was sold in Argentina as the "Birome", from the names Bíró and Meyne, which is how ballpoint pens are still known in that country. This new design was licensed by the British engineer Frederick George Miles and manufactured by his company Miles Aircraft, to be used by Royal Air Force aircrew as the "Biro". Ballpoint pens were found to be more versatile than fountain pens, especially at high altitudes, where fountain pens were prone to leak.
Bíró's patent, and other early patents on ballpoint pens, often used the term "ball-point fountain pen".
Postwar proliferation
Following World War II, many companies vied to commercially produce their own ballpoint pen design. In pre-war Argentina, success of the Birome ballpoint was limited, but in mid-1945, the Eversharp Co., a maker of mechanical pencils, teamed up with Eberhard Faber Co. to license the rights from Birome for sales in the United States.
In 1946, a Spanish firm, Vila Sivill Hermanos, began to make a ballpoint, Regia Continua, and from 1953 to 1957 their factory also made Bic ballpoints, on contract with the French firm Société Bic.
During the same period, American entrepreneur Milton Reynolds came across a Birome ballpoint pen during a business trip to Buenos Aires, Argentina. Recognizing commercial potential, he purchased several ballpoint samples, returned to the United States, and founded the Reynolds International Pen Company. Reynolds bypassed the Birome patent with sufficient design alterations to obtain an American patent, beating Eversharp and other competitors to introduce the pen to the US market. Debuting at Gimbels department store in New York City on 29 October 1945, for US$12.50 each (1945 US dollar value, about $ in dollars), "Reynolds Rocket" became the first commercially successful ballpoint pen. Reynolds went to great extremes to market the pen, with great success; Gimbel's sold many thousands of pens within one week. In Britain, the Miles Martin pen company was producing the first commercially successful ballpoint pens there by the end of 1945.
Neither Reynolds' nor Eversharp's ballpoint lived up to consumer expectations in America. Ballpoint pen sales peaked in 1946, and consumer interest subsequently plunged due to market saturation. By the early 1950s the ballpoint boom had subsided and Reynolds' company folded.
Paper Mate pens, among the emerging ballpoint brands of the 1950s, bought the rights to distribute their own ballpoint pens in Canada. Facing concerns about ink-reliability, Paper Mate pioneered new ink formulas and advertised them as "banker-approved". In 1954, Parker Pens released "The Jotter"—the company's first ballpoint—boasting additional features and technological advances which also included the use of tungsten-carbide textured ball-bearings in their pens. In less than a year, Parker sold several million pens at prices between three and nine dollars. In the 1960s, the failing Eversharp Co. sold its pen division to Parker and ultimately folded.
Marcel Bich also introduced a ballpoint pen to the American marketplace in the 1950s, licensed from Bíró and based on the Argentine designs. Bich shortened his name to Bic in 1953, forming the ballpoint brand Bic now recognized globally. Bic pens struggled until the company launched its "Writes First Time, Every Time!" advertising campaign in the 1960s. Competition during this era forced unit prices to drop considerably.
Inks
Ballpoint pen ink is normally a paste containing around 25 to 40 percent dye. The dyes are suspended in a mixture of solvents and fatty acids. The most common of the solvents are benzyl alcohol or phenoxyethanol, which mix with the dyes and oils to create a smooth paste that dries quickly. The fatty acids help to lubricate the ball tip while writing. Hybrid inks also contain added lubricants in the ink to provide a smoother writing experience. The drying time of the ink varies depending upon the viscosity of the ink and the diameter of the ball.
In general, the more viscous the ink, the faster it will dry, but more writing pressure needs to be applied to dispense ink. But although they are less viscous, hybrid inks have a faster drying time compared to normal ballpoint inks. Also, a larger ball dispenses more ink and thus increases drying time.
The dyes used in blue and black ballpoint pens are basic dyes based on triarylmethane and acid dyes derived from diazo compounds or phthalocyanine. Common dyes in blue (and black) ink are Prussian blue, Victoria blue, methyl violet, crystal violet, and phthalocyanine blue. The dye eosin is commonly used for red ink.
The inks are resistant to water after drying but can be defaced by certain solvents which include acetone and various alcohols.
Types of ballpoint pens
Ballpoint pens are produced in both disposable and refillable models. Refills allow for the entire internal ink reservoir, including a ballpoint and socket, to be replaced. Such characteristics are usually associated with designer-type pens or those constructed of finer materials. The simplest types of ballpoint pens are disposable and have a cap to cover the tip when the pen is not in use, or a mechanism for retracting the tip, which varies between manufacturers but is usually a spring- or screw-mechanism.
Rollerball pens employ the same ballpoint mechanics, but with the use of water-based inks instead of oil-based inks. Compared to oil-based ballpoints, rollerball pens are said to provide more fluid ink-flow, but the water-based inks will blot if held stationary against the writing surface. Water-based inks also remain wet longer when freshly applied and are thus prone to "smearing"—posing problems to left-handed people (or right handed people writing right-to-left script)—and "running", should the writing surface become wet.
Some ballpoint pens use a hybrid ink formulation whose viscosity is lower than that of standard ballpoint ink, but greater than rollerball ink. The ink dries faster than a gel pen to prevent smearing when writing. These pens are better suited for left-handed persons. Examples are the Uni-ball Jetstream and Pilot Acroball ranges. These pens are also labelled "extra smooth", as they offer a smoother writing experience compared to normal ballpoint pens.
Ballpoint pens with erasable ink were pioneered by the Paper Mate pen company. The ink formulas of erasable ballpoints have properties similar to rubber cement, allowing the ink to be literally rubbed clean from the writing surface before drying and eventually becoming permanent. Erasable ink is much thicker than standard ballpoint inks, requiring pressurized cartridges to facilitate inkflow—meaning they can also write upside-down. Though these pens are equipped with erasers, any eraser will suffice.
The inexpensive, disposable Bic Cristal (also simply "Bic pen" or "Biro") is reportedly the most widely sold pen in the world. It was the Bic company's first product and is still synonymous with the company name. The Bic Cristal is part of the permanent collection at the Museum of Modern Art in New York City, acknowledged for its industrial design. Its hexagonal barrel mimics that of a wooden pencil and is transparent, showing the ink level in the reservoir. Originally a sealed streamlined cap, the modern pen cap has a small hole at the top to meet safety standards, helping to prevent suffocation if children suck it into the throat.
Multi-pens are pens that feature multiple varying colored pen refills. Sometimes ballpoint refills are combined with another non-ballpoint refill, usually a mechanical pencil. Sometimes ballpoint pens combine a ballpoint tip on one end and touchscreen stylus on the other.
Ballpoint pens are sometimes provided free by businesses, such as hotels and banks, printed with a company's name and logo. Ballpoints have also been produced to commemorate events, such as a pen commemorating the 1963 assassination of President John F. Kennedy. These pens, known as "advertising pens," are the same as standard ballpoint pen models, but have become valued among collectors.
Sometimes ballpoint pens are also produced as design objects. With cases made of metal or wood, they become individually styled utility objects.
Use of ballpoint pens in space
It is generally believed that because of a ballpoint pen's reliance on gravity to coat the ball with ink, most cannot be used to write upside-down. However, the reason most ballpoint pens on the Earth do not work when writing upside-down is because the Earth's gravity pulls the ink inside the pen away from the tip of the pen, resulting in a bad writing experience. However, in space, the regular ballpoint pens can work upside-down because the microgravity in space is not strong enough to pull the ink away from the tip of the pen and capillary action prevails. The reliability of the regular ballpoint pen was tested in space by Pedro Duque, an ESA astronaut in 2003.
Technology developed by Fisher pens in the United States resulted in the production of what came to be known as the "Fisher Space Pen". Space Pens combine a more viscous ink with a pressurized ink reservoir that forces the ink toward the point. Unlike standard ballpoints, the rear end of a Space Pen's pressurized reservoir is sealed, eliminating evaporation and leakage, thus allowing the pen to write upside-down, in zero-gravity environments, and reportedly underwater. Astronauts have made use of these pens in outer space.
As art medium
Ballpoint pens have proven to be a versatile art medium for professional artists as well as amateur doodlers. Low cost, availability, and portability are cited by practitioners as qualities which make this common writing tool a convenient, alternative art supply. Some artists use them within mixed-media works, while others use them solely as their medium-of-choice.
Effects not generally associated with ballpoint pens can be achieved. Traditional pen-and-ink techniques such as stippling and cross-hatching can be used to create half-tones or the illusion of form and volume. For artists whose interests necessitate precision line-work, ballpoints are an obvious attraction; ballpoint pens allow for sharp lines not as effectively executed using a brush. Finely applied, the resulting imagery has been mistaken for airbrushed artwork and photography, causing reactions of disbelief which ballpoint artist Lennie Mace refers to as the "Wow Factor".
Famous 20th-century artists such as Andy Warhol, among others, have utilized ballpoint pens to some extent during their careers. Ballpoint pen artwork continues to attract interest in the 21st century, with contemporary artists gaining recognition for their specific use of ballpoint pens; for their technical proficiency, imagination, and innovation. Korean-American artist Il Lee has been creating large-scale, ballpoint-only abstract artwork since the late 1970s. Since the 1980s, Lennie Mace creates imaginative, ballpoint-only artwork of varying content and complexity, applied to unconventional surfaces including wood and denim. The artist coined terms such as "PENtings" and "Media Graffiti" to describe his varied output. More recently, British artist James Mylne has been creating photo-realistic artwork using mostly black ballpoints, sometimes with minimal mixed-media color.
Using ballpoint pens to create artwork is not without limitations. Color availability and sensitivity of ink to light are among concerns of ballpoint pen artists. Mistakes pose greater risks to ballpoint artists; once a line is drawn, it generally cannot be erased. Additionally, "blobbing" of ink on the drawing surface and "skipping" of ink-flow require consideration when using ballpoint pens for artistic purposes. Although the mechanics of ballpoint pens remain relatively unchanged, ink composition has evolved to solve certain problems over the years, resulting in unpredictable sensitivity to light and some extent of fading.
Manufacturing
Although designs and construction vary between brands, basic components of all ballpoint pens are universal. Standard components of a ballpoint tip include the freely rotating "ball" itself (distributing the ink on the writing surface), a "socket" holding the ball in place, small "ink channels" that provide ink to the ball through the socket, and a self-contained "ink reservoir" supplying ink to the ball. In modern disposable pens, narrow plastic tubes contain the ink, which is compelled downward to the ball by gravity. Brass, steel, or tungsten carbide are used to manufacture the ball bearing-like points, then housed in a brass socket.
The function of these components can be compared with the ball-applicator of roll-on antiperspirant; the same technology at a larger scale. The ballpoint tip delivers the ink to the writing surface while acting as a "buffer" between the ink in the reservoir and the air outside, preventing the quick-drying ink from drying inside the reservoir. Modern ballpoints are said to have a two-year shelf life, on average.
A ballpoint tip that can write comfortably for a long period of time is not easy to produce, as it requires high-precision machinery and thin high-grade steel alloy plates. China, which produces about 80 percent of the world's ballpoint pens, relied on imported ballpoint tips and metal alloys before 2017.
The common ballpoint pen is a product of mass production, with components produced separately on assembly lines. Basic steps in the manufacturing process include the production of ink formulas, molding of metal and plastic components, and assembly. Marcel Bich (leading to Société Bic) was involved in developing the production of inexpensive ballpoint pens.
Standards
The International Organization for Standardization has published standards for ball point and roller ball pens:
ISO 127561998: Drawing and writing instruments – Ball point pens – Vocabulary
ISO 12757-11998: Ball point pens and refills – Part 1: General use
ISO 12757-21998: Ball point pens and refills – Part 2: Documentary use (DOC)
ISO 14145-11998: Roller ball pens and refills – Part 1: General use
ISO 14145-21998: Roller ball pens and refills – Part 2: Documentary use (DOC)
Guinness World Records
The world's largest functioning ballpoint pen was made by Acharya Makunuri Srinivasa in India. The pen measures long and weighs .
The world's most popular pen is Bic's Bic Cristal, the 100 billionth of which was sold in September 2006. It was launched in 1950 and has gone on to sell 57 per second, much faster and more than other brands.
See also
Gel pen
List of pen types, brands and companies
Retractable pen
Rollerball pen
Ballpoint pen knife
Ballpoint mouse
References
External links
Fascinating facts about the invention of the Ballpoint Pen by Ladislas Biro in 1935
Laszlo Biro on Jewish.hu's list of famous Hungarians
American inventions
Argentine inventions
Hungarian inventions
Pens | 10 |
The Burroughs Corporation was a major American manufacturer of business equipment. The company was founded in 1886 as the American Arithmometer Company. In 1986, it merged with Sperry UNIVAC to form Unisys. The company's history paralleled many of the major developments in computing. At its start, it produced mechanical adding machines, and later moved into programmable ledgers and then computers. It was one of the largest producers of mainframe computers in the world, also producing related equipment including typewriters and printers.
Early history
In 1886, the American Arithmometer Company was established in St. Louis, Missouri, to produce and sell an adding machine invented by William Seward Burroughs (grandfather of Beat Generation author William S. Burroughs). In 1904, six years after Burroughs' death, the company moved to Detroit and changed its name to the Burroughs Adding Machine Company. It was soon the biggest adding machine company in America.
Evolving product lines
The adding machine range began with the basic, hand-cranked P100 which was only capable of adding. The design included some revolutionary features, foremost of which was the dashpot which governed the speed at which the operating lever could be pulled so allowing the mechanism to operate consistently correctly. The machine also had a full-keyboard with a separate column of keys 1 to 9 for each decade where the keys latch when pressed, with interlocking which prevented more than one key in any decade from being latched. The latching allowed the operator to quickly check that the correct number had been entered before pulling the operating lever. The numbers entered and the final total were printed on a roll of paper at the rear, so there was no danger of the operator writing down the wrong answer and there was a copy of the calculation which could be checked later if necessary. The P200 offered a subtraction capability and the P300 provided a means of keeping two separate totals. The P400 provided a moveable carriage, and the P600 and top-of-the-range P612 offered some limited programmability based upon the position of the carriage. The range was further extended by the inclusion of the "J" series which provided a single finger calculation facility, and the "c" series of both manual and electrical assisted comptometers. In the late 1960s, the Burroughs sponsored "nixi-tube" provided an electronic display calculator. Burroughs developed a range of adding machines with different capabilities, gradually increasing in their capabilities. A revolutionary adding machine was the Sensimatic, which was able to perform many business functions semi-automatically. It had a moving programmable carriage to maintain ledgers. It could store 9, 18 or 27 balances during the ledger posting operations and worked with a mechanical adder named a Crossfooter. The Sensimatic developed into the Sensitronic which could store balances on a magnetic stripe which was part of the ledger card. This balance was read into the accumulator when the card was inserted into the carriage. The Sensitronic was followed by the E1000, E2000, E3000, E4000, E6000 and the E8000, which were computer systems supporting card reader/punches and a line printer.
Later, Burroughs was selling more than adding machines, including typewriters.
Move into computers
The biggest shift in company history came in 1953: the Burroughs Adding Machine Company was renamed the Burroughs Corporation and began moving into digital computer products, initially for banking institutions. This move began with Burroughs' purchase in June 1956, of the ElectroData Corporation in Pasadena, California, a spinoff of the Consolidated Engineering Corporation which had designed test instruments and had a cooperative relationship with Caltech in Pasadena. ElectroData had built the Datatron 205 and was working on the Datatron 220. The first major computer product that came from this marriage was the B205 tube computer. In the late 1950s the L and TC series range was produced (e.g. the TC500—Terminal Computer 500) which had a golf ball printer and in the beginning a 1K (64 bit) disk memory. These were popular as branch terminals to the B5500/6500/6700 systems, and sold well in the banking sector, where they were often connected to non-Burroughs mainframes. In conjunction with these products, Burroughs also manufactured an extensive range of cheque processing equipment, normally attached as terminals to a medium systems such as B200/B300 and larger systems such as a B2700 or B1700.
In the 1950s, Burroughs worked with the Federal Reserve Bank on the development and computer processing of magnetic ink character recognition (MICR) especially for the processing of bank cheques. Burroughs made special MICR/OCR sorter/readers which attached to their medium systems line of computers (2700/3700/4700) and B200/B300 systems and this entrenched the company in the computer side of the banking industry.
A force in the computing industry
Burroughs was one of the nine major United States computer companies in the 1960s, with IBM the largest, Honeywell, NCR Corporation, Control Data Corporation (CDC), General Electric (GE), Digital Equipment Corporation (DEC), RCA and Sperry Rand (UNIVAC line). In terms of sales, Burroughs was always a distant second to IBM. In fact, IBM's market share was so much larger than all of the others that this group was often referred to as "IBM and the Seven Dwarves." By 1972 when GE and RCA were no longer in the mainframe business, the remaining five companies behind IBM became known as the BUNCH, an acronym based on their initials.
At the same time, Burroughs was very much a competitor. Like IBM, Burroughs tried to supply a complete line of products for its customers, including Burroughs-designed printers, disk drives, tape drives, computer printing paper, and even typewriter ribbons.
Developments and innovations
The Burroughs Corporation developed three highly innovative architectures, based on the design philosophy of "language-directed design". Their machine instruction sets favored one or many high level programming languages, such as ALGOL, COBOL or FORTRAN. All three architectures were considered mainframe class machines:
The Burroughs Large Systems machines started with the B5000 in 1961. The B5500 came a few years later when large rotating disks replaced drums as the main external memory media. These B5000 Series systems used the world's first virtual memory multi-programming operating system. They were followed by the B6500/B6700 in the later 1960s, the B7700 in the mid 1970s, and the A series in the 1980s. The underlying architecture of these machines is similar and continues today as the Unisys ClearPath MCP line of computers: stack machines designed to be programmed in an extended Algol 60. Their operating systems, called MCP (Master Control Program—the name later borrowed by the screenwriters for Tron), were programmed in ESPOL (Executive Systems Programming Oriented Language, a minor extension of ALGOL) and DCALGOL (Data Communications ALGOL) and later in NEWP (with further extensions to ALGOL) almost a decade before Unix. The command interface developed into a compiled structured language with declarations, statements and procedures called WFL (Work Flow Language).
Many computer scientists consider these series of computers to be technologically groundbreaking. Stack oriented processors, with 48 bit word length where each word was defined as data or program contributed significantly to a secure operating environment, long before spyware and viruses affected computing. And the modularity of these large systems was also unique: multiple CPUs, multiple memory modules and multiple I/O and Data Comm processors permitted incremental and cost effective growth of system performance and reliability.
In industries like banking, where continuous operations was mandatory, Burroughs Large Systems penetrated most every large bank, including the Federal Reserve Bank. Burroughs built the backbone switching systems for Society for Worldwide Interbank Financial Telecommunication (SWIFT) which sent its first message in 1977. Unisys is still the provider to SWIFT today.
Burroughs produced the B2500 or "medium systems" computers aimed primarily at the business world. The machines were designed to execute COBOL efficiently. This included a BCD (Binary Coded Decimal) based arithmetic unit, storing and addressing the main memory using base 10 numbering instead of binary. The designation for these systems was Burroughs B2500 through B49xx, followed by Unisys V-Series V340 through V560.
Burroughs produced the B1700 or "small systems" computers that were designed to be microprogrammed, with each process potentially getting its own virtual machine designed to be the best match to the programming language chosen for the program being run.
The smallest general-purpose computers were the B700 "microprocessors" which were used both as stand-alone systems and as special-purpose data-communications or disk-subsystem controllers.
Burroughs also manufactured an extensive range of accounting machines including both stand-alone systems such as the Sensimatic, L500 and B80, and dedicated terminals including the TC500 and specialised check processing equipment.
In 1982, Burroughs began producing personal computers, the B20 and B25 lines with the Intel 8086/8088 family of 16-bit chips as the processor. These ran the BTOS operating system, which Burroughs licensed from Convergent Technologies. These machines implemented an early local area network to share a hard disk between workgroup users. These microcomputers were later manufactured in Kunming, China for use in China under agreement with Burroughs.
Burroughs collaborated with University of Illinois on a multiprocessor architecture developing the ILLIAC IV computer in the early 1960s. The ILLIAC had up to 128 parallel processors while the B6700 & B7700 only accommodated a total of 7 CPUs and/or I/O units (the 8th unit was the memory tester).
Burroughs made military computers, such as the D825 (the "D" prefix signifying it was for defense industrial use), in its Great Valley Laboratory in Paoli, Pennsylvania. The D825 was, according to some scholars, the first true multiprocessor computer. Paoli was also home to the Defense and Space Group Marketing Division.
In 1964 Burroughs had also completed the D830 which was another variation of the D825 designed specifically for real-time applications, such as airline reservations. Burroughs designated the B8300 after Trans World Airlines (TWA) ordered one in September 1965. A system with three instruction processors was installed at TWA's reservations center in Rockleigh, New Jersey in 1968. The system, which was called George, with an application programmed in JOVIAL, was intended to support some 4000 terminals, but the system experienced repeated crashes due to a filing system disk allocation error when operating under a large load. A fourth processor was added but did nothing to resolve the problem. The problem was resolved in late 1970 and the system became stable. The decision to cancel the project was being made at the very time that the problem was resolved. TWA cancelled the project and acquired one IBM System/360 Model 75, two IBM System/360 model 65s, and IBM's PARS software for its reservations system. TWA sued Burroughs for non-fulfillment of the contract, but Burroughs counter-sued, stating that the basic system did work and that the problems were in TWA's applications software. The two companies reached an out-of-court settlement.
Burroughs developed a half-size version of the D825 called the D82, cutting the word size from 48 to 24 bits and simplifying the computer's instruction set. The D82 could have up to 32,768 words of core memory and continued the use of separate instruction and I/O processors. Burroughs sold a D82 to Air Canada to handle reservations for trips originating in Montreal and Quebec. This design was further refined and made much more compact as the D84 machine which was completed in 1965. A D84 processor/memory unit with 4096 words of memory occupied just . This system was used successfully in two military projects: field test systems used to check the electronics of the Air Force General Dynamics F-111 Aardvark fighter plane and systems used to control the countdown and launch of the Army's Pershing 1 and 1a missile systems.
Merger with Sperry
In September 1986, Burroughs Corporation merged with Sperry Corporation to form Unisys. For a time, the combined company retained the Burroughs processors as the A- and V-systems lines. However, as the market for large systems shifted from proprietary architectures to common servers, the company eventually dropped the V-Series line, although customers continued to use V-series systems . Unisys continues to develop and market the A-Series, now known as ClearPath.
Burroughs Payment Systems
In 2010, Unisys sold off its Payment Systems Division to Marlin Equity Partners, a California-based private investment firm, which incorporated it as Burroughs Payment Systems, Inc. (later just Burroughs, Inc.), based in Plymouth, Michigan.
References in popular culture
Burroughs B205 hardware has appeared as props in many Hollywood television and film productions from the late 1950s. For example, a B205 console was often shown in the television series Batman as the Bat Computer; also as the computer in Lost in Space. B205 tape drives were often seen in series such as The Time Tunnel and Voyage to the Bottom of the Sea.
References
Further reading
Allweiss, Jack A., "Evolution of Burroughs Stack Architecture - Mainframe Computers", 2010
Barton, Robert S. "A New Approach to the Functional Design of a Digital Computer" Proc. western joint computer Conf. ACM (1961).
Hauck, E.A., Dent, Ben A. "Burroughs B6500/B7500 Stack Mechanism", SJCC (1968) pp. 245–251.
Martin, Ian L. (2012) "Too far ahead of its time: Barclays, Burroughs and real-time banking", IEEE Annals of the History of Computing 34(2), pp. 5–19. . (Draft version)
Mayer, Alastair J.W., "The Architecture of the Burroughs B5000 - 20 Years Later and Still Ahead of the Times?", ACM Computer Architecture News, 1982 (archived at the Southwest Museum of Engineering, Communications and Computation. Glendale, Arizona)
McKeeman, William M. "Language Directed Computer Design", FJCC (1967) pp. 413–417.
Morgan, Bryan, "Total to Date: The Evolution of the Adding Machine: The Story of Burroughs", Burroughs Adding Machine Limited London, 1953.
Organick, Elliot I. "Computer System Organization The B5700/B6700 series", Academic Press (1973)
Wilner, Wayne T. "Design of the B1700", FJCC pp. 489–497 (1972).
Wilner, Wayne T., "B1700 Design and Implementation", Burroughs Corporation, Santa Barbara Plant, Goleta, California, May 1972.
External links
Burroughs Corporation Records Charles Babbage Institute University of Minnesota, Minneapolis. Collection contains the records of the Burroughs Corporation, and its predecessors the American Arithmometer Company and Burroughs Adding Machine Company. Materials include corporate records, photographs, films and video tapes, scrapbooks, papers of employees and the records of companies acquired by Burroughs. CBI's Burroughs Corporation Records includes over 100,000 photographs depicting the entire visual history of Burroughs from its origin as the American Arithmometer Corporation in 1886 to its merger with the Sperry Corporation to form the Unisys Corporation in 1986.
Burroughs Corporation Photo Database at the Charles Babbage Institute University of Minnesota. The searchable photo database permits browsing and retrieval of over 550 historical images.
"Burroughs B 5000 Conference, OH 98", Oral history on 6 September 1985, Marina del Ray, California. Charles Babbage Institute, University of Minnesota, Minneapolis. The Burroughs 5000 computer series is discussed by individuals responsible for its development and marketing from 1957 through the 1960s in a 1985 conference sponsored by AFIPS and Burroughs Corporation.
Oral history interview with Isaac Levin Auerbach Charles Babbage Institute University of Minnesota. Auerbach discusses his work at Burroughs 1949–1957 managing development for the SAGE project, BEAM I computer, the Intercontinental Ballistic Missile System, a magnetic core encryption communications system, and Atlas missile.
Oral history interview with Robert V. D. Campbell. Discusses his work at Burroughs (1949–1966) as director of research and in program planning.
Oral history interview with Alfred Doughty Cavanaugh Cavanaugh discusses the work of his grandfather, A. J. Doughty, with William Seward Burroughs and the Burroughs Adding Machine Company.
Oral history interview with Carel Sellenraad Charles Babbage Institute University of Minnesota. Sellenraad describes his long association with Burroughs Adding Machine Company, and the impact of World Wars I & II on the sales and service of calculators, and adding and bookkeeping machines in Europe.
Oral history interview with Ovid M. Smith Charles Babbage Institute University of Minnesota. Smith reviews his 46½ year career at Burroughs Adding Machine Company (later Burroughs Corporation).
"Early Burroughs Machines", University of Virginia's Computer Museum.
Older Burroughs computer manuals online
Burroughs computers such as the D825 at BRL
An historical Burroughs Adding Machine Company/Burroughs site
Unofficial list of Burroughs manufacturing plants and labs
Ian Joyner's Burroughs page
The Burroughs B5900 and E-Mode: A bridge to 21st Century Computing - Jack Allweiss
1886 establishments in Missouri
1986 disestablishments in the United States
American companies established in 1886
American companies disestablished in 1986
Companies based in St. Louis
Computer companies established in 1886
Computer companies disestablished in 1986
Defunct companies based in Missouri
Defunct computer companies of the United States
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Unisys | 14 |
A brick is a type of construction material used to build walls, pavements and other elements in masonry construction. Properly, the term brick denotes a unit primarily composed of clay, but is now also used informally to denote units made of other materials or other chemically cured construction blocks. Bricks can be joined using mortar, adhesives or by interlocking. Bricks are usually produced at brickworks in numerous classes, types, materials, and sizes which vary with region, and are produced in bulk quantities.
Block is a similar term referring to a rectangular building unit composed of clay or concrete, but is usually larger than a brick. Lightweight bricks (also called lightweight blocks) are made from expanded clay aggregate.
Fired bricks are one of the longest-lasting and strongest building materials, sometimes referred to as artificial stone, and have been used since circa 4000 BC. Air-dried bricks, also known as mud-bricks, have a history older than fired bricks, and have an additional ingredient of a mechanical binder such as straw.
Bricks are laid in courses and numerous patterns known as bonds, collectively known as brickwork, and may be laid in various kinds of mortar to hold the bricks together to make a durable structure.
History
Middle East and South Asia
The earliest bricks were dried mud-bricks, meaning that they were formed from clay-bearing earth or mud and dried (usually in the sun) until they were strong enough for use. The oldest discovered bricks, originally made from shaped mud and dating before 7500 BC, were found at Tell Aswad, in the upper Tigris region and in southeast Anatolia close to Diyarbakir.
Mud-brick construction was used at Çatalhöyük, from c. 7,400 BC.
Mud-brick structures, dating to c. 7,200 BC have been located in Jericho, Jordan Valley. These structures were made up of the first bricks with dimension 400x150x100 mm.
Between 5000 and 4500 BC, Mesopotamia had discovered fired brick. The standard brick sizes in Mesopotamia followed a general rule: the width of the dried or burned brick would be twice its thickness, and its length would be double its width.
The South Asian inhabitants of Mehrgarh also constructed, air-dried mud-brick structures, between 7000 and 3300 BC. and later the ancient Indus Valley cities of Mohenjo-daro, Harappa, and Mehrgarh. Ceramic, or fired brick was used as early as 3000 BC in early Indus Valley cities like Kalibangan.
In the middle of the third millennium BC, there was a rise in monumental baked brick architecture in Indus cities. Examples included the Great Bath at Mohenjo-daro, the fire altars of Kaalibangan, and the granary of Harappa. There was a uniformity to the brick sizes throughout the Indus Valley region, conforming to the 1:2:4, thickness, width, and length ratio. As the Indus civilization began its decline at the start of the second millennium BC, Harappans migrated east, spreading their knowledge of brickmaking technology. This led to the rise of cities like Pataliputra, Kausambi, and Ujjain, where there was an enormous demand for kiln-made bricks.
By 604 BC, bricks were the construction materials for architectural wonders such as the Hanging Gardens of Babylon, where glazed fired bricks were put into practice.
China
The earliest fired bricks appeared in Neolithic China around 4400 BC at Chengtoushan, a walled settlement of the Daxi culture. These bricks were made of red clay, fired on all sides to above 600 °C, and used as flooring for houses. By the Qujialing period (3300 BC), fired bricks were being used to pave roads and as building foundations at Chengtoushan.
According to Lukas Nickel, the use of ceramic pieces for protecting and decorating floors and walls dates back at various cultural sites to 3000-2000 BC and perhaps even before, but these elements should be rather qualified as tiles. For the longest time builders relied on wood, mud and rammed earth, while fired brick and mud-brick played no structural role in architecture. Proper brick construction, for erecting walls and vaults, finally emerges in the third century BC, when baked bricks of regular shape began to be employed for vaulting underground tombs. Hollow brick tomb chambers rose in popularity as builders were forced to adapt due to a lack of readily available wood or stone. The oldest extant brick building above ground is possibly Songyue Pagoda, dated to 523 AD.
By the end of the third century BC in China, both hollow and small bricks were available for use in building walls and ceilings. Fired bricks were first mass-produced during the construction of the tomb of China's first Emperor, Qin Shi Huangdi. The floors of the three pits of the terracotta army were paved with an estimated 230,000 bricks, with the majority measuring 28x14x7 cm, following a 4:2:1 ratio. The use of fired bricks in Chinese city walls first appeared in the Eastern Han dynasty (25 AD-220 AD). Up until the Middle Ages, buildings in Central Asia were typically built with unbaked bricks. It was only starting in the ninth century CE when buildings were entirely constructed using fired bricks.
The carpenter's manual Yingzao Fashi, published in 1103 at the time of the Song dynasty described the brick making process and glazing techniques then in use. Using the 17th-century encyclopaedic text Tiangong Kaiwu, historian Timothy Brook outlined the brick production process of Ming dynasty China:
Europe
Early civilisations around the Mediterranean, including the Ancient Greeks and Romans, adopted the use of fired bricks. By the early first century CE, standardised fired bricks were being heavily produced in Rome. The Roman legions operated mobile kilns, and built large brick structures throughout the Roman Empire, stamping the bricks with the seal of the legion. The Romans used brick for walls, arches, forts, aqueducts, etc. Notable mentions of Roman brick structures are the Herculaneum gate of Pompeii and the baths of Caracalla.
During the Early Middle Ages the use of bricks in construction became popular in Northern Europe, after being introduced there from Northwestern Italy. An independent style of brick architecture, known as brick Gothic (similar to Gothic architecture) flourished in places that lacked indigenous sources of rocks. Examples of this architectural style can be found in modern-day Denmark, Germany, Poland, and Kaliningrad (former East Prussia).
This style evolved into the Brick Renaissance as the stylistic changes associated with the Italian Renaissance spread to northern Europe, leading to the adoption of Renaissance elements into brick building. Identifiable attributes included a low-pitched hipped or flat roof, symmetrical facade, round arch entrances and windows, columns and pilasters, and more.
A clear distinction between the two styles only developed at the transition to Baroque architecture. In Lübeck, for example, Brick Renaissance is clearly recognisable in buildings equipped with terracotta reliefs by the artist Statius von Düren, who was also active at Schwerin (Schwerin Castle) and Wismar (Fürstenhof).
Long-distance bulk transport of bricks and other construction equipment remained prohibitively expensive until the development of modern transportation infrastructure, with the construction of canal, roads, and railways.
Industrial era
Production of bricks increased massively with the onset of the Industrial Revolution and the rise in factory building in England. For reasons of speed and economy, bricks were increasingly preferred as building material to stone, even in areas where the stone was readily available. It was at this time in London that bright red brick was chosen for construction to make the buildings more visible in the heavy fog and to help prevent traffic accidents.
The transition from the traditional method of production known as hand-moulding to a mechanised form of mass-production slowly took place during the first half of the nineteenth century. Possibly the first successful brick-making machine was patented by Henry Clayton, employed at the Atlas Works in Middlesex, England, in 1855, and was capable of producing up to 25,000 bricks daily with minimal supervision. His mechanical apparatus soon achieved widespread attention after it was adopted for use by the South Eastern Railway Company for brick-making at their factory near Folkestone. The Bradley & Craven Ltd 'Stiff-Plastic Brickmaking Machine' was patented in 1853, apparently predating Clayton. Bradley & Craven went on to be a dominant manufacturer of brickmaking machinery. Predating both Clayton and Bradley & Craven Ltd. however was the brick making machine patented by Richard A. Ver Valen of Haverstraw, New York, in 1852.
At the end of the 19th century, the Hudson River region of New York State would become the world's largest brick manufacturing region, with 130 brickyards lining the shores of the Hudson River from Mechanicsville to Haverstraw and employing 8,000 people. At its peak, about 1 billion bricks were produced a year, with many being sent to New York City for use in its construction industry.
The demand for high office building construction at the turn of the 20th century led to a much greater use of cast and wrought iron, and later, steel and concrete. The use of brick for skyscraper construction severely limited the size of the building – the Monadnock Building, built in 1896 in Chicago, required exceptionally thick walls to maintain the structural integrity of its 17 storeys.
Following pioneering work in the 1950s at the Swiss Federal Institute of Technology and the Building Research Establishment in Watford, UK, the use of improved masonry for the construction of tall structures up to 18 storeys high was made viable. However, the use of brick has largely remained restricted to small to medium-sized buildings, as steel and concrete remain superior materials for high-rise construction.
Bricks are often made of shale because it easily splits into thin layers.
Methods of manufacture
Four basic types of brick are un-fired, fired, chemically set bricks, and compressed earth blocks. Each type is manufactured differently for various purposes.
Mud-brick
Unfired bricks, also known as mud-bricks, are made from a mixture of silt, clay, sand and other earth materials like gravel and stone, combined with tempers and binding agents such as chopped straw, grasses, tree bark, or dung. Since these bricks are made up of natural materials and only require heat from the Sun to bake, mud-bricks have a relatively low embodied energy and carbon footprint.
The ingredients are first harvested and added together, with clay content ranging from 30% to 70%. The mixture is broken up with hoes or adzes, and stirred with water to form a homogenous blend. Next, the tempers and binding agents are added in a ratio, roughly one part straw to five parts earth to reduce weight and reinforce the brick by helping reduce shrinkage. However, additional clay could be added to reduce the need for straw, which would prevent the likelihood of insects deteriorating the organic material of the bricks, subsequently weakening the structure. These ingredients are thoroughly mixed together by hand or by treading and are then left to ferment for about a day.
The mix is then kneaded with water and molded into rectangular prisms of a desired size. Bricks are lined up and left to sundry for three days on both sides. After the six days, the bricks continue drying until required for use. Typically, longer drying times are preferred, but the average is eight to nine days spanning from initial stages to its application in structures. Unfired bricks could be made in the spring months and left to dry over the summer for use in the fall. Mud-bricks are commonly employed in arid environments to allow for adequate air drying.
Fired brick
Fired bricks are burned in a kiln which makes them durable. Modern, fired, clay bricks are formed in one of three processes – soft mud, dry press, or extruded. Depending on the country, either the extruded or soft mud method is the most common, since they are the most economical.
Clay and shale are the raw ingredients in the recipe for a fired brick. They are the product of thousands of years of decomposition and erosion of rocks, such as pegmatite and granite, leading to a material that has properties of being highly chemically stable and inert. Within the clays and shales are the materials of aluminosilicate (pure clay), free silica (quartz), and decomposed rock.
One proposed optimal mix is:
Silica (sand) – 50% to 60% by weight
Alumina (clay) – 20% to 30% by weight
Lime – 2 to 5% by weight
Iron oxide – ≤ 7% by weight
Magnesia – less than 1% by weight
Shaping methods
Three main methods are used for shaping the raw materials into bricks to be fired:
Molded bricks – These bricks start with raw clay, preferably in a mix with 25–30% sand to reduce shrinkage. The clay is first ground and mixed with water to the desired consistency. The clay is then pressed into steel moulds with a hydraulic press. The shaped clay is then fired ("burned") at to achieve strength.
Dry-pressed bricks – The dry-press method is similar to the soft-mud moulded method, but starts with a much thicker clay mix, so it forms more accurate, sharper-edged bricks. The greater force in pressing and the longer burn make this method more expensive.
Extruded bricks – For extruded bricks the clay is mixed with 10–15% water (stiff extrusion) or 20–25% water (soft extrusion) in a pugmill. This mixture is forced through a die to create a long cable of material of the desired width and depth. This mass is then cut into bricks of the desired length by a wall of wires. Most structural bricks are made by this method as it produces hard, dense bricks, and suitable dies can produce perforations as well. The introduction of such holes reduces the volume of clay needed, and hence the cost. Hollow bricks are lighter and easier to handle, and have different thermal properties from solid bricks. The cut bricks are hardened by drying for 20 to 40 hours at before being fired. The heat for drying is often waste heat from the kiln.
Kilns
In many modern brickworks, bricks are usually fired in a continuously fired tunnel kiln, in which the bricks are fired as they move slowly through the kiln on conveyors, rails, or kiln cars, which achieves a more consistent brick product. The bricks often have lime, ash, and organic matter added, which accelerates the burning process.
The other major kiln type is the Bull's Trench Kiln (BTK), based on a design developed by British engineer W. Bull in the late 19th century.
An oval or circular trench is dug, wide, deep, and in circumference. A tall exhaust chimney is constructed in the centre. Half or more of the trench is filled with "green" (unfired) bricks which are stacked in an open lattice pattern to allow airflow. The lattice is capped with a roofing layer of finished brick.
In operation, new green bricks, along with roofing bricks, are stacked at one end of the brick pile. Historically, a stack of unfired bricks covered for protection from the weather was called a "hack". Cooled finished bricks are removed from the other end for transport to their destinations. In the middle, the brick workers create a firing zone by dropping fuel (coal, wood, oil, debris, etc.) through access holes in the roof above the trench. The constant source of fuel maybe grown on the woodlots.
The advantage of the BTK design is a much greater energy efficiency compared with clamp or scove kilns. Sheet metal or boards are used to route the airflow through the brick lattice so that fresh air flows first through the recently burned bricks, heating the air, then through the active burning zone. The air continues through the green brick zone (pre-heating and drying the bricks), and finally out the chimney, where the rising gases create suction that pulls air through the system. The reuse of heated air yields savings in fuel cost.
As with the rail process, the BTK process is continuous. A half-dozen labourers working around the clock can fire approximately 15,000–25,000 bricks a day. Unlike the rail process, in the BTK process the bricks do not move. Instead, the locations at which the bricks are loaded, fired, and unloaded gradually rotate through the trench.
Influences on colour
The colour of fired clay bricks is influenced by the chemical and mineral content of the raw materials, the firing temperature, and the atmosphere in the kiln. For example, pink bricks are the result of a high iron content, white or yellow bricks have a higher lime content. Most bricks burn to various red hues; as the temperature is increased the colour moves through dark red, purple, and then to brown or grey at around . The names of bricks may reflect their origin and colour, such as London stock brick and Cambridgeshire White. Brick tinting may be performed to change the colour of bricks to blend-in areas of brickwork with the surrounding masonry.
An impervious and ornamental surface may be laid on brick either by salt glazing, in which salt is added during the burning process, or by the use of a slip, which is a glaze material into which the bricks are dipped. Subsequent reheating in the kiln fuses the slip into a glazed surface integral with the brick base.
Chemically set bricks
Chemically set bricks are not fired but may have the curing process accelerated by the application of heat and pressure in an autoclave.
Calcium-silicate bricks
Calcium-silicate bricks are also called sandlime or flintlime bricks, depending on their ingredients. Rather than being made with clay they are made with lime binding the silicate material. The raw materials for calcium-silicate bricks include lime mixed in a proportion of about 1 to 10 with sand, quartz, crushed flint, or crushed siliceous rock together with mineral colourants. The materials are mixed and left until the lime is completely hydrated; the mixture is then pressed into moulds and cured in an autoclave for three to fourteen hours to speed the chemical hardening. The finished bricks are very accurate and uniform, although the sharp arrises need careful handling to avoid damage to brick and bricklayer. The bricks can be made in a variety of colours; white, black, buff, and grey-blues are common, and pastel shades can be achieved. This type of brick is common in Sweden as well as Russia and other post-Soviet countries, especially in houses built or renovated in the 1970s. A version known as fly ash bricks, manufactured using fly ash, lime, and gypsum (known as the FaL-G process) are common in South Asia. Calcium-silicate bricks are also manufactured in Canada and the United States, and meet the criteria set forth in ASTM C73 – 10 Standard Specification for Calcium Silicate Brick (Sand-Lime Brick).
Concrete bricks
Bricks formed from concrete are usually termed as blocks or concrete masonry unit, and are typically pale grey. They are made from a dry, small aggregate concrete which is formed in steel moulds by vibration and compaction in either an "egglayer" or static machine. The finished blocks are cured, rather than fired, using low-pressure steam. Concrete bricks and blocks are manufactured in a wide range of shapes, sizes and face treatments – a number of which simulate the appearance of clay bricks.
Concrete bricks are available in many colours and as an engineering brick made with sulfate-resisting Portland cement or equivalent. When made with adequate amount of cement they are suitable for harsh environments such as wet conditions and retaining walls. They are made to standards BS 6073, EN 771-3 or ASTM C55. Concrete bricks contract or shrink so they need movement joints every 5 to 6 metres, but are similar to other bricks of similar density in thermal and sound resistance and fire resistance.
Compressed earth blocks
Compressed earth blocks are made mostly from slightly moistened local soils compressed with a mechanical hydraulic press or manual lever press. A small amount of a cement binder may be added, resulting in a stabilised compressed earth block.
Types
There are thousands of types of bricks that are named for their use, size, forming method, origin, quality, texture, and/or materials.
Categorized by manufacture method:
Extruded – made by being forced through an opening in a steel die, with a very consistent size and shape.
Wire-cut – cut to size after extrusion with a tensioned wire which may leave drag marks
Moulded – shaped in moulds rather than being extruded
Machine-moulded – clay is forced into moulds using pressure
Handmade – clay is forced into moulds by a person
Dry-pressed – similar to soft mud method, but starts with a much thicker clay mix and is compressed with great force.
Categorized by use:
Common or building – A brick not intended to be visible, used for internal structure
Face – A brick used on exterior surfaces to present a clean appearance
Hollow – not solid, the holes are less than 25% of the brick volume
Perforated – holes greater than 25% of the brick volume
Keyed – indentations in at least one face and end to be used with rendering and plastering
Paving – brick intended to be in ground contact as a walkway or roadway
Thin – brick with normal height and length but thin width to be used as a veneer
Specialized use bricks:
Chemically resistant – bricks made with resistance to chemical reactions
Acid brick – acid resistant bricks
Engineering – a type of hard, dense, brick used where strength, low water porosity or acid (flue gas) resistance are needed. Further classified as type A and type B based on their compressive strength
Accrington – a type of engineering brick from England
Fire or refractory – highly heat-resistant bricks
Clinker – a vitrified brick
Ceramic glazed – fire bricks with a decorative glazing
Bricks named for place of origin:
Chicago common brick - a soft brick made near Chicago, Illinois with a range of colors, like buff yellow, salmon pink, or deep red
Cream City brick – a light yellow brick made in Milwaukee, Wisconsin
Dutch brick – a hard light coloured brick originally from the Netherlands
Fareham red brick – a type of construction brick
London stock brick – type of handmade brick which was used for the majority of building work in London and South East England until the growth in the use of machine-made bricks
Nanak Shahi bricks – a type of decorative brick in India
Roman brick – a long, flat brick typically used by the Romans
Staffordshire blue brick – a type of construction brick from England
Optimal dimensions, characteristics, and strength
For efficient handling and laying, bricks must be small enough and light enough to be picked up by the bricklayer using one hand (leaving the other hand free for the trowel). Bricks are usually laid flat, and as a result, the effective limit on the width of a brick is set by the distance which can conveniently be spanned between the thumb and fingers of one hand, normally about . In most cases, the length of a brick is twice its width plus the width of a mortar joint, about or slightly more. This allows bricks to be laid bonded in a structure which increases stability and strength (for an example, see the illustration of bricks laid in English bond, at the head of this article). The wall is built using alternating courses of stretchers, bricks laid longways, and headers, bricks laid crossways. The headers tie the wall together over its width. In fact, this wall is built in a variation of English bond called English cross bond where the successive layers of stretchers are displaced horizontally from each other by half a brick length. In true English bond, the perpendicular lines of the stretcher courses are in line with each other.
A bigger brick makes for a thicker (and thus more insulating) wall. Historically, this meant that bigger bricks were necessary in colder climates (see for instance the slightly larger size of the Russian brick in table below), while a smaller brick was adequate, and more economical, in warmer regions. A notable illustration of this correlation is the Green Gate in Gdansk; built in 1571 of imported Dutch brick, too small for the colder climate of Gdansk, it was notorious for being a chilly and drafty residence. Nowadays this is no longer an issue, as modern walls typically incorporate specialised insulation materials.
The correct brick for a job can be selected from a choice of colour, surface texture, density, weight, absorption, and pore structure, thermal characteristics, thermal and moisture movement, and fire resistance.
In England, the length and width of the common brick remained fairly constant from 1625 when the size was regulated by statute at 9 x x 3 inches (but see brick tax), but the depth has varied from about or smaller in earlier times to about more recently. In the United Kingdom, the usual size of a modern brick (from 1965) is , which, with a nominal mortar joint, forms a unit size of , for a ratio of 6:3:2.
In the United States, modern standard bricks are specified for various uses; The most commonly used is the modular brick has the actual dimensions of × × inches (194 × 92 × 57 mm). With the standard inch mortar joint, this gives the nominal dimensions of 8 x 4 x inches which eases the calculation of the number of bricks in a given wall. The 2:1 ratio of modular bricks means that when they turn corners, a 1/2 running bond is formed without needing to cut the brick down or fill the gap with a cut brick; and the height of modular bricks means that a soldier course matches the height of three modular running courses, or one standard CMU course.
Some brickmakers create innovative sizes and shapes for bricks used for plastering (and therefore not visible on the inside of the building) where their inherent mechanical properties are more important than their visual ones. These bricks are usually slightly larger, but not as large as blocks and offer the following advantages:
A slightly larger brick requires less mortar and handling (fewer bricks), which reduces cost
Their ribbed exterior aids plastering
More complex interior cavities allow improved insulation, while maintaining strength.
Blocks have a much greater range of sizes. Standard co-ordinating sizes in length and height (in mm) include 400×200, 450×150, 450×200, 450×225, 450×300, 600×150, 600×200, and 600×225; depths (work size, mm) include 60, 75, 90, 100, 115, 140, 150, 190, 200, 225, and 250. They are usable across this range as they are lighter than clay bricks. The density of solid clay bricks is around 2000 kg/m3: this is reduced by frogging, hollow bricks, and so on, but aerated autoclaved concrete, even as a solid brick, can have densities in the range of 450–850 kg/m3.
Bricks may also be classified as solid (less than 25% perforations by volume, although the brick may be "frogged," having indentations on one of the longer faces), perforated (containing a pattern of small holes through the brick, removing no more than 25% of the volume), cellular (containing a pattern of holes removing more than 20% of the volume, but closed on one face), or hollow (containing a pattern of large holes removing more than 25% of the brick's volume). Blocks may be solid, cellular or hollow.
The term "frog" can refer to the indentation or the implement used to make it. Modern brickmakers usually use plastic frogs but in the past they were made of wood.
The compressive strength of bricks produced in the United States ranges from about , varying according to the use to which the brick are to be put. In England clay bricks can have strengths of up to 100 MPa, although a common house brick is likely to show a range of 20–40 MPa.
Uses
Bricks are a versatile building material, able to participate in a wide variety of applications, including:
Structural walls, exterior and interior walls
Bearing and non-bearing sound proof partitions
The fireproofing of structural-steel members in the form of firewalls, party walls, enclosures and fire towers
Foundations for stucco
Chimneys and fireplaces
Porches and terraces
Outdoor steps, brick walks and paved floors
Swimming pools
In the United States, bricks have been used for both buildings and pavement. Examples of brick use in buildings can be seen in colonial era buildings and other notable structures around the country. Bricks have been used in paving roads and sidewalks especially during the late 19th century and early 20th century. The introduction of asphalt and concrete reduced the use of brick for paving, but they are still sometimes installed as a method of traffic calming or as a decorative surface in pedestrian precincts. For example, in the early 1900s, most of the streets in the city of Grand Rapids, Michigan, were paved with bricks. Today, there are only about 20 blocks of brick-paved streets remaining (totalling less than 0.5 percent of all the streets in the city limits). Much like in Grand Rapids, municipalities across the United States began replacing brick streets with inexpensive asphalt concrete by the mid-20th century.
In Northwest Europe, bricks have been used in construction for centuries. Until recently, almost all houses were built almost entirely from bricks. Although many houses are now built using a mixture of concrete blocks and other materials, many houses are skinned with a layer of bricks on the outside for aesthetic appeal.
Bricks in the metallurgy and glass industries are often used for lining furnaces, in particular refractory bricks such as silica, magnesia, chamotte and neutral (chromomagnesite) refractory bricks. This type of brick must have good thermal shock resistance, refractoriness under load, high melting point, and satisfactory porosity. There is a large refractory brick industry, especially in the United Kingdom, Japan, the United States, Belgium and the Netherlands.
Engineering bricks are used where strength, low water porosity or acid (flue gas) resistance are needed.
In the UK a red brick university is one founded in the late 19th or early 20th century. The term is used to refer to such institutions collectively to distinguish them from the older Oxbridge institutions, and refers to the use of bricks, as opposed to stone, in their buildings.
Colombian architect Rogelio Salmona was noted for his extensive use of red bricks in his buildings and for using natural shapes like spirals, radial geometry and curves in his designs.
Limitations
Starting in the 20th century, the use of brickwork declined in some areas due to concerns about earthquakes. Earthquakes such as the San Francisco earthquake of 1906 and the 1933 Long Beach earthquake revealed the weaknesses of unreinforced brick masonry in earthquake-prone areas. During seismic events, the mortar cracks and crumbles, so that the bricks are no longer held together. Brick masonry with steel reinforcement, which helps hold the masonry together during earthquakes, has been used to replace unreinforced bricks in many buildings. Retrofitting older unreinforced masonry structures has been mandated in many jurisdictions. However, similar to steel corrosion in reinforced concrete, rebar rusting will compromise the structural integrity of reinforced brick and ultimately limit the expected lifetime, so there is a trade-off between earthquake safety and longevity to a certain extent.
Gallery
See also
References
Further reading
Hudson, Kenneth (1972) Building Materials; chap. 3: Bricks and tiles. London: Longman; pp. 28–42
External links
Brick in 20th-Century Architecture
Brick Industry Association United States
Brick Development Association UK
Think Brick Australia
International Brick Collectors Association
Building materials
Masonry
Soil-based building materials | 11 |
Bipolar disorder, previously known as manic depression, is a mental disorder characterized by periods of depression and periods of abnormally elevated mood that each last from days to weeks. If the elevated mood is severe or associated with psychosis, it is called mania; if it is less severe, it is called hypomania. During mania, an individual behaves or feels abnormally energetic, happy or irritable, and they often make impulsive decisions with little regard for the consequences. There is usually also a reduced need for sleep during manic phases. During periods of depression, the individual may experience crying and have a negative outlook on life and poor eye contact with others. The risk of suicide is high; over a period of 20 years, 6% of those with bipolar disorder died by suicide, while 30–40% engaged in self-harm. Other mental health issues, such as anxiety disorders and substance use disorders, are commonly associated with bipolar disorder.
While the causes of this mood disorder are not clearly understood, both genetic and environmental factors are thought to play a role. Many genes, each with small effects, may contribute to the development of the disorder. Genetic factors account for about 70–90% of the risk of developing bipolar disorder. Environmental risk factors include a history of childhood abuse and long-term stress. The condition is classified as bipolar I disorder if there has been at least one manic episode, with or without depressive episodes, and as bipolar II disorder if there has been at least one hypomanic episode (but no full manic episodes) and one major depressive episode. It is classified as Cyclothymia if there are hypomanic episodes with periods of depression that do not meet the criteria for major depressive episodes.
If these symptoms are due to drugs or medical problems, they are not diagnosed as bipolar disorder. Other conditions that have overlapping symptoms with bipolar disorder include attention deficit hyperactivity disorder, personality disorders, schizophrenia, and substance use disorder as well as many other medical conditions. Medical testing is not required for a diagnosis, though blood tests or medical imaging can rule out other problems.
Mood stabilizers—lithium and certain anticonvulsants such as valproate and carbamazepine as well as atypical antipsychotics such as aripiprazole—are the mainstay of long-term pharmacologic relapse prevention. Antipsychotics are additionally given during acute manic episodes as well as in cases where mood stabilizers are poorly tolerated or ineffective. In patients where compliance is of concern, long-acting injectable formulations are available. There is some evidence that psychotherapy improves the course of this disorder. The use of antidepressants in depressive episodes is controversial: they can be effective but have been implicated in triggering manic episodes. The treatment of depressive episodes, therefore, is often difficult. Electroconvulsive therapy (ECT) is effective in acute manic and depressive episodes, especially with psychosis or catatonia. Admission to a psychiatric hospital may be required if a person is a risk to themselves or others; involuntary treatment is sometimes necessary if the affected person refuses treatment.
Bipolar disorder occurs in approximately 2% of the global population. In the United States, about 3% are estimated to be affected at some point in their life; rates appear to be similar in females and males. Symptoms most commonly begin between the ages of 20 and 25 years old; an earlier onset in life is associated with a worse prognosis. Interest in functioning in the assessment of patients with bipolar disorder is growing, with an emphasis on specific domains such as work, education, social life, family, and cognition. Around one-quarter to one-third of people with bipolar disorder have financial, social or work-related problems due to the illness. Bipolar disorder is among the top 20 causes of disability worldwide and leads to substantial costs for society. Due to lifestyle choices and the side effects of medications, the risk of death from natural causes such as coronary heart disease in people with bipolar disorder is twice that of the general population.
Signs and symptoms
Late adolescence and early adulthood are peak years for the onset of bipolar disorder. The condition is characterized by intermittent episodes of mania and/or depression, with an absence of symptoms in between. During these episodes, people with bipolar disorder exhibit disruptions in normal mood, psychomotor activity (the level of physical activity that is influenced by mood)—e.g. constant fidgeting during mania or slowed movements during depression—circadian rhythm and cognition. Mania can present with varying levels of mood disturbance, ranging from euphoria, which is associated with "classic mania", to dysphoria and irritability. Psychotic symptoms such as delusions or hallucinations may occur in both manic and depressive episodes; their content and nature are consistent with the person's prevailing mood.
According to the DSM-5 criteria, mania is distinguished from hypomania by the duration: hypomania is present if elevated mood symptoms persist for at least four consecutive days, while mania is present if such symptoms persist for more than a week. Unlike mania, hypomania is not always associated with impaired functioning. The biological mechanisms responsible for switching from a manic or hypomanic episode to a depressive episode, or vice versa, remain poorly understood.
Manic episodes
Also known as a manic episode, mania is a distinct period of at least one week of elevated or irritable mood, which can range from euphoria to delirium. The core symptom of mania involves an increase in energy of psychomotor activity. Mania can also present with increased self-esteem or grandiosity, racing thoughts, pressured speech that is difficult to interrupt, decreased need for sleep, disinhibited social behavior, increased goal-oriented activities and impaired judgement, which can lead to exhibition of behaviors characterized as impulsive or high-risk, such as hypersexuality or excessive spending. To fit the definition of a manic episode, these behaviors must impair the individual's ability to socialize or work. If untreated, a manic episode usually lasts three to six months.
In severe manic episodes, a person can experience psychotic symptoms, where thought content is affected along with mood. They may feel unstoppable, persecuted, or as if they have a special relationship with God, a great mission to accomplish, or other grandiose or delusional ideas. This may lead to violent behavior and, sometimes, hospitalization in an inpatient psychiatric hospital. The severity of manic symptoms can be measured by rating scales such as the Young Mania Rating Scale, though questions remain about the reliability of these scales.
The onset of a manic or depressive episode is often foreshadowed by sleep disturbance. Manic individuals often have a history of substance use disorder developed over years as a form of "self-medication".
Hypomanic episodes
Hypomania is the milder form of mania, defined as at least four days of the same criteria as mania, but which does not cause a significant decrease in the individual's ability to socialize or work, lacks psychotic features such as delusions or hallucinations, and does not require psychiatric hospitalization. Overall functioning may actually increase during episodes of hypomania and is thought to serve as a defense mechanism against depression by some. Hypomanic episodes rarely progress to full-blown manic episodes. Some people who experience hypomania show increased creativity, while others are irritable or demonstrate poor judgment.
Hypomania may feel good to some individuals who experience it, though most people who experience hypomania state that the stress of the experience is very painful. People with bipolar disorder who experience hypomania tend to forget the effects of their actions on those around them. Even when family and friends recognize mood swings, the individual will often deny that anything is wrong. If not accompanied by depressive episodes, hypomanic episodes are often not deemed problematic unless the mood changes are uncontrollable or volatile. Most commonly, symptoms continue for time periods from a few weeks to a few months.
Depressive episodes
Symptoms of the depressive phase of bipolar disorder include persistent feelings of sadness, irritability or anger, loss of interest in previously enjoyed activities, excessive or inappropriate guilt, hopelessness, sleeping too much or not enough, changes in appetite and/or weight, fatigue, problems concentrating, self-loathing or feelings of worthlessness, and thoughts of death or suicide. Although the DSM-5 criteria for diagnosing unipolar and bipolar episodes are the same, some clinical features are more common in the latter, including increased sleep, sudden onset and resolution of symptoms, significant weight gain or loss, and severe episodes after childbirth.
The earlier the age of onset, the more likely the first few episodes are to be depressive. For most people with bipolar types 1 and 2, the depressive episodes are much longer than the manic or hypomanic episodes. Since a diagnosis of bipolar disorder requires a manic or hypomanic episode, many affected individuals are initially misdiagnosed as having major depression and incorrectly treated with prescribed antidepressants.
Mixed affective episodes
In bipolar disorder, a mixed state is an episode during which symptoms of both mania and depression occur simultaneously. Individuals experiencing a mixed state may have manic symptoms such as grandiose thoughts while simultaneously experiencing depressive symptoms such as excessive guilt or feeling suicidal. They are considered to have a higher risk for suicidal behavior as depressive emotions such as hopelessness are often paired with mood swings or difficulties with impulse control. Anxiety disorders occur more frequently as a comorbidity in mixed bipolar episodes than in non-mixed bipolar depression or mania. Substance (including alcohol) use also follows this trend, thereby appearing to depict bipolar symptoms as no more than a consequence of substance use.
Comorbid conditions
People with bipolar disorder often have other co-existing psychiatric conditions such as anxiety (present in about 71% of people with bipolar disorder), substance abuse (56%), personality disorders (36%) and attention deficit hyperactivity disorder (10–20%) which can add to the burden of illness and worsen the prognosis. Certain medical conditions are also more common in people with bipolar disorder as compared to the general population. This includes increased rates of metabolic syndrome (present in 37% of people with bipolar disorder), migraine headaches (35%), obesity (21%) and type 2 diabetes (14%). This contributes to a risk of death that is two times higher in those with bipolar disorder as compared to the general population.
Substance use disorder is a common comorbidity in bipolar disorder; the subject has been widely reviewed.
Causes
The causes of bipolar disorder likely vary between individuals and the exact mechanism underlying the disorder remains unclear. Genetic influences are believed to account for 73–93% of the risk of developing the disorder indicating a strong hereditary component. The overall heritability of the bipolar spectrum has been estimated at 0.71. Twin studies have been limited by relatively small sample sizes but have indicated a substantial genetic contribution, as well as environmental influence. For bipolar I disorder, the rate at which identical twins (same genes) will both have bipolar I disorder (concordance) is around 40%, compared to about 5% in fraternal twins. A combination of bipolar I, II, and cyclothymia similarly produced rates of 42% and 11% (identical and fraternal twins, respectively). The rates of bipolar II combinations without bipolar I are lowerbipolar II at 23 and 17%, and bipolar II combining with cyclothymia at 33 and 14%which may reflect relatively higher genetic heterogeneity.
The cause of bipolar disorders overlaps with major depressive disorder. When defining concordance as the co-twins having either bipolar disorder or major depression, then the concordance rate rises to 67% in identical twins and 19% in fraternal twins. The relatively low concordance between fraternal twins brought up together suggests that shared family environmental effects are limited, although the ability to detect them has been limited by small sample sizes.
Genetic
Behavioral genetic studies have suggested that many chromosomal regions and candidate genes are related to bipolar disorder susceptibility with each gene exerting a mild to moderate effect. The risk of bipolar disorder is nearly ten-fold higher in first-degree relatives of those with bipolar disorder than in the general population; similarly, the risk of major depressive disorder is three times higher in relatives of those with bipolar disorder than in the general population.
Although the first genetic linkage finding for mania was in 1969, linkage studies have been inconsistent. Findings point strongly to heterogeneity, with different genes implicated in different families. Robust and replicable genome-wide significant associations showed several common single-nucleotide polymorphisms (SNPs) are associated with bipolar disorder, including variants within the genes CACNA1C, ODZ4, and NCAN. The largest and most recent genome-wide association study failed to find any locus that exerts a large effect, reinforcing the idea that no single gene is responsible for bipolar disorder in most cases. Polymorphisms in BDNF, DRD4, DAO, and TPH1 have been frequently associated with bipolar disorder and were initially associated in a meta-analysis, but this association disappeared after correction for multiple testing. On the other hand, two polymorphisms in TPH2 were identified as being associated with bipolar disorder.
Due to the inconsistent findings in a genome-wide association study, multiple studies have undertaken the approach of analyzing SNPs in biological pathways. Signaling pathways traditionally associated with bipolar disorder that have been supported by these studies include corticotropin-releasing hormone signaling, cardiac β-adrenergic signaling, phospholipase C signaling, glutamate receptor signaling, cardiac hypertrophy signaling, Wnt signaling, Notch signaling, and endothelin 1 signaling. Of the 16 genes identified in these pathways, three were found to be dysregulated in the dorsolateral prefrontal cortex portion of the brain in post-mortem studies: CACNA1C, GNG2, and ITPR2.
Bipolar disorder is associated with reduced expression of specific DNA repair enzymes and increased levels of oxidative DNA damages.
Environmental
Psychosocial factors play a significant role in the development and course of bipolar disorder, and individual psychosocial variables may interact with genetic dispositions. Recent life events and interpersonal relationships likely contribute to the onset and recurrence of bipolar mood episodes, just as they do for unipolar depression. In surveys, 30–50% of adults diagnosed with bipolar disorder report traumatic/abusive experiences in childhood, which is associated with earlier onset, a higher rate of suicide attempts, and more co-occurring disorders such as post-traumatic stress disorder. The number of reported stressful events in childhood is higher in those with an adult diagnosis of bipolar spectrum disorder than in those without, particularly events stemming from a harsh environment rather than from the child's own behavior. Acutely, mania can be induced by sleep deprivation in around 30% of people with bipolar disorder.
Neurological
Less commonly, bipolar disorder or a bipolar-like disorder may occur as a result of or in association with a neurological condition or injury including stroke, traumatic brain injury, HIV infection, multiple sclerosis, porphyria, and rarely temporal lobe epilepsy.
Proposed mechanisms
The precise mechanisms that cause bipolar disorder are not well understood. Bipolar disorder is thought to be associated with abnormalities in the structure and function of certain brain areas responsible for cognitive tasks and the processing of emotions. A neurologic model for bipolar disorder proposes that the emotional circuitry of the brain can be divided into two main parts. The ventral system (regulates emotional perception) includes brain structures such as the amygdala, insula, ventral striatum, ventral anterior cingulate cortex, and the prefrontal cortex. The dorsal system (responsible for emotional regulation) includes the hippocampus, dorsal anterior cingulate cortex, and other parts of the prefrontal cortex. The model hypothesizes that bipolar disorder may occur when the ventral system is overactivated and the dorsal system is underactivated. Other models suggest the ability to regulate emotions is disrupted in people with bipolar disorder and that dysfunction of the ventricular prefrontal cortex is crucial to this disruption.
Meta-analyses of structural MRI studies have shown that certain brain regions (e.g., the left rostral anterior cingulate cortex, fronto-insular cortex, ventral prefrontal cortex, and claustrum) are smaller in people with bipolar disorder, whereas other regions are larger (lateral ventricles, globus pallidus, subgenual anterior cingulate, and the amygdala). Additionally, these meta-analyses found that people with bipolar disorder have higher rates of deep white matter hyperintensities.
Functional MRI findings suggest that the ventricular prefrontal cortex regulates the limbic system, especially the amygdala. In people with bipolar disorder, decreased ventricular prefrontal cortex activity allows for the dysregulated activity of the amygdala, which likely contributes to labile mood and poor emotional regulation. Consistent with this, pharmacological treatment of mania returns ventricular prefrontal cortex activity to the levels in non-manic people, suggesting that ventricular prefrontal cortex activity is an indicator of mood state. However, while pharmacological treatment of mania reduces amygdala hyperactivity, it remains more active than the amygdala of those without bipolar disorder, suggesting amygdala activity may be a marker of the disorder rather than the current mood state. Manic and depressive episodes tend to be characterized by dysfunction in different regions of the ventricular prefrontal cortex. Manic episodes appear to be associated with decreased activation of the right ventricular prefrontal cortex whereas depressive episodes are associated with decreased activation of the left ventricular prefrontal cortex. These disruptions often occur during development linked with synaptic pruning dysfunction.
People with bipolar disorder who are in a euthymic mood state show decreased activity in the lingual gyrus compared to people without bipolar disorder. In contrast, they demonstrate decreased activity in the inferior frontal cortex during manic episodes compared to people without the disorder. Similar studies examining the differences in brain activity between people with bipolar disorder and those without did not find a consistent area in the brain that was more or less active when comparing these two groups. People with bipolar have increased activation of left hemisphere ventral limbic areaswhich mediate emotional experiences and generation of emotional responsesand decreased activation of right hemisphere cortical structures related to cognitionstructures associated with the regulation of emotions.
Neuroscientists have proposed additional models to try to explain the cause of bipolar disorder. One proposed model for bipolar disorder suggests that hypersensitivity of reward circuits consisting of frontostriatal circuits causes mania, and decreased sensitivity of these circuits causes depression. According to the "kindling" hypothesis, when people who are genetically predisposed toward bipolar disorder experience stressful events, the stress threshold at which mood changes occur becomes progressively lower, until the episodes eventually start (and recur) spontaneously. There is evidence supporting an association between early-life stress and dysfunction of the hypothalamic-pituitary-adrenal axis leading to its overactivation, which may play a role in the pathogenesis of bipolar disorder. Other brain components that have been proposed to play a role in bipolar disorder are the mitochondria and a sodium ATPase pump. Circadian rhythms and regulation of the hormone melatonin also seem to be altered.
Dopamine, a neurotransmitter responsible for mood cycling, has increased transmission during the manic phase. The dopamine hypothesis states that the increase in dopamine results in secondary homeostatic downregulation of key system elements and receptors such as lower sensitivity of dopaminergic receptors. This results in decreased dopamine transmission characteristic of the depressive phase. The depressive phase ends with homeostatic upregulation potentially restarting the cycle over again. Glutamate is significantly increased within the left dorsolateral prefrontal cortex during the manic phase of bipolar disorder, and returns to normal levels once the phase is over.
Medications used to treat bipolar may exert their effect by modulating intracellular signaling, such as through depleting myo-inositol levels, inhibition of cAMP signaling, and through altering subunits of the dopamine-associated G-protein. Consistent with this, elevated levels of Gαi, Gαs, and Gαq/11 have been reported in brain and blood samples, along with increased protein kinase A (PKA) expression and sensitivity; typically, PKA activates as part of the intracellular signalling cascade downstream from the detachment of Gαs subunit from the G protein complex.
Decreased levels of 5-hydroxyindoleacetic acid, a byproduct of serotonin, are present in the cerebrospinal fluid of persons with bipolar disorder during both the depressed and manic phases. Increased dopaminergic activity has been hypothesized in manic states due to the ability of dopamine agonists to stimulate mania in people with bipolar disorder. Decreased sensitivity of regulatory α2 adrenergic receptors as well as increased cell counts in the locus coeruleus indicated increased noradrenergic activity in manic people. Low plasma GABA levels on both sides of the mood spectrum have been found. One review found no difference in monoamine levels, but found abnormal norepinephrine turnover in people with bipolar disorder. Tyrosine depletion was found to reduce the effects of methamphetamine in people with bipolar disorder as well as symptoms of mania, implicating dopamine in mania. VMAT2 binding was found to be increased in one study of people with bipolar mania.
Diagnosis
Bipolar disorder is commonly diagnosed during adolescence or early adulthood, but onset can occur throughout life. Its diagnosis is based on the self-reported experiences of the individual, abnormal behavior reported by family members, friends or co-workers, observable signs of illness as assessed by a clinician, and ideally a medical work-up to rule out other causes. Caregiver-scored rating scales, specifically from the mother, have shown to be more accurate than teacher and youth-scored reports in identifying youths with bipolar disorder. Assessment is usually done on an outpatient basis; admission to an inpatient facility is considered if there is a risk to oneself or others.
The most widely used criteria for diagnosing bipolar disorder are from the American Psychiatric Association's (APA) Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5) and the World Health Organization's (WHO) International Statistical Classification of Diseases and Related Health Problems, 10th Edition (ICD-10). The ICD-10 criteria are used more often in clinical settings outside of the U.S. while the DSM criteria are used within the U.S. and are the prevailing criteria used internationally in research studies. The DSM-5, published in 2013, includes further and more accurate specifiers compared to its predecessor, the DSM-IV-TR. This work has influenced the upcoming eleventh revision of the ICD, which includes the various diagnoses within the bipolar spectrum of the DSM-V.
Several rating scales for the screening and evaluation of bipolar disorder exist, including the Bipolar spectrum diagnostic scale, Mood Disorder Questionnaire, the General Behavior Inventory and the Hypomania Checklist. The use of evaluation scales cannot substitute a full clinical interview but they serve to systematize the recollection of symptoms. On the other hand, instruments for screening bipolar disorder tend to have lower sensitivity.
Differential diagnosis
Bipolar disorder is classified by the International Classification of Diseases as a mental and behavioural disorder. Mental disorders that can have symptoms similar to those seen in bipolar disorder include schizophrenia, major depressive disorder, attention deficit hyperactivity disorder (ADHD), and certain personality disorders, such as borderline personality disorder. A key difference between bipolar disorder and borderline personality disorder is the nature of the mood swings; in contrast to the sustained changes to mood over days to weeks or longer, those of the latter condition (more accurately called emotional dysregulation) are sudden and often short-lived, and secondary to social stressors.
Although there are no biological tests that are diagnostic of bipolar disorder, blood tests and/or imaging are carried out to investigate whether medical illnesses with clinical presentations similar to that of bipolar disorder are present before making a definitive diagnosis. Neurologic diseases such as multiple sclerosis, complex partial seizures, strokes, brain tumors, Wilson's disease, traumatic brain injury, Huntington's disease, and complex migraines can mimic features of bipolar disorder. An EEG may be used to exclude neurological disorders such as epilepsy, and a CT scan or MRI of the head may be used to exclude brain lesions. Additionally, disorders of the endocrine system such as hypothyroidism, hyperthyroidism, and Cushing's disease are in the differential as is the connective tissue disease systemic lupus erythematosus. Infectious causes of mania that may appear similar to bipolar mania include herpes encephalitis, HIV, influenza, or neurosyphilis. Certain vitamin deficiencies such as pellagra (niacin deficiency), vitamin B12 deficiency, folate deficiency, and Wernicke–Korsakoff syndrome (thiamine deficiency) can also lead to mania. Common medications that can cause manic symptoms include antidepressants, prednisone, Parkinson's disease medications, thyroid hormone, stimulants (including cocaine and methamphetamine), and certain antibiotics.
Bipolar spectrum
Bipolar spectrum disorders include: bipolar I disorder, bipolar II disorder, cyclothymic disorder and cases where subthreshold symptoms are found to cause clinically significant impairment or distress. These disorders involve major depressive episodes that alternate with manic or hypomanic episodes, or with mixed episodes that feature symptoms of both mood states. The concept of the bipolar spectrum is similar to that of Emil Kraepelin's original concept of manic depressive illness. Bipolar II disorder was established as a diagnosis in 1994 within DSM IV; though debate continues over whether it is a distinct entity, part of a spectrum, or exists at all.
Criteria and subtypes
The DSM and the ICD characterize bipolar disorder as a spectrum of disorders occurring on a continuum. The DSM-5 and ICD-11 lists three specific subtypes:
Bipolar I disorder: At least one manic episode is necessary to make the diagnosis; depressive episodes are common in the vast majority of cases with bipolar disorder I, but are unnecessary for the diagnosis. Specifiers such as "mild, moderate, moderate-severe, severe" and "with psychotic features" should be added as applicable to indicate the presentation and course of the disorder.
Bipolar II disorder: No manic episodes and one or more hypomanic episodes and one or more major depressive episodes. Hypomanic episodes do not go to the full extremes of mania (i.e., do not usually cause severe social or occupational impairment, and are without psychosis), and this can make bipolar II more difficult to diagnose, since the hypomanic episodes may simply appear as periods of successful high productivity and are reported less frequently than a distressing, crippling depression.
Cyclothymia: A history of hypomanic episodes with periods of depression that do not meet criteria for major depressive episodes.
When relevant, specifiers for peripartum onset and with rapid cycling should be used with any subtype. Individuals who have subthreshold symptoms that cause clinically significant distress or impairment, but do not meet full criteria for one of the three subtypes may be diagnosed with other specified or unspecified bipolar disorder. Other specified bipolar disorder is used when a clinician chooses to explain why the full criteria were not met (e.g., hypomania without a prior major depressive episode). If the condition is thought to have a non-psychiatric medical cause, the diagnosis of bipolar and related disorder due to another medical condition is made, while substance/medication-induced bipolar and related disorder is used if a medication is thought to have triggered the condition.
Rapid cycling
Most people who meet criteria for bipolar disorder experience a number of episodes, on average 0.4 to 0.7 per year, lasting three to six months. Rapid cycling, however, is a course specifier that may be applied to any bipolar subtype. It is defined as having four or more mood disturbance episodes within a one-year span. Rapid cycling is usually temporary but is common amongst people with bipolar disorder and affects 25.8–45.3% of them at some point in their life. These episodes are separated from each other by a remission (partial or full) for at least two months or a switch in mood polarity (i.e., from a depressive episode to a manic episode or vice versa). The definition of rapid cycling most frequently cited in the literature (including the DSM-V and ICD-11) is that of Dunner and Fieve: at least four major depressive, manic, hypomanic or mixed episodes during a 12-month period. The literature examining the pharmacological treatment of rapid cycling is sparse and there is no clear consensus with respect to its optimal pharmacological management. People with the rapid cycling or ultradian subtypes of bipolar disorder tend to be more difficult to treat and less responsive to medications than other people with bipolar disorder.
Coexisting psychiatric conditions
The diagnosis of bipolar disorder can be complicated by coexisting (comorbid) psychiatric conditions including obsessive–compulsive disorder, substance-use disorder, eating disorders, attention deficit hyperactivity disorder, social phobia, premenstrual syndrome (including premenstrual dysphoric disorder), or panic disorder. A thorough longitudinal analysis of symptoms and episodes, assisted if possible by discussions with friends and family members, is crucial to establishing a treatment plan where these comorbidities exist. Children of parents with bipolar disorder more frequently have other mental health problems.
Children
In the 1920s, Kraepelin noted that manic episodes are rare before puberty. In general, bipolar disorder in children was not recognized in the first half of the twentieth century. This issue diminished with an increased following of the DSM criteria in the last part of the twentieth century. The diagnosis of childhood bipolar disorder, while formerly controversial, has gained greater acceptance among childhood and adolescent psychiatrists. American children and adolescents diagnosed with bipolar disorder in community hospitals increased 4-fold reaching rates of up to 40% in 10 years around the beginning of the 21st century, while in outpatient clinics it doubled reaching 6%. Studies using DSM criteria show that up to 1% of youth may have bipolar disorder. The DSM-5 has established a diagnosis—disruptive mood dysregulation disorder—that covers children with long-term, persistent irritability that had at times been misdiagnosed as having bipolar disorder, distinct from irritability in bipolar disorder that is restricted to discrete mood episodes.
Elderly
Bipolar disorder is uncommon in older patients, with a measured lifetime prevalence of 1% in over 60s and a 12-month prevalence of 0.10.5% in people over 65. Despite this, it is overrepresented in psychiatric admissions, making up 48% of inpatient admission to aged care psychiatry units, and the incidence of mood disorders is increasing overall with the aging population. Depressive episodes more commonly present with sleep disturbance, fatigue, hopelessness about the future, slowed thinking, and poor concentration and memory; the last three symptoms are seen in what is known as pseudodementia. Clinical features also differ between those with late-onset bipolar disorder and those who developed it early in life; the former group present with milder manic episodes, more prominent cognitive changes and have a background of worse psychosocial functioning, while the latter present more commonly with mixed affective episodes, and have a stronger family history of illness. Older people with bipolar disorder experience cognitive changes, particularly in executive functions such as abstract thinking and switching cognitive sets, as well as concentrating for long periods and decision-making.
Prevention
Attempts at prevention of bipolar disorder have focused on stress (such as childhood adversity or highly conflictual families) which, although not a diagnostically specific causal agent for bipolar, does place genetically and biologically vulnerable individuals at risk for a more severe course of illness. Longitudinal studies have indicated that full-blown manic stages are often preceded by a variety of prodromal clinical features, providing support for the occurrence of an at-risk state of the disorder when an early intervention might prevent its further development and/or improve its outcome.
Management
The aim of management is to treat acute episodes safely with medication and work with the patient in long-term maintenance to prevent further episodes and optimise function using a combination of pharmacological and psychotherapeutic techniques. Hospitalization may be required especially with the manic episodes present in bipolar I. This can be voluntary or (local legislation permitting) involuntary. Long-term inpatient stays are now less common due to deinstitutionalization, although these can still occur. Following (or in lieu of) a hospital admission, support services available can include drop-in centers, visits from members of a community mental health team or an Assertive Community Treatment team, supported employment, patient-led support groups, and intensive outpatient programs. These are sometimes referred to as partial-inpatient programs.
Psychosocial
Psychotherapy aims to assist a person with bipolar disorder in accepting and understanding their diagnosis, coping with various types of stress, improving their interpersonal relationships, and recognizing prodromal symptoms before full-blown recurrence. Cognitive behavioral therapy (CBT), family-focused therapy, and psychoeducation have the most evidence for efficacy in regard to relapse prevention, while interpersonal and social rhythm therapy and cognitive-behavioral therapy appear the most effective in regard to residual depressive symptoms. Most studies have been based only on bipolar I, however, and treatment during the acute phase can be a particular challenge. Some clinicians emphasize the need to talk with individuals experiencing mania, to develop a therapeutic alliance in support of recovery.
Medication
Medications are often prescribed to help improve symptoms of bipolar disorder. Medications approved for treating bipolar disorder including mood stabilizers, antipsychotics, and antidepressants. Sometimes a combination of medications may also be suggested. The choice of medications may differ depending on the bipolar disorder episode type or if the person is experiencing unipolar or bipolar depression. Other factors to consider when deciding on an appropriate treatment approach includes if the person has any comorbidities, their response to previous therapies, adverse effects, and the desire of the person to be treated.
Mood stabilizers
Lithium and the anticonvulsants carbamazepine, lamotrigine, and valproic acid are classed as mood stabilizers due to their effect on the mood states in bipolar disorder. Lithium has the best overall evidence and is considered an effective treatment for acute manic episodes, preventing relapses, and bipolar depression. Lithium reduces the risk of suicide, self-harm, and death in people with bipolar disorder. Lithium is preferred for long-term mood stabilization. Lithium treatment is also associated with adverse effects and it has been shown to erode kidney and thyroid function over extended periods. Valproate has become a commonly prescribed treatment and effectively treats manic episodes. Carbamazepine is less effective in preventing relapse than lithium or valproate. Lamotrigine has some efficacy in treating depression, and this benefit is greatest in more severe depression. Lamotrigine may have a similar effectiveness to lithium for treating bipolar disorder, however, there is evidence to suggest that lamotrigine is less effective at preventing recurrent mania episodes. Lamotrigine treatment has been shown to be safer compared to lithium treatment, with less adverse effects. Valproate and carbamazepine are teratogenic and should be avoided as a treatment in women of childbearing age, but discontinuation of these medications during pregnancy is associated with a high risk of relapse. The effectiveness of topiramate is unknown. Carbamazepine effectively treats manic episodes, with some evidence it has greater benefit in rapid-cycling bipolar disorder, or those with more psychotic symptoms or more symptoms similar to that of schizoaffective disorder.
Mood stabilizers are used for long-term maintenance but have not demonstrated the ability to quickly treat acute bipolar depression.
Antipsychotics
Antipsychotic medications are effective for short-term treatment of bipolar manic episodes and appear to be superior to lithium and anticonvulsants for this purpose. Atypical antipsychotics are also indicated for bipolar depression refractory to treatment with mood stabilizers. Olanzapine is effective in preventing relapses, although the supporting evidence is weaker than the evidence for lithium. A 2006 review found that haloperidol was an effective treatment for acute mania, limited data supported no difference in overall efficacy between haloperidol, olanzapine or risperidone, and that it could be less effective than aripiprazole.
Antidepressants
Antidepressants are not recommended for use alone in the treatment of bipolar disorder and do not provide any benefit over mood stabilizers. Atypical antipsychotic medications (e.g., aripiprazole) are preferred over antidepressants to augment the effects of mood stabilizers due to the lack of efficacy of antidepressants in bipolar disorder. Treatment of bipolar disorder using antidepressants carries a risk of affective switches; where a person switches from depression to manic or hypomanic phases. The risk of affective switches is higher in bipolar I depression; antidepressants are generally avoided in bipolar I disorder or only used with mood stabilizers when they are deemed necessary. There is also a risk of accelerating cycling between phases when antidepressants are used in bipolar disorder.
Combined treatment approaches
Antipsychotics and mood stabilizers used together are quicker and more effective at treating mania than either class of drug used alone. Some analyses indicate antipsychotics alone are also more effective at treating acute mania. A first-line treatment for depression in bipolar disorder is a combination of olanzapine and fluoxetine.
Other drugs
Short courses of benzodiazepines are used in addition to other medications for calming effect until mood stabilizing become effective. Electroconvulsive therapy (ECT) is an effective form of treatment for acute mood disturbances in those with bipolar disorder, especially when psychotic or catatonic features are displayed. ECT is also recommended for use in pregnant women with bipolar disorder. It is unclear if ketamine (a common general dissociative anesthetic used in surgery) is useful in bipolar disorder. Gabapentin and pregabalin are not proven to be effective for treating bipolar disorder.
Children
Treating bipolar disorder in children involves medication and psychotherapy. The literature and research on the effects of psychosocial therapy on bipolar spectrum disorders are scarce, making it difficult to determine the efficacy of various therapies. Mood stabilizers and atypical antipsychotics are commonly prescribed. Among the former, lithium is the only compound approved by the FDA for children. Psychological treatment combines normally education on the disease, group therapy, and cognitive behavioral therapy. Long-term medication is often needed.
Resistance to treatment
The occurrence of poor response to treatment in has given support to the concept of resistance to treatment in bipolar disorder. Guidelines to the definition of such treatment resistance and evidence-based options for its management were reviewed in 2020.
Management of obesity
A large proportion (approximately 68%) of people who seek treatment for bipolar disorder are obese or overweight and managing obesity is important for reducing the risk of other health conditions that are associated with obesity. Management approaches include non-pharmacological, pharmacological, and surgical. Examples of non-pharmacological include dietary interventions, exercise, behavioral therapies, or combined approaches. Pharmacological approaches include weight-loss medications or changing medications already being prescribed. Some people with bipolar disorder who have obesity may also be eligible for bariatric surgery. The effectiveness of these various approaches to improving or managing obesity in people with bipolar disorder is not clear.
Prognosis
A lifelong condition with periods of partial or full recovery in between recurrent episodes of relapse, bipolar disorder is considered to be a major health problem worldwide because of the increased rates of disability and premature mortality. It is also associated with co-occurring psychiatric and medical problems, higher rates of death from natural causes (e.g., cardiovascular disease), and high rates of initial under- or misdiagnosis, causing a delay in appropriate treatment and contributing to poorer prognoses. When compared to the general population, people with bipolar disorder also have higher rates of other serious medical comorbidities including diabetes mellitus, respiratory diseases, HIV, and hepatitis C virus infection. After a diagnosis is made, it remains difficult to achieve complete remission of all symptoms with the currently available psychiatric medications and symptoms often become progressively more severe over time.
Compliance with medications is one of the most significant factors that can decrease the rate and severity of relapse and have a positive impact on overall prognosis. However, the types of medications used in treating BD commonly cause side effects and more than 75% of individuals with BD inconsistently take their medications for various reasons. Of the various types of the disorder, rapid cycling (four or more episodes in one year) is associated with the worst prognosis due to higher rates of self-harm and suicide. Individuals diagnosed with bipolar who have a family history of bipolar disorder are at a greater risk for more frequent manic/hypomanic episodes. Early onset and psychotic features are also associated with worse outcomes, as well as subtypes that are nonresponsive to lithium.
Early recognition and intervention also improve prognosis as the symptoms in earlier stages are less severe and more responsive to treatment. Onset after adolescence is connected to better prognoses for both genders, and being male is a protective factor against higher levels of depression. For women, better social functioning before developing bipolar disorder and being a parent are protective towards suicide attempts.
Functioning
Changes in cognitive processes and abilities are seen in mood disorders, with those of bipolar disorder being greater than those in major depressive disorder. These include reduced attentional and executive capabilities and impaired memory. People with bipolar disorder often experience a decline in cognitive functioning during (or possibly before) their first episode, after which a certain degree of cognitive dysfunction typically becomes permanent, with more severe impairment during acute phases and moderate impairment during periods of remission. As a result, two-thirds of people with BD continue to experience impaired psychosocial functioning in between episodes even when their mood symptoms are in full remission. A similar pattern is seen in both BD-I and BD-II, but people with BD-II experience a lesser degree of impairment.
When bipolar disorder occurs in children, it severely and adversely affects their psychosocial development. Children and adolescents with bipolar disorder have higher rates of significant difficulties with substance use disorders, psychosis, academic difficulties, behavioral problems, social difficulties, and legal problems. Cognitive deficits typically increase over the course of the illness. Higher degrees of impairment correlate with the number of previous manic episodes and hospitalizations, and with the presence of psychotic symptoms. Early intervention can slow the progression of cognitive impairment, while treatment at later stages can help reduce distress and negative consequences related to cognitive dysfunction.
Despite the overly ambitious goals that are frequently part of manic episodes, symptoms of mania undermine the ability to achieve these goals and often interfere with an individual's social and occupational functioning. One-third of people with BD remain unemployed for one year following a hospitalization for mania. Depressive symptoms during and between episodes, which occur much more frequently for most people than hypomanic or manic symptoms over the course of illness, are associated with lower functional recovery in between episodes, including unemployment or underemployment for both BD-I and BD-II. However, the course of illness (duration, age of onset, number of hospitalizations, and the presence or not of rapid cycling) and cognitive performance are the best predictors of employment outcomes in individuals with bipolar disorder, followed by symptoms of depression and years of education.
Recovery and recurrence
A naturalistic study in 2003 by Tohen and coworkers from the first admission for mania or mixed episode (representing the hospitalized and therefore most severe cases) found that 50% achieved syndromal recovery (no longer meeting criteria for the diagnosis) within six weeks and 98% within two years. Within two years, 72% achieved symptomatic recovery (no symptoms at all) and 43% achieved functional recovery (regaining of prior occupational and residential status). However, 40% went on to experience a new episode of mania or depression within 2 years of syndromal recovery, and 19% switched phases without recovery.
Symptoms preceding a relapse (prodromal), especially those related to mania, can be reliably identified by people with bipolar disorder. There have been intents to teach patients coping strategies when noticing such symptoms with encouraging results.
Suicide
Bipolar disorder can cause suicidal ideation that leads to suicide attempts. Individuals whose bipolar disorder begins with a depressive or mixed affective episode seem to have a poorer prognosis and an increased risk of suicide. One out of two people with bipolar disorder attempt suicide at least once during their lifetime and many attempts are successfully completed. The annual average suicide rate is 0.4%-1.4%, which is 30 to 60 times greater than that of the general population. The number of deaths from suicide in bipolar disorder is between 18 and 25 times higher than would be expected in similarly aged people without bipolar disorder. The lifetime risk of suicide is much higher in those with bipolar disorder, with an estimated 34% of people attempting suicide and 15-20% dying by suicide.
Risk factors for suicide attempts and death from suicide in people with bipolar disorder include older age, prior suicide attempts, a depressive or mixed index episode (first episode), a manic index episode with psychotic symptoms, hopelessness or psychomotor agitation present during the episodes, co-existing anxiety disorder, a first degree relative with a mood disorder or suicide, interpersonal conflicts, occupational problems, bereavement or social isolation.
Epidemiology
Bipolar disorder is the sixth leading cause of disability worldwide and has a lifetime prevalence of about 1 to 3% in the general population. However, a reanalysis of data from the National Epidemiological Catchment Area survey in the United States suggested that 0.8% of the population experience a manic episode at least once (the diagnostic threshold for bipolar I) and a further 0.5% have a hypomanic episode (the diagnostic threshold for bipolar II or cyclothymia). Including sub-threshold diagnostic criteria, such as one or two symptoms over a short time-period, an additional 5.1% of the population, adding up to a total of 6.4%, were classified as having a bipolar spectrum disorder. A more recent analysis of data from a second US National Comorbidity Survey found that 1% met lifetime prevalence criteria for bipolar I, 1.1% for bipolar II, and 2.4% for subthreshold symptoms. Estimates vary about how many children and young adults have bipolar disorder. These estimates range from 0.6 to 15% depending on differing settings, methods, and referral settings, raising suspicions of overdiagnosis. One meta-analysis of bipolar disorder in young people worldwide estimated that about 1.8% of people between the ages of seven and 21 have bipolar disorder. Similar to adults, bipolar disorder in children and adolescents is thought to occur at a similar frequency in boys and girls.
There are conceptual and methodological limitations and variations in the findings. Prevalence studies of bipolar disorder are typically carried out by lay interviewers who follow fully structured/fixed interview schemes; responses to single items from such interviews may have limited validity. In addition, diagnoses (and therefore estimates of prevalence) vary depending on whether a categorical or spectrum approach is used. This consideration has led to concerns about the potential for both underdiagnosis and overdiagnosis.
The incidence of bipolar disorder is similar in men and women as well as across different cultures and ethnic groups. A 2000 study by the World Health Organization found that prevalence and incidence of bipolar disorder are very similar across the world. Age-standardized prevalence per 100,000 ranged from 421.0 in South Asia to 481.7 in Africa and Europe for men and from 450.3 in Africa and Europe to 491.6 in Oceania for women. However, severity may differ widely across the globe. Disability-adjusted life year rates, for example, appear to be higher in developing countries, where medical coverage may be poorer and medication less available. Within the United States, Asian Americans have significantly lower rates than their African American and European American counterparts. In 2017, the Global Burden of Disease Study estimated there were 4.5 million new cases and a total of 45.5 million cases globally.
History
In the early 1800s, French psychiatrist Jean-Étienne Dominique Esquirol's lypemania, one of his affective monomanias, was the first elaboration on what was to become modern depression. The basis of the current conceptualization of bipolar illness can be traced back to the 1850s. In 1850, Jean-Pierre Falret described "circular insanity" (, ); the lecture was summarized in 1851 in the ("Hospital Gazette"). Three years later, in 1854, Jules-Gabriel-François Baillarger (1809–1890) described to the French Imperial Académie Nationale de Médecine a biphasic mental illness causing recurrent oscillations between mania and melancholia, which he termed (, "madness in double form"). Baillarger's original paper, "", appeared in the medical journal Annales médico-psychologiques (Medico-psychological annals) in 1854.
These concepts were developed by the German psychiatrist Emil Kraepelin (1856–1926), who, using Kahlbaum's concept of cyclothymia, categorized and studied the natural course of untreated bipolar patients. He coined the term manic depressive psychosis, after noting that periods of acute illness, manic or depressive, were generally punctuated by relatively symptom-free intervals where the patient was able to function normally.
The term "manic–depressive reaction" appeared in the first version of the DSM in 1952, influenced by the legacy of Adolf Meyer. Subtyping into "unipolar" depressive disorders and bipolar disorders has its origin in Karl Kleist's concept – since 1911 – of unipolar and bipolar affective disorders, which was used by Karl Leonhard in 1957 to differentiate between unipolar and bipolar disorder in depression. These subtypes have been regarded as separate conditions since publication of the DSM-III. The subtypes bipolar II and rapid cycling have been included since the DSM-IV, based on work from the 1970s by David Dunner, Elliot Gershon, Frederick Goodwin, Ronald Fieve, and Joseph Fleiss.
Society and culture
Cost
The United States spent approximately $202.1 billion on people diagnosed with bipolar I disorder (excluding other subtypes of bipolar disorder and undiagnosed people) in 2015. One analysis estimated that the United Kingdom spent approximately £5.2 billion on the disorder in 2007. In addition to the economic costs, bipolar disorder is a leading cause of disability and lost productivity worldwide. People with bipolar disorder are generally more disabled, have a lower level of functioning, longer duration of illness, and increased rates of work absenteeism and decreased productivity when compared to people experiencing other mental health disorders. The decrease in the productivity seen in those who care for people with bipolar disorder also significantly contributes to these costs.
Advocacy
There are widespread issues with social stigma, stereotypes, and prejudice against individuals with a diagnosis of bipolar disorder. In 2000, actress Carrie Fisher went public with her bipolar disorder diagnosis. She became one of the most well-recognized advocates for people with bipolar disorder in the public eye and fiercely advocated to eliminate the stigma surrounding mental illnesses, including bipolar disorder. Stephen Fried, who has written extensively on the topic, noted that Fisher helped to draw attention to the disorder's chronicity, relapsing nature, and that bipolar disorder relapses do not indicate a lack of discipline or moral shortcomings. Since being diagnosed at age 37, actor Stephen Fry has pushed to raise awareness of the condition, with his 2006 documentary Stephen Fry: The Secret Life of the Manic Depressive. In an effort to ease the social stigma associated with bipolar disorder, the orchestra conductor Ronald Braunstein cofounded the ME/2 Orchestra with his wife Caroline Whiddon in 2011. Braunstein was diagnosed with bipolar disorder in 1985 and his concerts with the ME/2 Orchestra were conceived in order to create a welcoming performance environment for his musical colleagues, while also raising public awareness about mental illness.
Notable cases
Numerous authors have written about bipolar disorder and many successful people have openly discussed their experience with it. Kay Redfield Jamison, a clinical psychologist and professor of psychiatry at the Johns Hopkins University School of Medicine, profiled her own bipolar disorder in her memoir An Unquiet Mind (1995). Several celebrities have also publicly shared that they have bipolar disorder; in addition to Carrie Fisher and Stephen Fry these include Catherine Zeta-Jones, Mariah Carey, Kanye West, Jane Pauley, Demi Lovato, Selena Gomez, and Russell Brand.
Media portrayals
Several dramatic works have portrayed characters with traits suggestive of the diagnosis which have been the subject of discussion by psychiatrists and film experts alike.
In Mr. Jones (1993), (Richard Gere) swings from a manic episode into a depressive phase and back again, spending time in a psychiatric hospital and displaying many of the features of the syndrome. In The Mosquito Coast (1986), Allie Fox (Harrison Ford) displays some features including recklessness, grandiosity, increased goal-directed activity and mood lability, as well as some paranoia. Psychiatrists have suggested that Willy Loman, the main character in Arthur Miller's classic play Death of a Salesman, has bipolar disorder.
The 2009 drama 90210 featured a character, Silver, who was diagnosed with bipolar disorder. Stacey Slater, a character from the BBC soap EastEnders, has been diagnosed with the disorder. The storyline was developed as part of the BBC's Headroom campaign. The Channel 4 soap Brookside had earlier featured a story about bipolar disorder when the character Jimmy Corkhill was diagnosed with the condition. 2011 Showtime's political thriller drama Homeland protagonist Carrie Mathison has bipolar disorder, which she has kept secret since her school days. The 2014 ABC medical drama, Black Box, featured a world-renowned neuroscientist with bipolar disorder.
In the TV series Dave, the eponymous main character, played by Lil Dicky as a fictionalized version of himself, is an aspiring rapper. Lil Dicky's real-life hype man GaTa also plays himself. In one episode, after being off his medication and having an episode, GaTa tearfully confesses to having bipolar disorder. GaTa has bipolar disorder in real life but, like his character in the show, he is able to manage it with medication.
Creativity
A link between mental illness and professional success or creativity has been suggested, including in accounts by Socrates, Seneca the Younger, and Cesare Lombroso. Despite prominence in popular culture, the link between creativity and bipolar has not been rigorously studied. This area of study also is likely affected by confirmation bias. Some evidence suggests that some heritable component of bipolar disorder overlaps with heritable components of creativity. Probands of people with bipolar disorder are more likely to be professionally successful, as well as to demonstrate temperamental traits similar to bipolar disorder. Furthermore, while studies of the frequency of bipolar disorder in creative population samples have been conflicting, full-blown bipolar disorder in creative samples is rare.
Research
Research directions for bipolar disorder in children include optimizing treatments, increasing the knowledge of the genetic and neurobiological basis of the pediatric disorder and improving diagnostic criteria. Some treatment research suggests that psychosocial interventions that involve the family, psychoeducation, and skills building (through therapies such as CBT, DBT, and IPSRT) can benefit in addition to pharmacotherapy.
See also
List of people with bipolar disorder
Outline of bipolar disorder
Bipolar I disorder
Bipolar II disorder
Bipolar NOS
Cyclothymia
Bipolar disorders research
Borderline personality disorder
Emotional dysregulation
Mood (psychology)
Mood swing
International Society for Bipolar Disorders
Explanatory notes
Citations
Cited texts
Further reading
External links
Depression (mood)
Mood disorders
Wikipedia neurology articles ready to translate
Wikipedia medicine articles ready to translate | 13 |
Blitz, German for "lightning", may refer to:
Military uses
Blitzkrieg, blitz campaign, or blitz, a type of military campaign
The Blitz, the German aerial campaign against Britain in the Second World War
, an Imperial German Navy light cruiser built in 1882
Computing
Blitz (software), a cloud-based load-and performance-testing service
Blitz BASIC, a dialect of the BASIC programming language
Blitz++, a C++ class library for scientific computing
BlitzMail, the internal e-mail network at Dartmouth College
Blitz Research, a New Zealand software company
Film and television
Blitz (2011 film), a film starring Jason Statham
Blitz (upcoming film), an upcoming World War II-themed historical drama film
Blitz or Killing Cars, a 1986 Michael Verhoeven film
Blitz, a fictional anthropomorphic doberman from Road Rovers
Blitz, a robot dog from the cartoon C.O.P.S.
The Blitz, in the "Blitzgiving" episode of How I Met Your Mother
Games
Blitz (game), a card game
Blitz (video game), a VIC-20 game
Blitz: The League, a 2005 American football game series
Blitz chess, fast chess in which each player is allotted less than ten minutes
Blitz Games, a British computer games company
Blitz, a playable character in Tom Clancy's Rainbow Six Siege
World of Tanks Blitz, a mobile game based on the PC version (WoT) World of Tanks
Literature
Blitz (British magazine), an influential British "style" magazine of the 1980s
Blitz (Portuguese magazine), a Portuguese music magazine, started in 1984 as a newspaper
Blitz (newspaper), Indian investigative newspaper, started in 1941 by Russi Karanjia
Weekly Blitz, a weekly Bangladeshi newspaper
Blitz (Big Bang Comics), a Flash-based Big Bang Comics hero
Blitz (Marvel Comics)
Blitz, the alter-ego of George in the web comic Bob and George
Music
Blitz (British band), a punk rock band
Blitz (Brazilian band), a new-wave band from the 1980s
Bobby Ellsworth or Blitz, American thrash metal musician
Blitz (Étienne Daho album) (2017)
Blitz (KMFDM album) (2009)
The Blitz (Krokus album) (1984)
The Blitz (Thebandwithnoname album) (2002)
Blitz!, a musical by Lionel Bart
"Blitz", a song by Audio Adrenaline from Some Kind of Zombie (1997)
Nightclubs
Blitz Club, a techno nightclub in Munich, Germany
Blitz, a 1980s night club in London frequented by the Blitz Kids
Sports
American football
Blitz (gridiron football), a type of defensive tactic
The Blitz (ESPNEWS), a TV show on ESPNEWS
Blitz (mascot), the mascot of the Seattle Seahawks
Bakersfield Blitz, a former arena football team
Chicago Blitz, a United States Football League team in the 1980s
Chicago Blitz (indoor football), a defunct professional indoor football team
Chicago Blitz (X League), an American women's gridiron football team
London Blitz (American football), a London-based team
Montreal Blitz, a women's team
Syracuse Blitz, a former Professional Indoor Football League team
Other sports
Blitz defence, a defensive technique used in rugby union
SV Blitz Breslau, a defunct German association football team
Blitz (company), a Japanese tuning company which competes in the D1 Grand Prix
Other uses
Blitz (surname), a surname and list of people with the name
Opel Blitz, various German lorries built by Opel from 1930 to 1975
Blitz (movement), a radical youth movement in Norway
Blitz campaign, or blitz, a type of marketing campaign
See also
Utah Blitzz, former professional soccer team
Blitzy, a fictional dog character from Mona the Vampire
Bristol Blitz, the German bombing raids on Bristol, England in 1940 and 1941
Hull Blitz, the German Second World War bombing campaign targeting Kingston upon Hull
Rotterdam Blitz, the German bombing raid on Rotterdam, Netherlands in 1940
World of Tanks Blitz, an online game
Blitzkrieg (disambiguation)
Blitzer (disambiguation) | 5 |
Bra–ket notation, also called Dirac notation, is a notation for linear algebra and linear operators on complex vector spaces together with their dual space both in the finite-dimensional and infinite-dimensional case. It is specifically designed to ease the types of calculations that frequently come up in quantum mechanics. Its use in quantum mechanics is quite widespread.
Bra-ket notation was created by Paul Dirac in his 1939 publication A New Notation for Quantum Mechanics. The notation was introduced as an easier way to write quantum mechanical expressions. The name comes from the English word "Bracket".
Quantum mechanics
In quantum mechanics, bra–ket notation is used ubiquitously to denote quantum states. The notation uses angle brackets, and , and a vertical bar , to construct "bras" and "kets".
A ket is of the form . Mathematically it denotes a vector, , in an abstract (complex) vector space , and physically it represents a state of some quantum system.
A bra is of the form . Mathematically it denotes a linear form , i.e. a linear map that maps each vector in to a number in the complex plane . Letting the linear functional act on a vector is written as .
Assume that on there exists an inner product with antilinear first argument, which makes an inner product space. Then with this inner product each vector can be identified with a corresponding linear form, by placing the vector in the anti-linear first slot of the inner product: . The correspondence between these notations is then . The linear form is a covector to , and the set of all covectors form a subspace of the dual vector space , to the initial vector space . The purpose of this linear form can now be understood in terms of making projections on the state , to find how linearly dependent two states are, etc.
For the vector space , kets can be identified with column vectors, and bras with row vectors. Combinations of bras, kets, and linear operators are interpreted using matrix multiplication. If has the standard Hermitian inner product , under this identification, the identification of kets and bras and vice versa provided by the inner product is taking the Hermitian conjugate (denoted ).
It is common to suppress the vector or linear form from the bra–ket notation and only use a label inside the typography for the bra or ket. For example, the spin operator on a two dimensional space of spinors, has eigenvalues with eigenspinors . In bra–ket notation, this is typically denoted as , and . As above, kets and bras with the same label are interpreted as kets and bras corresponding to each other using the inner product. In particular, when also identified with row and column vectors, kets and bras with the same label are identified with Hermitian conjugate column and row vectors.
Bra–ket notation was effectively established in 1939 by Paul Dirac; it is thus also known as Dirac notation, despite the notation having a precursor in Hermann Grassmann's use of for inner products nearly 100 years earlier.
Vector spaces
Vectors vs kets
In mathematics, the term "vector" is used for an element of any vector space. In physics, however, the term "vector" tends to refer almost exclusively to quantities like displacement or velocity, which have components that relate directly to the three dimensions of space, or relativistically, to the four of spacetime. Such vectors are typically denoted with over arrows (), boldface () or indices ().
In quantum mechanics, a quantum state is typically represented as an element of a complex Hilbert space, for example, the infinite-dimensional vector space of all possible wavefunctions (square integrable functions mapping each point of 3D space to a complex number) or some more abstract Hilbert space constructed more algebraically. To distinguish this type of vector from those described above, it is common and useful in physics to denote an element of an abstract complex vector space as a ket , to refer to it as a "ket" rather than as a vector, and to pronounce it "ket-" or "ket-A" for .
Symbols, letters, numbers, or even words—whatever serves as a convenient label—can be used as the label inside a ket, with the making clear that the label indicates a vector in vector space. In other words, the symbol "" has a recognizable mathematical meaning as to the kind of variable being represented, while just the "" by itself does not. For example, is not necessarily equal to . Nevertheless, for convenience, there is usually some logical scheme behind the labels inside kets, such as the common practice of labeling energy eigenkets in quantum mechanics through a listing of their quantum numbers. At its simplest, the label inside the ket is the eigenvalue of a physical operator, such as , , , etc.
Notation
Since kets are just vectors in a Hermitian vector space, they can be manipulated using the usual rules of linear algebra. For example:
Note how the last line above involves infinitely many different kets, one for each real number .
Since the ket is an element of a vector space, a bra is an element of its dual space, i.e. a bra is a linear functional which is a linear map from the vector space to the complex numbers. Thus, it is useful to think of kets and bras as being elements of different vector spaces (see below however) with both being different useful concepts.
A bra and a ket (i.e. a functional and a vector), can be combined to an operator of rank one with outer product
Inner product and bra–ket identification on Hilbert space
The bra–ket notation is particularly useful in Hilbert spaces which have an inner product that allows Hermitian conjugation and identifying a vector with a continuous linear functional, i.e. a ket with a bra, and vice versa (see Riesz representation theorem). The inner product on Hilbert space (with the first argument anti linear as preferred by physicists) is fully equivalent to an (anti-linear) identification between the space of kets and that of bras in the bra ket notation: for a vector ket define a functional (i.e. bra) by
Bras and kets as row and column vectors
In the simple case where we consider the vector space , a ket can be identified with a column vector, and a bra as a row vector. If moreover we use the standard Hermitian inner product on , the bra corresponding to a ket, in particular a bra and a ket with the same label are conjugate transpose. Moreover, conventions are set up in such a way that writing bras, kets, and linear operators next to each other simply imply matrix multiplication. In particular the outer product of a column and a row vector ket and bra can be identified with matrix multiplication (column vector times row vector equals matrix).
For a finite-dimensional vector space, using a fixed orthonormal basis, the inner product can be written as a matrix multiplication of a row vector with a column vector:
Based on this, the bras and kets can be defined as:
and then it is understood that a bra next to a ket implies matrix multiplication.
The conjugate transpose (also called Hermitian conjugate) of a bra is the corresponding ket and vice versa:
because if one starts with the bra
then performs a complex conjugation, and then a matrix transpose, one ends up with the ket
Writing elements of a finite dimensional (or mutatis mutandis, countably infinite) vector space as a column vector of numbers requires picking a basis. Picking a basis is not always helpful because quantum mechanics calculations involve frequently switching between different bases (e.g. position basis, momentum basis, energy eigenbasis), and one can write something like "" without committing to any particular basis. In situations involving two different important basis vectors, the basis vectors can be taken in the notation explicitly and here will be referred simply as "" and "".
Non-normalizable states and non-Hilbert spaces
Bra–ket notation can be used even if the vector space is not a Hilbert space.
In quantum mechanics, it is common practice to write down kets which have infinite norm, i.e. non-normalizable wavefunctions. Examples include states whose wavefunctions are Dirac delta functions or infinite plane waves. These do not, technically, belong to the Hilbert space itself. However, the definition of "Hilbert space" can be broadened to accommodate these states (see the Gelfand–Naimark–Segal construction or rigged Hilbert spaces). The bra–ket notation continues to work in an analogous way in this broader context.
Banach spaces are a different generalization of Hilbert spaces. In a Banach space , the vectors may be notated by kets and the continuous linear functionals by bras. Over any vector space without topology, we may also notate the vectors by kets and the linear functionals by bras. In these more general contexts, the bracket does not have the meaning of an inner product, because the Riesz representation theorem does not apply.
Usage in quantum mechanics
The mathematical structure of quantum mechanics is based in large part on linear algebra:
Wave functions and other quantum states can be represented as vectors in a complex Hilbert space. (The exact structure of this Hilbert space depends on the situation.) In bra–ket notation, for example, an electron might be in the "state" . (Technically, the quantum states are rays of vectors in the Hilbert space, as corresponds to the same state for any nonzero complex number .)
Quantum superpositions can be described as vector sums of the constituent states. For example, an electron in the state is in a quantum superposition of the states and .
Measurements are associated with linear operators (called observables) on the Hilbert space of quantum states.
Dynamics are also described by linear operators on the Hilbert space. For example, in the Schrödinger picture, there is a linear time evolution operator with the property that if an electron is in state right now, at a later time it will be in the state , the same for every possible .
Wave function normalization is scaling a wave function so that its norm is 1.
Since virtually every calculation in quantum mechanics involves vectors and linear operators, it can involve, and often does involve, bra–ket notation. A few examples follow:
Spinless position–space wave function
The Hilbert space of a spin-0 point particle is spanned by a "position basis" , where the label extends over the set of all points in position space. This label is the eigenvalue of the position operator acting on such a basis state, . Since there are an uncountably infinite number of vector components in the basis, this is an uncountably infinite-dimensional Hilbert space. The dimensions of the Hilbert space (usually infinite) and position space (usually 1, 2 or 3) are not to be conflated.
Starting from any ket in this Hilbert space, one may define a complex scalar function of , known as a wavefunction,
On the left-hand side, is a function mapping any point in space to a complex number; on the right-hand side,
is a ket consisting of a superposition of kets with relative coefficients specified by that function.
It is then customary to define linear operators acting on wavefunctions in terms of linear operators acting on kets, by
For instance, the momentum operator has the following coordinate representation,
One occasionally even encounters a expressions such as , though this is something of an abuse of notation. The differential operator must be understood to be an abstract operator, acting on kets, that has the effect of differentiating wavefunctions once the expression is projected onto the position basis,
even though, in the momentum basis, this operator amounts to a mere multiplication operator (by ). That is, to say,
or
Overlap of states
In quantum mechanics the expression is typically interpreted as the probability amplitude for the state to collapse into the state . Mathematically, this means the coefficient for the projection of onto . It is also described as the projection of state onto state .
Changing basis for a spin-1/2 particle
A stationary spin- particle has a two-dimensional Hilbert space. One orthonormal basis is:
where is the state with a definite value of the spin operator equal to + and is the state with a definite value of the spin operator equal to −.
Since these are a basis, any quantum state of the particle can be expressed as a linear combination (i.e., quantum superposition) of these two states:
where and are complex numbers.
A different basis for the same Hilbert space is:
defined in terms of rather than .
Again, any state of the particle can be expressed as a linear combination of these two:
In vector form, you might write
depending on which basis you are using. In other words, the "coordinates" of a vector depend on the basis used.
There is a mathematical relationship between , , and ; see change of basis.
Pitfalls and ambiguous uses
There are some conventions and uses of notation that may be confusing or ambiguous for the non-initiated or early student.
Separation of inner product and vectors
A cause for confusion is that the notation does not separate the inner-product operation from the notation for a (bra) vector. If a (dual space) bra-vector is constructed as a linear combination of other bra-vectors (for instance when expressing it in some basis) the notation creates some ambiguity and hides mathematical details. We can compare bra–ket notation to using bold for vectors, such as , and for the inner product. Consider the following dual space bra-vector in the basis :
It has to be determined by convention if the complex numbers are inside or outside of the inner product, and each convention gives different results.
Reuse of symbols
It is common to use the same symbol for labels and constants. For example, , where the symbol is used simultaneously as the name of the operator , its eigenvector and the associated eigenvalue . Sometimes the hat is also dropped for operators, and one can see notation such as .
Hermitian conjugate of kets
It is common to see the usage , where the dagger () corresponds to the Hermitian conjugate. This is however not correct in a technical sense, since the ket, , represents a vector in a complex Hilbert-space , and the bra, , is a linear functional on vectors in . In other words, is just a vector, while is the combination of a vector and an inner product.
Operations inside bras and kets
This is done for a fast notation of scaling vectors. For instance, if the vector is scaled by , it may be denoted . This can be ambiguous since is simply a label for a state, and not a mathematical object on which operations can be performed. This usage is more common when denoting vectors as tensor products, where part of the labels are moved outside the designed slot, e.g. .
Linear operators
Linear operators acting on kets
A linear operator is a map that inputs a ket and outputs a ket. (In order to be called "linear", it is required to have certain properties.) In other words, if is a linear operator and is a ket-vector, then is another ket-vector.
In an -dimensional Hilbert space, we can impose a basis on the space and represent in terms of its coordinates as a column vector. Using the same basis for , it is represented by an complex matrix. The ket-vector can now be computed by matrix multiplication.
Linear operators are ubiquitous in the theory of quantum mechanics. For example, observable physical quantities are represented by self-adjoint operators, such as energy or momentum, whereas transformative processes are represented by unitary linear operators such as rotation or the progression of time.
Linear operators acting on bras
Operators can also be viewed as acting on bras from the right hand side. Specifically, if is a linear operator and is a bra, then is another bra defined by the rule
(in other words, a function composition). This expression is commonly written as (cf. energy inner product)
In an -dimensional Hilbert space, can be written as a row vector, and (as in the previous section) is an matrix. Then the bra can be computed by normal matrix multiplication.
If the same state vector appears on both bra and ket side,
then this expression gives the expectation value, or mean or average value, of the observable represented by operator for the physical system in the state .
Outer products
A convenient way to define linear operators on a Hilbert space is given by the outer product: if is a bra and is a ket, the outer product
denotes the rank-one operator with the rule
For a finite-dimensional vector space, the outer product can be understood as simple matrix multiplication:
The outer product is an matrix, as expected for a linear operator.
One of the uses of the outer product is to construct projection operators. Given a ket of norm 1, the orthogonal projection onto the subspace spanned by is
This is an idempotent in the algebra of observables that acts on the Hilbert space.
Hermitian conjugate operator
Just as kets and bras can be transformed into each other (making into ), the element from the dual space corresponding to is , where denotes the Hermitian conjugate (or adjoint) of the operator . In other words,
If is expressed as an matrix, then is its conjugate transpose.
Self-adjoint operators, where , play an important role in quantum mechanics; for example, an observable is always described by a self-adjoint operator. If is a self-adjoint operator, then is always a real number (not complex). This implies that expectation values of observables are real.
Properties
Bra–ket notation was designed to facilitate the formal manipulation of linear-algebraic expressions. Some of the properties that allow this manipulation are listed herein. In what follows, and denote arbitrary complex numbers, denotes the complex conjugate of , and denote arbitrary linear operators, and these properties are to hold for any choice of bras and kets.
Linearity
Since bras are linear functionals,
By the definition of addition and scalar multiplication of linear functionals in the dual space,
Associativity
Given any expression involving complex numbers, bras, kets, inner products, outer products, and/or linear operators (but not addition), written in bra–ket notation, the parenthetical groupings do not matter (i.e., the associative property holds). For example:
and so forth. The expressions on the right (with no parentheses whatsoever) are allowed to be written unambiguously because of the equalities on the left. Note that the associative property does not hold for expressions that include nonlinear operators, such as the antilinear time reversal operator in physics.
Hermitian conjugation
Bra–ket notation makes it particularly easy to compute the Hermitian conjugate (also called dagger, and denoted ) of expressions. The formal rules are:
The Hermitian conjugate of a bra is the corresponding ket, and vice versa.
The Hermitian conjugate of a complex number is its complex conjugate.
The Hermitian conjugate of the Hermitian conjugate of anything (linear operators, bras, kets, numbers) is itself—i.e.,
Given any combination of complex numbers, bras, kets, inner products, outer products, and/or linear operators, written in bra–ket notation, its Hermitian conjugate can be computed by reversing the order of the components, and taking the Hermitian conjugate of each.
These rules are sufficient to formally write the Hermitian conjugate of any such expression; some examples are as follows:
Kets:
Inner products: Note that is a scalar, so the Hermitian conjugate is just the complex conjugate, i.e.,
Matrix elements:
Outer products:
Composite bras and kets
Two Hilbert spaces and may form a third space by a tensor product. In quantum mechanics, this is used for describing composite systems. If a system is composed of two subsystems described in and respectively, then the Hilbert space of the entire system is the tensor product of the two spaces. (The exception to this is if the subsystems are actually identical particles. In that case, the situation is a little more complicated.)
If is a ket in and is a ket in , the tensor product of the two kets is a ket in . This is written in various notations:
See quantum entanglement and the EPR paradox for applications of this product.
The unit operator
Consider a complete orthonormal system (basis),
for a Hilbert space , with respect to the norm from an inner product .
From basic functional analysis, it is known that any ket can also be written as
with the inner product on the Hilbert space.
From the commutativity of kets with (complex) scalars, it follows that
must be the identity operator, which sends each vector to itself.
This, then, can be inserted in any expression without affecting its value; for example
where, in the last line, the Einstein summation convention has been used to avoid clutter.
In quantum mechanics, it often occurs that little or no information about the inner product of two arbitrary (state) kets is present, while it is still possible to say something about the expansion coefficients and of those vectors with respect to a specific (orthonormalized) basis. In this case, it is particularly useful to insert the unit operator into the bracket one time or more.
For more information, see Resolution of the identity,
where
Since , plane waves follow,
In his book (1958), Ch. III.20, Dirac defines the standard ket which, up to a normalization, is the translationally invariant momentum eigenstate in the momentum representation, i.e., . Consequently, the corresponding wavefunction is a constant, , and
as well as
Typically, when all matrix elements of an operator such as are available, this resolution serves to reconstitute the full operator,
Notation used by mathematicians
The object physicists are considering when using bra–ket notation is a Hilbert space (a complete inner product space).
Let be a Hilbert space and a vector in . What physicists would denote by is the vector itself. That is,
Let be the dual space of . This is the space of linear functionals on . The embedding is defined by , where for every the linear functional satisfies for every the functional equation .
Notational confusion arises when identifying and with and respectively. This is because of literal symbolic substitutions. Let and let . This gives
One ignores the parentheses and removes the double bars.
Moreover, mathematicians usually write the dual entity not at the first place, as the physicists do, but at the second one, and they usually use not an asterisk but an overline (which the physicists reserve for averages and the Dirac spinor adjoint) to denote complex conjugate numbers; i.e., for scalar products mathematicians usually write
whereas physicists would write for the same quantity
See also
Angular momentum diagrams (quantum mechanics)
-slit interferometric equation
Quantum state
Inner product space
Notes
References
. Also see his standard text, The Principles of Quantum Mechanics, IV edition, Clarendon Press (1958),
External links
Richard Fitzpatrick, "Quantum Mechanics: A graduate level course", The University of Texas at Austin. Includes:
1. Ket space
2. Bra space
3. Operators
4. The outer product
5. Eigenvalues and eigenvectors
Robert Littlejohn, Lecture notes on "The Mathematical Formalism of Quantum mechanics", including bra–ket notation. University of California, Berkeley.
Information theory
Quantum information science
Linear algebra
Mathematical notation
Paul Dirac
Linear functionals | 5 |
BDSM is a variety of often erotic practices or roleplaying involving bondage, discipline, dominance and submission, sadomasochism, and other related interpersonal dynamics. Given the wide range of practices, some of which may be engaged in by people who do not consider themselves to be practising BDSM, inclusion in the BDSM community or subculture often is said to depend on self-identification and shared experience.
The initialism BDSM is first recorded in a Usenet post from 1991, and is interpreted as a combination of the abbreviations B/D (Bondage and Discipline), D/s (Dominance and submission), and S/M (Sadism and Masochism). BDSM is now used as a catch-all phrase covering a wide range of activities, forms of interpersonal relationships, and distinct subcultures. BDSM communities generally welcome anyone with a non-normative streak who identifies with the community; this may include cross-dressers, body modification enthusiasts, animal roleplayers, rubber fetishists, and others.
Activities and relationships in BDSM are often characterized by the participants' taking on roles that are complementary and involve inequality of power; thus, the idea of informed consent of both the partners is essential. The terms submissive and dominant are often used to distinguish these roles: the dominant partner ("dom") takes psychological control over the submissive ("sub"). The terms top and bottom are also used; the top is the instigator of an action while the bottom is the receiver of the action. The two sets of terms are subtly different: for example, someone may choose to act as bottom to another person, for example, by being whipped, purely recreationally, without any implication of being psychologically dominated, and submissives may be ordered to massage their dominant partners. Although the bottom carries out the action and the top receives it, they have not necessarily switched roles.
The abbreviations sub and dom are frequently used instead of submissive and dominant. Sometimes the female-specific terms mistress, domme, and dominatrix are used to describe a dominant woman, instead of the sometimes gender-neutral term dom. Individuals who change between top/dominant and bottom/submissive roles—whether from relationship to relationship or within a given relationship—are called switches. The precise definition of roles and self-identification is a common subject of debate among BDSM participants.
Fundamentals
BDSM is an umbrella term for certain kinds of erotic behaviour between consenting adults, encompassing various subcultures. Terms for roles vary widely among the subcultures. Top and dominant are widely used for those partner(s) in the relationship or activity who are, respectively, the physically active or controlling participants. Bottom and submissive are widely used for those partner(s) in the relationship or activity who are, respectively, the physically receptive or controlled participants. The interaction between tops and bottoms—where physical or mental control of the bottom is surrendered to the top—is sometimes known as "power exchange", whether in the context of an encounter or a relationship.
BDSM actions can often take place during a specific period of time agreed to by both parties, referred to as "play", a "scene", or a "session". Participants usually derive pleasure from this, even though many of the practices—such as inflicting pain or humiliation or being restrained—would be unpleasant under other circumstances. Explicit sexual activity, such as sexual penetration, may occur within a session, but is not essential. For legal reasons, such explicit sexual interaction is seen only rarely in public play spaces and is sometimes banned by the rules of a party or playspace. Whether it is a public "playspace"—ranging from a party at an established community dungeon to a hosted play "zone" at a nightclub or social event—the parameters of allowance can vary. Some have a policy of panties/nipple sticker for women (underwear for men) and some allow full nudity with explicit sexual acts.
The fundamental principles for the exercise of BDSM require that it be performed with the informed consent of all parties. Since the 1980s, many practitioners and organizations have adopted the motto (originally from the statement of purpose of GMSMA—a gay SM activist organization) safe, sane and consensual (SSC), which means that everything is based on safe activities, that all participants are of sufficiently sound mind to consent, and that all participants do consent. Mutual consent makes a clear legal and ethical distinction between BDSM and such crimes as sexual assault and domestic violence.
Some BDSM practitioners prefer a code of behaviour that differs from SSC. Described as "risk-aware consensual kink" (RACK), this code shows a preference for a style in which the individual responsibility of the involved parties is emphasized more strongly, with each participant being responsible for their own well-being. Advocates of RACK argue that SSC can hamper discussion of risk because no activity is truly "safe", and that discussion of even low-risk possibilities is necessary for truly informed consent. They further argue that setting a discrete line between "safe" and "not-safe" activities ideologically denies consenting adults the right to evaluate risks versus rewards for themselves; that some adults will be drawn to certain activities regardless of the risk; and that BDSM play—particularly higher-risk play or edgeplay—should be treated with the same regard as extreme sports, with both respect and the demand that practitioners educate themselves and practice the higher-risk activities to decrease risk. RACK may be seen as focusing primarily upon awareness and informed consent, rather than accepted safe practices.
Consent is the most important criterion. The consent and compliance for a sadomasochistic situation can be granted only by people who can judge the potential results. For their consent, they must have relevant information (the extent to which the scene will go, potential risks, if a safeword will be used, what that is, and so on) at hand and the necessary mental capacity to judge. The resulting consent and understanding is occasionally summarized in a written "contract", which is an agreement of what can and cannot take place.
BDSM play is usually structured such that it is possible for the consenting partner to withdraw their consent at any point during a scene; for example, by using a safeword that was agreed on in advance. Use of the agreed safeword (or occasionally a "safe symbol" such as dropping a ball or ringing a bell, especially when speech is restricted) is seen by some as an explicit withdrawal of consent. Failure to honor a safeword is considered serious misconduct and could constitute a crime, depending on the relevant law, since the bottom or top has explicitly revoked their consent to any actions that follow the use of the safeword. For other scenes, particularly in established relationships, a safeword may be agreed to signify a warning ("this is getting too intense") rather than explicit withdrawal of consent; and a few choose not to use a safeword at all.
Terminology and subtypes
The initialism BDSM stands for:
Bondage and discipline (B&D)
Dominance and submission (D&s)
Sadomasochism (or S&M)
These terms replaced sadomasochism, as they more broadly cover BDSM activities and focus on the submissive roles instead of psychological pain. The model is only an attempt at phenomenological differentiation. Individual tastes and preferences in the area of human sexuality may overlap among these areas.
Under the initialism BDSM, these psychological and physiological facets are also included:
Male dominance
Male submission
Female dominance
Female submission
The term bondage describes the practice of physical restraint. Bondage is usually, but not always, a sexual practice. While bondage is a very popular variation within the larger field of BDSM, it is nevertheless sometimes differentiated from the rest of this field. A 2015 study of over 1,000 Canadians showed that about half of all men held fantasies of bondage, and almost half of all women did as well. In a strict sense, bondage means binding the partner by tying their appendages together; for example, by the use of handcuffs or ropes, or by lashing their arms to an object. Bondage can also be achieved by spreading the appendages and fastening them with chains or ropes to a St. Andrew's cross or spreader bars.
The term discipline describes psychological restraining, with the use of rules and punishment to control overt behaviour. Punishment can be pain caused physically (such as caning), humiliation caused psychologically (such as a public flagellation) or loss of freedom caused physically (for example, chaining the submissive partner to the foot of a bed). Another aspect is the structured training of the bottom.
Dominance and submission (also known as D&s, Ds or D/s) is a set of behaviours, customs and rituals relating to the giving and accepting of control of one individual over another in an erotic or lifestyle context. It explores the more mental aspect of BDSM. This is also the case in many relationships not considering themselves as sadomasochistic; it is considered to be a part of BDSM if it is practiced purposefully. The range of its individual characteristics is thereby wide.
Often, BDSM contracts are set out in writing to record the formal consent of the parties to the power exchange, stating their common vision of the relationship dynamic. The purpose of this kind of agreement is primarily to encourage discussion and negotiation in advance and then to document that understanding for the benefit of all parties. Such documents have not been recognized as being legally binding, nor are they intended to be. These agreements are binding in the sense that the parties have the expectation that the negotiated rules will be followed. Often other friends and community members may witness the signing of such a document in a ceremony, and so parties violating their agreement can result in loss of face, respect or status with their friends in the community.
In general, as compared to conventional relationships, BDSM participants go to greater lengths to negotiate the important aspects of their relationships in advance, and to contribute significant effort toward learning about and following safe practices.
In D/s, the dominant is the top and the submissive is the bottom. In S/M, the sadist is usually the top and the masochist the bottom, but these roles are frequently more complicated or jumbled (as in the case of being dominant, masochists who may arrange for their submissive to carry out S/M activities on them). As in B/D, the declaration of the top/bottom may be required, though sadomasochists may also play without any power exchange at all, with both partners equally in control of the play.
Etymology
The term sadomasochism is derived from the words sadism and masochism. These terms differ somewhat from the same terms used in psychology since those require that the sadism or masochism cause significant distress or involve non-consenting partners. Sadomasochism refers to the aspects of BDSM surrounding the exchange of physical or emotional pain. Sadism describes sexual pleasure derived by inflicting pain, degradation, humiliation on another person or causing another person to suffer. On the other hand, the masochist enjoys being hurt, humiliated, or suffering within the consensual scenario. Sadomasochistic scenes sometimes reach a level that appears more extreme or cruel than other forms of BDSM—for example, when a masochist is brought to tears or is severely bruised—and is occasionally unwelcome at BDSM events or parties. Sadomasochism does not imply enjoyment through causing or receiving pain in other situations (for example, accidental injury, medical procedures).
The terms sadism and masochism are derived from the names of the Marquis de Sade and Leopold von Sacher-Masoch, based on the content of the authors' works. Although the names of de Sade and Sacher-Masoch are attached to the terms sadism and masochism respectively, the scenes described in de Sade's works do not meet modern BDSM standards of informed consent. BDSM is solely based on consensual activities, and based on its system and laws. The concepts presented by de Sade are not in accordance with the BDSM culture, even though they are sadistic in nature. In 1843, the Ruthenian physician Heinrich Kaan published (Psychopathy of Sex), a writing in which he converts the sin conceptions of Christianity into medical diagnoses. With his work, the originally theological terms perversion, aberration and deviation became part of the scientific terminology for the first time. The German psychiatrist Richard von Krafft-Ebing introduced the terms sadism and masochism to the medical community in his work (New research in the area of Psychopathy of Sex) in 1890.
In 1905, Sigmund Freud described sadism and masochism in his Three Essays on the Theory of Sexuality as diseases developing from an incorrect development of the child psyche and laid the groundwork for the scientific perspective on the subject in the following decades. This led to the first time use of the compound term sado-masochism (German ) by the Viennese psychoanalytic Isidor Isaak Sadger in their work, "" ("Regarding the sadomasochistic complex") in 1913.
In the later 20th century, BDSM activists have protested against these conceptual models, as they were derived from the philosophies of two singular historical figures. Both Freud and Krafft-Ebing were psychiatrists; their observations on sadism and masochism were dependent on psychiatric patients, and their models were built on the assumption of psychopathology. BDSM activists argue that it is illogical to attribute human behavioural phenomena as complex as sadism and masochism to the "inventions" of two historic individuals. Advocates of BDSM have sought to distinguish themselves from widely held notions of antiquated psychiatric theory by the adoption of the term BDSM as a distinction from the now common usage of those psychological terms, abbreviated as S&M.
Behavioural and physiological aspects
BDSM is commonly mistaken as being "all about pain". Freud was confounded by the complexity and counterintuitiveness of practitioners' doing things that are self-destructive and painful. Rather than pain, BDSM practitioners are primarily concerned with power, humiliation, and pleasure. The aspects of D/s and B/D may not include physical suffering at all, but include the sensations experienced by different emotions of the mind.
Of the three categories of BDSM, only sadomasochism specifically requires pain, but this is typically a means to an end, as a vehicle for feelings of humiliation, dominance, etc. In psychology, this aspect becomes a deviant behaviour once the act of inflicting or experiencing pain becomes a substitute for or the main source of sexual pleasure. In its most extreme, the preoccupation on this kind of pleasure can lead participants to view humans as insensate means of sexual gratification.
Dominance and submission of power are an entirely different experience, and are not always psychologically associated with physical pain. Many BDSM activities involve no pain or humiliation, but just the exchange of power and control. During the activities, the participants may feel endorphin effects comparable to "runner's high" and to the afterglow of orgasm. The corresponding trance-like mental state is also called subspace, for the submissive, and domspace, for the dominant. Some use body stress to describe this physiological sensation. The experience of algolagnia is important, but is not the only motivation for many BDSM practitioners. The philosopher Edmund Burke called the sensation of pleasure derived from pain "sublime". Couples engaging in consensual BDSM tend to show hormonal changes that indicate decreases in stress and increases in emotional bonding.
There is an array of BDSM practitioners who take part in sessions in which they do not receive any personal gratification. They enter such situations solely with the intention to allow their partners to indulge their own needs or fetishes. Professional dominants do this in exchange for money, but non-professionals do it for the sake of their partners.
In some BDSM sessions, the top exposes the bottom to a range of sensual experiences, such as pinching; biting; scratching with fingernails; erotic spanking; erotic electrostimulation; and the use of crops, whips, liquid wax, ice cubes, and Wartenberg wheels. Fixation by handcuffs, ropes, or chains may occur. The repertoire of possible "toys" is limited only by the imagination of both partners. To some extent, everyday items, such as clothespins, wooden spoons, and plastic wrap, are used in sex play. It is commonly considered that a pleasurable BDSM experience during a session depends strongly on the top's competence and experience and the bottom's physical and mental state. Trust and sexual arousal help the partners enter a shared mindset.
Types of play
Following are some of the types of BDSM play:
Animal roleplay
Bondage (BDSM)
Breast torture
Cock and ball torture
Diaper play
Edgeplay
Erotic electrostimulation
Erotic sexual denial
Spanking
Flogging
Human furniture
Japanese bondage
Medical play
Omorashi and bathroom use control
Paraphilic infantilism
Play piercing
Predicament bondage
Pussy torture
Salirophilia
Sexual roleplay
Suspension
Tickle torture
Urolagnia
Wax play
Safety
Besides safe sex, BDSM sessions often require a wider array of safety precautions than vanilla sex (sexual behaviour without BDSM elements). To ensure consent related to BDSM activity, pre-play negotiations are commonplace, especially among partners who do not know each other very well. In practice, pick-up scenes at clubs or parties may sometimes be low in negotiation (much as pick-up sex from singles bars may not involve much negotiation or disclosure). These negotiations concern the interests and fantasies of each partner and establish a framework of both acceptable and unacceptable activities. This kind of discussion is a typical "unique selling proposition" of BDSM sessions and quite commonplace. Additionally, safewords are often arranged to provide for an immediate stop of any activity if any participant should so desire.
Safewords are words or phrases that are called out when things are either not going as planned or have crossed a threshold one cannot handle. They are something both parties can remember and recognize and are, by definition, not words commonly used playfully during any kind of scene. Words such as no, stop, and don't, are often inappropriate as a safeword if the roleplaying aspect includes the illusion of non-consent.
The traffic light system (TLS) is the most commonly used set of safewords.
Red – meaning: stop immediately and check the status of your partner
Yellow – meaning: slow down, be careful
Green – meaning: I'm all good, we can start. If used it's normally uttered by everyone involved before the scene can start.
At most clubs and group-organized BDSM parties and events, dungeon monitors (DMs) provide an additional safety net for the people playing there, ensuring that house rules are followed and safewords respected.
BDSM participants are expected to understand practical safety aspects, such as the potential for harm to body parts. Contusion or scarring of the skin can be a concern. Using crops, whips, or floggers, the top's fine motor skills and anatomical knowledge can make the difference between a satisfying session for the bottom and a highly unpleasant experience that may even entail severe physical harm. The very broad range of BDSM "toys" and physical and psychological control techniques often requires a far-reaching knowledge of details related to the requirements of the individual session, such as anatomy, physics, and psychology. Despite these risks, BDSM activities usually result in far less severe injuries than sports like boxing and football, and BDSM practitioners do not visit emergency rooms any more often than the general population.
It is necessary to be able to identify each person's psychological "squicks" or triggers in advance to avoid them. Such losses of emotional balance due to sensory or emotional overload are a fairly commonly discussed issue. It is important to follow participants' reactions empathetically and continue or stop accordingly. For some players, sparking "freakouts" or deliberately using triggers may be the desired outcome. Safewords are one way for BDSM practices to protect both parties. However, partners should be aware of each other's psychological states and behaviours to prevent instances where the "freakouts" prevent the use of safewords.
After any BDSM activities, it is important that the participants go through sexual aftercare, to process and calm down from the activity. After the sessions, participants can need aftercare because their bodies have experienced trauma and they need to mentally come out of the role play.
Social aspects
Roles
Top and bottom
At one end of the spectrum are those who are indifferent to, or even reject physical stimulation. At the other end of the spectrum are bottoms who enjoy discipline and erotic humiliation but are not willing to be subordinate to the person who applies it. The bottom is frequently the partner who specifies the basic conditions of the session and gives instructions, directly or indirectly, in the negotiation, while the top often respects this guidance. Other bottoms, often called "brats", try to incur punishment from their tops by provoking them or "misbehaving". Nevertheless, a purist "school" exists within the BDSM community, which regards such "topping from the bottom" as rude or even incompatible with the standards of BDSM relations.
Types of relationships
Play
BDSM practitioners sometimes regard the practice of BDSM in their sex life as roleplaying and so often use the terms play and playing to describe activities where in their roles. Play of this sort for a specified period of time is often called a session, and the contents and the circumstances of play are often referred to as the scene. It is also common in personal relationships to use the term kink play for BDSM activities, or more specific terms for the type of activity. The relationships can be of varied types.
Long term
Early writings on BDSM both by the academic and BDSM community spoke little of long-term relationships with some in the gay leather community suggesting short-term play relationships to be the only feasible relationship models, and recommending people to get married and "play" with BDSM outside of marriage. In recent times though writers of BDSM and sites for BDSM have been more focused on long-term relationships.
A 2003 study, the first to look at these relationships, fully demonstrated that "quality long-term functioning relationships" exist among practitioners of BDSM, with either sex being the top or bottom (the study was based on 17 heterosexual couples). Respondents in the study expressed their BDSM orientation to be built into who they are, but considered exploring their BDSM interests an ongoing task, and showed flexibility and adaptability in order to match their interests with their partners. The "perfect match" where both in the relationship shared the same tastes and desires was rare, and most relationships required both partners to take up or put away some of their desires. The BDSM activities that the couples partook in varied in sexual to nonsexual significance for the partners who reported doing certain BDSM activities for "couple bonding, stress release, and spiritual quests". The most reported issue amongst respondents was not finding enough time to be in role with most adopting a lifestyle wherein both partners maintain their dominant or submissive role throughout the day.
Amongst the respondents, it was typically the bottoms who wanted to play harder, and be more restricted into their roles when there was a difference in desire to play in the relationship. The author of the study, Bert Cutler, speculated that tops may be less often in the mood to play due to the increased demand for responsibility on their part: being aware of the safety of the situation and prepared to remove the bottom from a dangerous scenario, being conscious of the desires and limits of the bottom, and so on. The author of the study stressed that successful long-term BDSM relationships came after "early and thorough disclosure" from both parties of their BDSM interests.
Many of those engaged in long-term BDSM relationships learned their skills from larger BDSM organizations and communities. There was a lot of discussion by the respondents on the amount of control the top possessed in the relationships but "no discussion of being better, or smarter, or of more value" than the bottom. Couples were generally of the same mind of whether or not they were in an ongoing relationship, but in such cases, the bottom was not locked up constantly, but that their role in the context of the relationship was always present, even when the top was doing non-dominant activities such as household chores, or the bottom being in a more dominant position. In its conclusion the study states:
The study further goes on to list three aspects that made the successful relationships work: early disclosure of interests and continued transparency, a commitment to personal growth, and the use of the dominant/submissive roles as a tool to maintain the relationship. In closing remarks, the author of the study theorizes that due to the serious potential for harm, couples in BDSM relationships develop increased communication that may be higher than in mainstream relationships.
Professional services
A professional dominatrix or professional dominant, often referred to within the culture as a pro-dom(me), offers services encompassing the range of bondage, discipline, and dominance in exchange for money. The term dominatrix is little-used within the non-professional BDSM scene. A non-professional dominant woman is more commonly referred to simply as a domme, dominant, or femdom (short for female dominance). Professional submissives ("pro-subs"), although far more rare, do exist. A professional submissive consents to their client's dominant behaviour within negotiated limits, and often works within a professional dungeon. Most of the people who work as subs normally have tendencies towards such activities, especially when sadomasochism is involved. Males also work as professional "tops" in BDSM, and are called masters or doms. However, it is much rarer to find a male in this profession.
Scenes
In BDSM, a "scene" is the stage or setting where BDSM activity takes place, as well as the activity itself. The physical place where a BDSM activity takes place is usually called a dungeon, though some prefer less dramatic terms, including playspace or club. A BDSM activity can, but need not, involve sexual activity or sexual roleplay. A characteristic of many BDSM relationships is the power exchange from the bottom to the dominant partner, and bondage features prominently in BDSM scenes and sexual roleplay.
"The Scene" (including use of the definite article the) is also used in the BDSM community to refer to the BDSM community as a whole. Thus someone who is on "the Scene", and prepared to play in public, might take part in "a scene" at a public play party.
A scene can take place in private between two or more people and can involve a domestic arrangement, such as servitude or a casual or committed lifestyle master/slave relationship. BDSM elements may involve settings of slave training or punishment for breaches of instructions.
A scene can also take place in a club, where the play can be viewed by others. When a scene takes place in a public setting, it may be because the participants enjoy being watched by others, or because of the equipment available, or because having third parties present adds safety for play partners who have only recently met.
Etiquette
Most standard social etiquette rules still apply when at a BDSM event, such as not intimately touching someone you do not know, not touching someone else's belongings (including toys), and abiding by dress codes. Many events open to the public also have rules addressing alcohol consumption, recreational drugs, cell phones, and photography.
A specific scene takes place within the general conventions and etiquette of BDSM, such as requirements for mutual consent and agreement as to the limits of any BDSM activity. This agreement can be incorporated into a formal contract. In addition, most clubs have additional rules which regulate how onlookers may interact with the actual participants in a scene. As is common in BDSM, these are founded on the catchphrase "safe, sane, and consensual".
Parties and clubs
BDSM play parties are events in which BDSM practitioners and other similarly interested people meet in order to communicate, share experiences and knowledge, and to "play" in an erotic atmosphere. BDSM parties show similarities to ones in the dark culture, being based on a more or less strictly enforced dress code; often clothing made of latex, leather or vinyl/PVC, lycra and so on, emphasizing the body's shape and the primary and secondary sexual characteristics. The requirement for such dress codes differ. While some events have none, others have a policy in order to create a more coherent atmosphere and to prevent outsiders from taking part.
At these parties, BDSM can be publicly performed on a stage, or more privately in separate "dungeons". A reason for the relatively fast spread of this kind of event is the opportunity to use a wide range of "playing equipment", which in most apartments or houses is unavailable. Slings, St. Andrew's crosses (or similar restraining constructs), spanking benches, and punishing supports or cages are often made available. The problem of noise disturbance is also lessened at these events, while in the home setting many BDSM activities can be limited by this factor. In addition, such parties offer both exhibitionists and voyeurs a forum to indulge their inclinations without social criticism. Sexual intercourse is not permitted within most public BDSM play spaces or not often seen in others, because it is not the emphasis of this kind of play. In order to ensure the maximum safety and comfort for the participants, certain standards of behaviour have evolved; these include aspects of courtesy, privacy, respect and safewords. Today BDSM parties are taking place in most of the larger cities in the Western world.
This scene appears particularly on the Internet, in publications, and in meetings such as at fetish clubs (like Torture Garden), SM parties, gatherings called munches, and erotic fairs like Venus Berlin. The annual Folsom Street Fair held in San Francisco is the world's largest BDSM event. It has its roots in the gay leather movement. The weekend-long festivities include a wide range of sadomasochistic erotica in a public clothing optional space between 8th and 13th streets with nightly parties associated with the organization.
There are also conventions such as Living in Leather and Black Rose.
Psychology
Research indicates that there is no evidence that a preference for BDSM is a consequence of childhood abuse. Some reports suggest that people abused as children may have more BDSM injuries and have difficulty with safe words being recognized as meaning stop the previously consensual behaviour; thus, it is possible that people choosing BDSM as part of their lifestyle, who also were previously abused, may have had more police or hospital reports of injuries. There is also a link between transgender individuals who have been abused and violence occurring in BDSM activities.
Joseph Merlino, author and psychiatry adviser to the New York Daily News, said in an interview that a sadomasochistic relationship, as long as it is consensual, is not a psychological problem:
Some psychologists agree that experiences during early sexual development can have a profound effect on the character of sexuality later in life. Sadomasochistic desires, however, seem to form at a variety of ages. Some individuals report having had them before puberty, while others do not discover them until well into adulthood. According to one study, the majority of male sadomasochists (53%) developed their interest before the age of 15, while the majority of females (78%) developed their interest afterward (Breslow, Evans, and Langley 1985). The prevalence of sadomasochism within the general population is unknown. Despite female sadists being less visible than males, some surveys have resulted in comparable amounts of sadistic fantasies between females and males. The results of such studies demonstrate that one's sex does not determine preference for sadism.
Following a phenomenological study of nine individuals involved in sexual masochistic sessions who regarded pain as central to their experience, sexual masochism was described as an addiction-like tendency, with several features resembling that of drug addiction: craving, intoxication, tolerance and withdrawal. It was also demonstrated how the first masochistic experience is placed on a pedestal, with subsequent use aiming at retrieving this lost sensation, much as described in the descriptive literature on addiction.
Prevalence
BDSM occurs among people of all genders and sexual orientations, and in varied occurrences and intensities. The spectrum ranges from couples with no connections to the subculture outside of their bedrooms or homes, without any awareness of the concept of BDSM, playing "tie-me-up-games", to public scenes on St. Andrew's crosses at large events such as the Folsom Street Fair in San Francisco. Estimation on the overall percentage of BDSM-related sexual behaviour varies.
Alfred Kinsey stated in his 1953 nonfiction book Sexual Behavior in the Human Female that 12% of females and 22% of males reported having an erotic response to a sadomasochistic story. In that book erotic responses to being bitten were given as:
A non-representative survey on the sexual behaviour of American students published in 1997 and based on questionnaires had a response rate of about 8–9%. Its results showed 15% of homosexual and bisexual males, 21% of lesbian and female bisexual students, 11% of heterosexual males and 9% of female heterosexual students committed to BDSM related fantasies. In all groups the level of practical BDSM experiences were around 6%. Within the group of openly lesbian and bisexual females, the quote was significantly higher, at 21%. Independent of their sexual orientation, about 12% of all questioned students, 16% of lesbians and female bisexuals and 8% of heterosexual males articulated an interest in spanking. Experience with this sexual behaviour was indicated by 30% of male heterosexuals, 33% of female bisexuals and lesbians, and 24% of the male gay and bisexual men and female heterosexual women. Even though this study was not considered representative, other surveys indicate similar dimensions in differing target groups.
A representative study done from 2001 to 2002 in Australia found that 1.8% of sexually active people (2.2% men, 1.3% women but no significant sex difference) had engaged in BDSM activity in the previous year. Of the entire sample, 1.8% of men and 1.3% of women had been involved in BDSM. BDSM activity was significantly more likely among bisexuals and homosexuals of both sexes. But among men in general, there was no relationship effect of age, education, language spoken at home or relationship status. Among women, in this study, activity was most common for those between 16 and 19 years of age and least likely for females over 50 years. Activity was also significantly more likely for women who had a regular partner they did not live with, but was not significantly related with speaking a language other than English or education.
Another representative study, published in 1999 by the German Institut für rationale Psychologie, found that about 2/3 of the interviewed women stated a desire to be at the mercy of their sexual partners from time to time. 69% admitted to fantasies dealing with sexual submissiveness, 42% stated interest in explicit BDSM techniques, 25% in bondage. A 1976 study in the general US population suggests three per cent have had positive experiences with Bondage or master-slave roleplaying. Overall 12% of the interviewed females and 18% of the males were willing to try it. A 1990 Kinsey Institute report stated that 5% to 10% of Americans occasionally engage in sexual activities related to BDSM, 11% of men and 17% of women reported trying bondage. Some elements of BDSM have been popularized through increased media coverage since the middle 1990s. Thus both black leather clothing, sexual jewelry such as chains and dominance roleplay appear increasingly outside of BDSM contexts.
According to yet another survey of 317,000 people in 41 countries, about 20% of the surveyed have at least used masks, blindfolds or other bondage utilities once, and 5% explicitly connected themselves with BDSM. In 2004, 19% mentioned spanking as one of their practices and 22% confirmed the use of blindfolds or handcuffs.
A 1985 study found 52 out of 182 female respondents (28%) were involved in sadomasochistic activities.
Recent surveys
A 2009 study on two separate samples of male undergraduate students in Canada found that 62 to 65%, depending on the sample, had entertained sadistic fantasies, and 22 to 39% engaged in sadistic behaviours during sex. The figures were 62 and 52% for bondage fantasies, and 14 to 23% for bondage behaviours. A 2014 study involving a mixed sample of Canadian college students and online volunteers, both male and female, reported that 19% of male samples and 10% of female samples rated the sadistic scenarios described in a questionnaire as being at least "slightly arousing" on a scale that ranged from "very repulsive" to "very arousing"; the difference was statistically significant. The corresponding figures for the masochistic scenarios were 15% for male students and 17% for female students, a non-significant difference. In a 2011 study on 367 middle-aged and elderly men recruited from the broader community in Berlin, 21.8% of the men self-reported sadistic fantasies and 15.5% sadistic behaviors; 24.8% self-reported any such fantasy and/or behavior. The corresponding figures for self-reported masochism were 15.8% for fantasy, 12.3% for behaviour, and 18.5% for fantasy and/or behaviour. In a 2008 study on gay men in Puerto Rico, 14.8% of the over 425 community volunteers reported any sadistic fantasy, desire or behaviour in their lifetime; the corresponding figure for masochism was 15.7%. A 2017 cross-sectional representative survey among the general Belgian population demonstrated a substantial prevalence of BDSM fantasies and activities; 12.5% of the population performed one of more BDSM-practices on a regular basis.
Medical categorization
Reflecting changes in social norms, modern medical opinion is now moving away from regarding BDSM activities as medical disorders, unless they are nonconsensual or involve significant distress or harm.
DSM
In the past, the Diagnostic and Statistical Manual of Mental Disorders (DSM), the American Psychiatric Association's manual, defined some BDSM activities as sexual disorders. Following campaigns from advocacy organizations including the National Coalition for Sexual Freedom, the current version of the DSM, DSM-5, excludes consensual BDSM from diagnosis when the sexual interests cause no harm or distress.
ICD
The World Health Organization's International Classification of Diseases (ICD) has made similar moves in recent years.
Section F65 of the current revision, ICD-10, indicates that "mild degrees of sadomasochistic stimulation are commonly used to enhance otherwise normal sexual activity". The diagnostic guidelines for the ICD-10 state that this class of diagnosis should only be made "if sadomasochistic activity is the most important source of stimulation or necessary for sexual gratification".
In Europe, an organization called ReviseF65 has worked to remove sadomasochism from the ICD. In 1995, Denmark became the first European Union country to have completely removed sadomasochism from its national classification of diseases. This was followed by Sweden in 2009, Norway in 2010 and Finland 2011. Recent surveys on the spread of BDSM fantasies and practices show strong variations in the range of their results. Nonetheless, researchers assume that 5 to 25 per cent of the population practices sexual behaviour related to pain or dominance and submission. The population with related fantasies is believed to be even larger.
The ICD is in the process of revision, and recent drafts have reflected these changes in social norms. , the final advance preview of the ICD-11 has de-pathologised most things listed in ICD-10 section F65, characterizing as pathological only those activities which are either coercive, or involving significant risk of injury or death, or distressing to the individual committing them, and specifically excluding consensual sexual sadism and masochism from being regarded as pathological. The ICD-11 classification consider sadomasochism as a variant in sexual arousal and private behaviour without appreciable public health impact and for which treatment is neither indicated nor sought."
According to the WHO ICD-11 Working Group on Sexual Disorders and Sexual Health, stigmatization and discrimination of fetish- and BDSM individuals are inconsistent with human rights principles endorsed by the United Nations and the World Health Organization.
The final advance text is to be officially presented to the members of the WHO in 2019, ready to come into effect in 2022.
Coming out
Some people who are interested in or curious about BDSM decide to come out of the closet, although many sadomasochists remain closeted. Depending upon a survey's participants, about 5 to 25 per cent of the US population show affinity to the subject. Other than a few artists and writers, practically no celebrities are publicly known as sadomasochists.
Public knowledge of one's BDSM lifestyle can have detrimental vocational and social effects for sadomasochists. Many face severe professional consequences or social rejection if they are exposed, either voluntarily or involuntarily, as sadomasochists.
Within feminist circles, the discussion is split roughly into two camps: some who see BDSM as an aspect or reflection of oppression (for example, Alice Schwarzer) and, on the other side, pro-BDSM feminists, often grouped under the banner of sex-positive feminism (see Samois); both of them can be traced back to the 1970s. Some feminists have criticized BDSM for eroticizing power and violence and reinforcing misogyny. They argue that women who engage in BDSM are making a choice that is ultimately bad for women. Feminist defenders of BDSM argue that consensual BDSM activities are enjoyed by many women and validate the sexual inclinations of these women. They argue that there is no connection between consensual kinky activities and sex crimes, and that feminists should not attack other women's sexual desires as being "anti-feminist". They also state that the main point of feminism is to give an individual woman free choices in her life; which includes her sexual desire. While some feminists suggest connections between consensual BDSM scenes and non-consensual rape and sexual assault, other sex-positive ones find the notion insulting to women.
Roles are not fixed to gender, but personal preferences. The dominant partner in a heterosexual relationship may be the woman rather than the man, or BDSM may be part of male/male or female/female sexual relationships. Finally, some people switch, taking either a dominant or submissive role on different occasions. Several studies investigating the possibility of a correlation between BDSM pornography and the violence against women also indicate a lack of correlation. In 1991, a lateral survey came to the conclusion that between 1964 and 1984, despite the increase in amount and availability of sadomasochistic pornography in the U.S., Germany, Denmark and Sweden, there is no correlation with the national number of rapes to be found.
Operation Spanner in the U.K. proves that BDSM practitioners still run the risk of being stigmatized as criminals. In 2003, the media coverage of Jack McGeorge showed that simply participating and working in BDSM support groups poses risks to one's job, even in countries where no law restricts it. Here a clear difference can be seen to the situation of homosexuality. The psychological strain appearing in some individual cases is normally neither articulated nor acknowledged in public. Nevertheless, it leads to a difficult psychological situation in which the person concerned can be exposed to high levels of emotional stress.
In the stages of "self-awareness", he or she realizes their desires related to BDSM scenarios or decides to be open for such. Some authors call this internal coming-out. Two separate surveys on this topic independently came to the conclusion that 58 per cent and 67 per cent of the sample respectively, had realized their disposition before their 19th birthday. Other surveys on this topic show comparable results. Independent of age, coming-out can potentially result in a difficult life crisis, sometimes leading to thoughts or acts of suicide. While homosexuals have created support networks in the last decades, sadomasochistic support networks are just starting to develop in most countries. In German-speaking countries they are only moderately more developed. The Internet is the prime contact point for support groups today, allowing for local and international networking. In the U.S., Kink Aware Professionals (KAP) a privately funded, non-profit service provides the community with referrals to psychotherapeutic, medical, and legal professionals who are knowledgeable about and sensitive to the BDSM, fetish, and leather community. In the U.S. and the U.K., the Woodhull Freedom Foundation & Federation, National Coalition for Sexual Freedom (NCSF) and Sexual Freedom Coalition (SFC) have emerged to represent the interests of sadomasochists. The German Bundesvereinigung Sadomasochismus is committed to the same aim of providing information and driving press relations. In 1996, the website and mailing list Datenschlag went online in German and English providing the largest bibliography, as well as one of the most extensive historical collections of sources related to BDSM.
Social (non-medical) research
Richters et al. (2008) found that people who engaged in BDSM were more likely to have experienced a wider range of sexual practices (e.g., oral or anal sex, more than one partner, group sex, phone sex, viewed pornography, used a sex toy, fisting, rimming, etc.). They were, however, not any more likely to have been coerced, unhappy, anxious, or experiencing sexual difficulties. On the contrary, men who had engaged in BDSM scored lower on a psychological distress scale than men who did not.
There have been few studies on the psychological aspects of BDSM using modern scientific standards. Psychotherapist Charles Moser has said there is no evidence for the theory that BDSM has common symptoms or any common psychopathology, emphasizing that there is no evidence that BDSM practitioners have any special psychiatric other problems based on their sexual preferences.
Problems sometimes occur with self-classification. During the phase of the "coming-out", self-questioning related to one's own "normality" is common. According to Moser, the discovery of BDSM preferences can result in fear of the current non-BDSM relationship's destruction. This, combined with the fear of discrimination in everyday life, leads in some cases to a double life which can be highly burdensome. At the same time, the denial of BDSM preferences can induce stress and dissatisfaction with one's own "vanilla"-lifestyle, feeding the apprehension of finding no partner. Moser states that BDSM practitioners having problems finding BDSM partners would probably have problems in finding a non-BDSM partner as well. The wish to remove BDSM preferences is another possible reason for psychological problems since it is not possible in most cases. Finally, the scientist states that BDSM practitioners seldom commit violent crimes. From his point of view, crimes of BDSM practitioners usually have no connection with the BDSM components existing in their life. Moser's study comes to the conclusion that there is no scientific evidence, which could give reason to refuse members of this group work- or safety certificates, adoption possibilities, custody or other social rights or privileges. The Swiss psychoanalyst Fritz Morgenthaler shares a similar perspective in his book, Homosexuality, Heterosexuality, Perversion (1988). He states that possible problems result not necessarily from the non-normative behavior, but in most cases primarily from the real or feared reactions of the social environment towards their own preferences. In 1940 psychoanalyst Theodor Reik reached implicitly the same conclusion in his standard work Aus Leiden Freuden. Masochismus und Gesellschaft.
Moser's results are further supported by a 2008 Australian study by Richters et al. on the demographic and psychosocial features of BDSM participants. The study found that BDSM practitioners were no more likely to have experienced sexual assault than the control group, and were not more likely to feel unhappy or anxious. The BDSM males reported higher levels of psychological well-being than the controls. It was concluded that "BDSM is simply a sexual interest or subculture attractive to a minority, not a pathological symptom of past abuse or difficulty with 'normal' sex."
Gender differences in research
Several recent studies have been conducted on the gender differences and personality traits of BDSM practitioners. Wismeijer and van Assen (2013) found that "the association of BDSM role and gender was strong and significant" with only 8% of women in the study being dominant compared to 75% being submissive.; Hébert and Weaver (2014) found that 9% of women in their study were dominant compared to 88% submissive; Weierstall1 and Giebel (2017) likewise found a significant difference, with 19% of women in the study as dominant compared to 74% as submissive, and a study from Andrea Duarte Silva (2015) indicated that 61.7% of females who are active in BDSM expressed a preference for a submissive role, 25.7% consider themselves a switch, while 12.6% prefer the dominant role. In contrast, 46.6% of men prefer the submissive role, 24% consider themselves to be switches and 29.5% prefer the dominant role. They concluded that "men more often display an engagement in dominant practices, whereas females take on the submissive part. This result is inline with a recent study about mate preferences that has shown that women have a generally higher preference for a dominant partner than men do (Giebel, Moran, Schawohl, & Weierstall, 2015). Women also prefer dominant men, and even men who are aggressive, for a short-term relationship and for the purpose of sexual intercourse (Giebel, Weierstall, Schauer, & Elbert, 2013)". Similarly, studies on sexual fantasy differences between men and women show the latter prefer submissive and passive fantasies over dominant and active ones, with rape and force being common.
Gender differences in masochistic scripts
One common belief of BDSM and kink is that women are more likely to take on masochistic roles than men. Roy Baumeister (2010) actually had more male masochists in his study than female, and fewer male dominants than female. The lack of statistical significance in these gender differences suggests that no assumptions should be made regarding gender and masochistic roles in BDSM. One explanation why we might think otherwise lies in our social and cultural ideals about femininity; masochism may emphasize certain stereotypically feminine elements through activities like feminization of men and ultra-feminine clothing for women. But such tendencies of the submissive masochistic role should not be interpreted as a connection between it and the stereotypical female role—many masochistic scripts do not include any of these tendencies.
Baumeister found that masochistic males experienced greater: severity of pain, frequency of humiliation (status-loss, degrading, oral), partner infidelity, active participation by other persons, and cross-dressing. Trends also suggested that male masochism included more bondage and oral sex than female (though the data was not significant). Female masochists, on the other hand, experienced greater: frequency in pain, pain as punishment for 'misdeeds' in the relationship context, display humiliation, genital intercourse, and presence of non-participating audiences. The exclusiveness of dominant males in a heterosexual relationship happens because, historically, men in power preferred multiple partners. Finally, Baumeister observes a contrast between the 'intense sensation' focus of male masochism to a more 'meaning and emotion' centred female masochistic script.
Prior argues that although some of these women may appear to be engaging in traditional subordinate or submissive roles, BDSM allows women in both dominant and submissive roles to express and experience personal power through their sexual identities. In a study that she conducted in 2013, she found that the majority of the women she interviewed identified as bottom, submissive, captive, or slave/sex slave. In turn, Prior was able to answer whether or not these women found an incongruity between their sexual identities and feminist identity. Her research found that these women saw little to no incongruity, and in fact felt that their feminist identity supported identities of submissive and slave. For them, these are sexually and emotionally fulfilling roles and identities that, in some cases, feed other aspects of their lives. Prior contends that third wave feminism provides a space for women in BDSM communities to express their sexual identities fully, even when those identities seem counter-intuitive to the ideals of feminism. Furthermore, women who do identify as submissive, sexually or otherwise, find a space within BDSM where they can fully express themselves as integrated, well-balanced, and powerful women.
Women in S/M culture
Levitt, Moser, and Jamison's 1994 study provides a general, if outdated, description of characteristics of women in the sadomasochistic (S/M) subculture. They state that women in S/M tend to have higher education, become more aware of their desires as young adults, are less likely to be married than the general population. The researchers found the majority of females identified as heterosexual and submissive, a substantial minority were versatile—able to switch between dominant and submissive roles—and a smaller minority identified with the dominant role exclusively. Oral sex, bondage and master-slave script were among the most popular activities, while feces/watersports were the least popular.
Orientation observances in research
BDSM is considered by some of its practitioners to be a sexual orientation. The BDSM and kink scene is more often seen as a diverse pansexual community. Often this is a non-judgmental community where gender, sexuality, orientation, preferences are accepted as is or worked at to become something a person can be happy with. In research, studies have focused on bisexuality and its parallels with BDSM, as well as gay-straight differences between practitioners.
Comparison between gay and straight men in S/M
Demographically, Nordling et al.'s (2006) study found no differences in age, but 43% of gay male respondents compared to 29% of straight males had university-level education. The gay men also had higher incomes than the general population and tended to work in white-collar jobs while straight men tended toward blue-collar ones. Because there were not enough female respondents (22), no conclusions could be drawn from them.
Sexually speaking, the same 2006 study by Nordling et al. found that gay males were aware of their S/M preferences and took part in them at an earlier age, preferring leather, anal sex, rimming, dildos and special equipment or uniform scenes. In contrast, straight men preferred verbal humiliation, mask and blindfolds, gags, rubber/latex outfits, caning, vaginal sex, straitjackets, and cross-dressing among other activities. From the questionnaire, researchers were able to identify four separate sexual themes: hyper-masculinity, giving and receiving pain, physical restriction (i.e. bondage), and psychological humiliation. Gay men preferred activities that tended towards hyper-masculinity while straight men showed greater preference for humiliation, significantly higher master/madame-slave role play at ≈84%. Though there were not enough female respondents to draw a similar conclusion with, the fact that there is a difference in gay and straight men suggests strongly that S/M (and BDSM in general) can not be considered a homogenous phenomenon. As Nordling et al. (2006) puts it, "People who identify as sadomasochists mean different things by these identifications." (54)
Bisexuality
In Steve Lenius' original 2001 paper, he explored the acceptance of bisexuality in a supposedly pansexual BDSM community. The reasoning behind this is that 'coming-out' had become primarily the territory of the gay and lesbian, with bisexuals feeling the push to be one or the other (and being right only half the time either way). What he found in 2001, was that people in BDSM were open to discussion about the topic of bisexuality and pansexuality and all controversies they bring to the table, but personal biases and issues stood in the way of actively using such labels. A decade later, Lenius (2011) looks back on his study and considers if anything has changed. He concluded that the standing of bisexuals in the BDSM and kink community was unchanged, and believed that positive shifts in attitude were moderated by society's changing views towards different sexualities and orientations. But Lenius (2011) does emphasize that the pansexual promoting BDSM community helped advance greater acceptance of alternative sexualities.
Brandy Lin Simula (2012), on the other hand, argues that BDSM actively resists gender-conforming and identified three different types of BDSM bisexuality: gender-switching, gender-based styles (taking on a different gendered style depending on the gender of partner when playing), and rejection of gender (resisting the idea that gender matters in their play partners). Simula (2012) explains that practitioners of BDSM routinely challenge our concepts of sexuality by pushing the limits on pre-existing ideas of sexual orientation and gender norms. For some, BDSM and kink provides a platform in creating identities that are fluid, ever-changing.
History of psychotherapy and current recommendations
Psychiatry has an insensitive history in the area of BDSM. There have been many involvements by institutions of political power to marginalize subgroups and sexual minorities. Mental health professionals have a long history of holding negative assumptions and stereotypes about the BDSM community. Beginning with the DSM-II, Sexual Sadism and Sexual Masochism have been listed as sexually deviant behaviours. Sadism and masochism were also found in the personality disorder section. This negative assumption has not changed significantly which is evident in the continued inclusion of Sexual Sadism and Sexual Masochism as paraphilias in the DSM-IV-TR. The DSM-V, however, has depathologized the language around paraphilias in a way that signifies "the APA's intent to not demand treatment for healthy consenting adult sexual expression". These biases and misinformation can result in pathologizing and unintentional harm to clients who identify as sadists and/or masochists and medical professionals who have been trained under older editions of the DSM can be slow to change in their ways of clinical practice.
According to Kolmes et al. (2006), major themes of biased and inadequate care to BDSM clients are:
Considering BDSM to be unhealthy
Requiring a client to give up BDSM activities in order to continue in treatment
Confusing BDSM with abuse
Having to educate the therapist about BDSM
Assuming that BDSM interests are indicative of past family/spousal abuse
Therapists misrepresenting their expertise by stating that they are BDSM-positive when they are not actually knowledgeable about BDSM practices
These same researchers suggested that therapists should be open to learning more about BDSM, to show comfort in talking about BDSM issues, and to understand and promote "safe, sane, consensual" BDSM.
There has also been research which suggests BDSM can be a beneficial way for victims of sexual assault to deal with their trauma, most notably by Corie Hammers, but this work is limited in scope and to date, has not undergone empirical testing as a treatment.
Clinical issues
Nichols (2006) compiled some common clinical issues: countertransference, non-disclosure, coming out, partner/families, and bleed-through.
Countertransference is a common problem in clinical settings. Despite having no evidence, therapists may find themselves believing that their client's pathology is "self-evident". Therapists may feel intense disgust and aversive reactions. Feelings of countertransference can interfere with therapy. Another common problem is when clients conceal their sexual preferences from their therapists. This can compromise any therapy. To avoid non-disclosure, therapists are encouraged to communicate their openness in indirect ways with literature and artworks in the waiting room. Therapists can also deliberately bring up BDSM topics during the course of therapy. With less informed therapists, sometimes they over-focus on clients' sexuality which detracts from original issues such as family relationships, depression, etc. A special subgroup that needs counselling is the "newbie". Individuals just coming out might have internalized shame, fear, and self-hatred about their sexual preferences. Therapists need to provide acceptance, care, and model positive attitude; providing reassurance, psychoeducation, and bibliotherapy for these clients is crucial. The average age when BDSM individuals realize their sexual preference is around 26 years. Many people hide their sexuality until they can no longer contain their desires. However, they may have married or had children by this point.
History
Origins
Practices of BDSM survive from some of the oldest textual records in the world, associated with rituals to the goddess Inanna (Ishtar in Akkadian). Cuneiform texts dedicated to Inanna which incorporate domination rituals. In particular, she points to ancient writings such as Inanna and Ebih (in which the goddess dominates Ebih), and Hymn to Inanna describing cross-dressing transformations and rituals "imbued with pain and ecstasy, bringing about initation and journeys of altered states of consciousness; punishment, moaning, ecstasy, lament and song, participants exhausting themselves in weeping and grief."
During the 9th century BC, ritual flagellations were performed in Artemis Orthia, one of the most important religious areas of ancient Sparta, where the Cult of Orthia, a pre-Olympic religion, was practiced. Here, ritual flagellation called diamastigosis took place, in which young adolescent men were whipped in a ceremony overseen by the priestess. These are referred to by a number of ancient authors, including Pausanius (III, 16: 10–11).
One of the oldest graphical proofs of sadomasochistic activities is found in the Etruscan Tomb of the Whipping near Tarquinia, which dates to the 5th century BC. Inside the tomb, there is a fresco which portrays two men who flagellate a woman with a cane and a hand during an erotic situation. Another reference related to flagellation is to be found in the sixth book of the Satires of the ancient Roman Poet Juvenal (1st–2nd century A.D.), further reference can be found in Petronius's Satyricon where a delinquent is whipped for sexual arousal. Anecdotal narratives related to humans who have had themselves voluntary bound, flagellated or whipped as a substitute for sex or as part of foreplay reach back to the 3rd and 4th century BC.
In Pompeii, a whip-mistress figure with wings is depicted on the wall of the Villa of Mysteries, as part of an initiation of a young woman into the Mysteries. The whip-mistress role drove the sacred initiation of ceremonial death and rebirth. The archaic Greek Aphrodite may too once have been armed with an implement, with archaeological evidence of armed Aphrodites known from a number of locations in Cythera, Acrocorinth and Sparta, and which may have been a whip.
The Kama Sutra of India describes four different kinds of hitting during lovemaking, the allowed regions of the human body to target and different kinds of joyful "cries of pain" practiced by bottoms. The collection of historic texts related to sensuous experiences explicitly emphasizes that impact play, biting and pinching during sexual activities should only be performed consensually since only some women consider such behavior to be joyful. From this perspective, the Kama Sutra can be considered one of the first written resources dealing with sadomasochistic activities and safety rules. Further texts with sadomasochistic connotation appear worldwide during the following centuries on a regular basis.
There are anecdotal reports of people willingly being bound or whipped, as a prelude to or substitute for sex, during the 14th century. The medieval phenomenon of courtly love in all of its slavish devotion and ambivalence has been suggested by some writers to be a precursor of BDSM. Some sources claim that BDSM as a distinct form of sexual behavior originated at the beginning of the 18th century when Western civilization began medically and legally categorizing sexual behavior (see Etymology).
Flagellation practiced within an erotic setting has been recorded from at least the 1590s evidenced by a John Davies epigram, and references to "flogging schools" in Thomas Shadwell's The Virtuoso (1676) and Tim Tell-Troth's Knavery of Astrology (1680). Visual evidence such as mezzotints and print media is also identified revealing scenes of flagellation, such as "The Cully Flaug'd" from the British Museum collection.
John Cleland's novel Fanny Hill, published in 1749, incorporates a flagellation scene between the character's protagonist Fanny Hill and Mr Barville. A large number of flagellation publications followed, including Fashionable Lectures: Composed and Delivered with Birch Discipline (), promoting the names of women offering the service in a lecture room with rods and cat o' nine tails.
Other sources give a broader definition, citing BDSM-like behavior in earlier times and other cultures, such as the medieval flagellates and the physical ordeal rituals of some Native American societies.
BDSM ideas and imagery have existed on the fringes of Western culture throughout the 20th century. Robert Bienvenu attributes the origins of modern BDSM to three sources, which he names as "European Fetish" (from 1928), "American Fetish" (from 1934), and "Gay Leather" (from 1950). Another source are the sexual games played in brothels, which go back to the 19th century, if not earlier. Charles Guyette was the first American to produce and distribute fetish related material (costumes, footwear, photography, props and accessories) in the U.S. His successor, Irving Klaw, produced commercial sexploitation film and photography with a BDSM theme (most notably with Bettie Page) and issued fetish comics (known then as "chapter serials") by the now-iconic artists John Willie, Gene Bilbrew, and Eric Stanton.
Stanton's model Bettie Page became at the same time one of the first successful models in the area of fetish photography and one of the most famous pin-up girls of American mainstream culture. Italian author and designer Guido Crepax was deeply influenced by him, coining the style and development of European adult comics in the second half of the 20th century. The artists Helmut Newton and Robert Mapplethorpe are the most prominent examples of the increasing use of BDSM-related motives in modern photography and the public discussions still resulting from this.
Alfred Binet first coined the term erotic fetishism in his 1887 book, Du fétichisme dans l'amour Richard von Krafft-Ebing saw BDSM interests as the end of a continuum.
Leather movement
Leather has been a predominantly gay male term to refer to one fetish, but it can stand for many more. Members of the gay male leather community may wear leathers such as motorcycle leathers, or may be attracted to men wearing leather. Leather and BDSM are seen as two parts of one whole. Much of the BDSM culture can be traced back to the gay male leather culture, which formalized itself out of the group of men who were soldiers returning home after World War II (1939–1945). World War II was the setting where countless homosexual men and women tasted the life among homosexual peers. Post-war, homosexual individuals congregated in larger cities such as New York, Chicago, San Francisco, and Los Angeles. They formed leather clubs and bike clubs; some were fraternal services. The establishment of Mr. Leather Contest and Mr. Drummer Contest were made around this time. This was the genesis of the gay male leather community. Many of the members were attracted to extreme forms of sexuality, for which peak expression was in the pre-AIDS 1970s. This subculture is epitomized by the Leatherman's Handbook by Larry Townsend, published in 1972, which describes in detail the practices and culture of gay male sadomasochists in the late 1960s and early 1970s.
In the early 1980s, lesbians also joined the leathermen as a recognizable element of the gay leather community. They also formed leather clubs, but there were some gender differences, such as the absence of leatherwomen's bars. In 1981, the publication of Coming to Power by lesbian-feminist group Samois led to a greater knowledge and acceptance of BDSM in the lesbian community. By the 1990s, the gay men's and women's leather communities were no longer underground and played an important role in the kink community.
Today, the leather movement is generally seen as a part of the BDSM-culture instead of as a development deriving from gay subculture, even if a huge part of the BDSM-subculture was gay in the past. In the 1990s, the so-called New Guard leather subculture evolved. This new orientation started to integrate psychological aspects into their play.
The San Francisco South of Market Leather History Alley consists of four works of art along Ringold Alley honoring leather culture; it opened in 2017. One of the works of art is metal bootprints along the curb which honor 28 people (including Steve McEachern, owner of the Catacombs, a gay and lesbian S/M fisting club, and Cynthia Slater, a founder of the Society of Janus, the second oldest BDSM organization in the United States) who were an important part of the leather communities of San Francisco.
Internet
In the late 1980s, the Internet provided a way of finding people with specialized interests around the world as well as on a local level, and communicating with them anonymously. This brought about an explosion of interest and knowledge of BDSM, particularly on the usenet group alt.sex.bondage. When that group became too cluttered with spam, the focus moved to soc.subculture.bondage-bdsm. With an increased focus on forms of social media, FetLife was formed, which advertises itself as "a social network for the BDSM and fetish community". It operates similarly to other social media sites, with the ability to make friends with other users, events, and pages of shared interests.
In addition to traditional sex shops, which sell sex paraphernalia, there has also been an explosive growth of online adult toy companies that specialize in leather/latex gear and BDSM toys. Once a very niche market, there are now very few sex toy companies that do not offer some sort of BDSM or fetish gear in their catalog. Kinky elements seem to have worked their way into "vanilla" markets. The former niche expanded to an important pillar of the business with adult accessories. Today practically all suppliers of sex toys do offer items which originally found usage in the BDSM subculture. Padded handcuffs, latex and leather garments, as well as more exotic items like soft whips for fondling and TENS for erotic electro stimulation, can be found in catalogs aiming at classical vanilla target groups, indicating that former boundaries increasingly seem to shift.
During the last years, the Internet also provides a central platform for networking among individuals who are interested in the subject. Besides countless private and commercial choices, there is an increasing number of local networks and support groups emerging. These groups often offer comprehensive background and health-related information for people who have been unwillingly outed as well as contact lists with information on psychologists, physicians and lawyers who are familiar with BDSM related topics.
University clubs
Increasingly, American universities are witnessing BDSM and kink education by providing student clubs, such as Columbia University's Conversio Virium and Iowa State University's Cuffs. University BDSM clubs are also found in the U.K., Canada, Belgium, and Taiwan.
Some American universities—such as Indiana University and Michigan State University—have professors who research and teach classes on BDSM.
Legal status
Austria
Section 90 of the Austrian criminal code declares bodily injury (Sections 83–84) or the endangerment of physical security (Section 89) to not be subject to penalty in cases in which the victim has consented and the injury or endangerment does not offend moral sensibilities. Case law from the Austrian Supreme Court has consistently shown that bodily injury is only offensive to moral sensibilities, thus it is only punishable when a "serious injury" (damage to health or an employment disability lasting more than 24 days) or the death of the "victim" results. A light injury is generally considered permissible when the "victim" has consented to it. In cases of threats to bodily well being the standard depends on the probability that an injury will actually occur. If serious injury or even death would be a likely result of a threat being carried out, then even the threat itself is considered punishable.
Canada
In 2004, a judge in Canada ruled that videos seized by the police featuring BDSM activities were not obscene and did not constitute violence, but a "normal and acceptable" sexual activity between two consenting adults.
In 2011, the Supreme Court of Canada ruled in R. v. J.A. that a person must have an active mind during the specific sexual activity in order to legally consent. The Court ruled that it is a criminal offence to perform a sexual act on an unconscious person—whether or not that person consented in advance.
Germany
According to Section 194 of the German criminal code, the charge of insult (slander) can only be prosecuted if the defamed person chooses to press charges. False imprisonment can be charged if the victim—when applying an objective view—can be considered to be impaired in their rights of free movement. According to Section 228, a person inflicting a bodily injury on another person with that person's permission violates the law only in cases where the act can be considered to have violated good morals in spite of permission having been given. On 26 May 2004, the Criminal Panel No. 2 of the Bundesgerichtshof (German Federal Court) ruled that sado-masochistically motivated physical injuries are not per se indecent and thus subject to Section 228.
Following cases in which sado-masochistic practices had been repeatedly used as pressure tactics against former partners in custody cases, the Appeals Court of Hamm ruled in February 2006 that sexual inclinations toward sado-masochism are no indication of a lack of capabilities for successful child-raising.
Italy
In Italian law, BDSM is right on the border between crime and legality, and everything lies in the interpretation of the legal code by the judge. This concept is that anyone willingly causing "injury" to another person is to be punished. In this context, though, "injury" is legally defined as "anything causing a condition of illness", and "illness" is ill-defined itself in two different legal ways. The first is "any anatomical or functional alteration of the organism" (thus technically including little scratches and bruises too); the second is "a significant worsening of a previous condition relevant to organic and relational processes, requiring any kind of therapy". This could make it somewhat risky to play with someone, as later the "victim" may call foul play citing even an insignificant mark as evidence against the partner. Also, any injury requiring over 20 days of medical care must be denounced by the professional medic who discovers it, leading to automatic indictment of the person who caused it.
Nordic countries
In September 2010, a Swedish court acquitted a 32-year-old man of assault for engaging in consensual BDSM play with a 16-year-old girl (the age of consent in Sweden is 15). Norway's legal system has likewise taken a similar position, that safe and consensual BDSM play should not be subject to criminal prosecution. This parallels the stance of the mental health professions in the Nordic countries which have removed sadomasochism from their respective lists of psychiatric illnesses.
Switzerland
The age of consent in Switzerland is 16 years, which also applies to BDSM play. Minors (i.e., those under 16) are not subject to punishment for BDSM play as long as the age difference between them is less than three years. Certain practices, however, require granting consent for light injuries, with only those over 18 permitted to give consent. On 1 April 2002, Articles 135 and 197 of the Swiss Criminal Code were tightened to make ownership of "objects or demonstrations [...] which depict sexual acts with violent content" a punishable offense. This law amounts to a general criminalization of sado-masochism since nearly every sado-masochist will have some kind of media that fulfills this criterion. Critics also object to the wording of the law which puts sado-masochists in the same category as pedophiles and pederasts.
United Kingdom
In British law, consent is an absolute defense to common assault, but not necessarily to actual bodily harm, where courts may decide that consent is not valid, as occurred in the case of R v Brown. Accordingly, consensual activities in the U.K. may not constitute "assault occasioning actual or grievous bodily harm" in law. The Spanner Trust states that this is defined as activities which have caused injury "of a lasting nature" but that only a slight duration or injury might be considered "lasting" in law. The decision contrasts with the later case of R v Wilson in which conviction for non-sexual consensual branding within a marriage was overturned, the appeal court ruling that R v Brown was not an authority in all cases of consensual injury and criticizing the decision to prosecute.
Following Operation Spanner, the European Court of Human Rights ruled in January 1999 in Laskey, Jaggard and Brown v. United Kingdom that no violation of Article 8 occurred because the amount of physical or psychological harm that the law allows between any two people, even consenting adults, is to be determined by the jurisdiction the individuals live in, as it is the State's responsibility to balance the concerns of public health and well-being with the amount of control a State should be allowed to exercise over its citizens. In the Criminal Justice and Immigration Bill 2007, the British Government cited the Spanner case as justification for criminalizing images of consensual acts, as part of its proposed criminalization of possession of "extreme pornography". Another contrasting case was that of Stephen Lock in 2013, who was cleared of actual bodily harm on the grounds that the woman consented. In this case, the act was deemed to be sexual.
United States
The United States Federal law does not list a specific criminal determination for consensual BDSM acts. Many BDSM practitioners cite the legal decision of People v. Jovanovic, 95 N.Y.2d 846 (2000), or the "Cybersex Torture Case", which was the first U.S. appellate decision to hold (in effect) that one does not commit assault if the victim consents. However, many individual states do criminalize specific BDSM actions within their state borders. Some states specifically address the idea of "consent to BDSM acts" within their assault laws, such as the state of New Jersey, which defines "simple assault" to be "a disorderly persons offense unless committed in a fight or scuffle entered into by mutual consent, in which case it is a petty disorderly persons offense".
Oregon Ballot Measure 9 was a ballot measure in the U.S. state of Oregon in 1992, concerning sadism, masochism, gay rights, pedophilia, and public education, that drew widespread national attention. It would have added the following text to the Oregon Constitution:
It was defeated in the 3 November 1992 general election with 638,527 votes in favor, 828,290 votes against.
The National Coalition for Sexual Freedom collects reports about punishment for sexual activities engaged in by consenting adults, and about its use in child custody cases.
Cultural aspects
Today, the BDSM culture exists in most Western countries. This offers BDSM practitioners the opportunity to discuss BDSM relevant topics and problems with like-minded people. This culture is often viewed as a subculture, mainly because BDSM is often still regarded as "unusual" by some of the public. Many people hide their leaning from society since they are afraid of the incomprehension and of social exclusion.
In contrast to frameworks seeking to explain sadomasochism through psychological, psychoanalytic, medical or forensic approaches, which seek to categorize behaviour and desires and find a root "cause", Romana Byrne suggests that such practices can be seen as examples of "aesthetic sexuality", in which a founding physiological or psychological impulse is irrelevant. Rather, sadism and masochism may be practiced through choice and deliberation, driven by certain aesthetic goals tied to style, pleasure, and identity. These practices, in certain circumstances and contexts, can be compared with the creation of art.
Symbols
One of the most commonly used symbols of the BDSM community is a derivation of a triskelion shape within a circle. Various forms of triskele have had many uses and many meanings in many cultures; its BDSM usage derives from the Ring of O in the classic book Story of O. The BDSM Emblem Project claims copyright over one particular specified form of the triskelion symbol; other variants of the triskelion are free from such copyright claims.
The leather pride flag is a symbol for the leather subculture and also widely used within BDSM. In continental Europe, the Ring of O is widespread among BDSM practitioners.
The triskelion as a BDSM symbol can easily be perceived as the three separate parts of the acronym BDSM; which are BD, DS, and SM (Bondage & Discipline, Dominance & Submission, Sadism & Masochism). They are three separate items, that are normally associated together.
The BDSM rights flag, shown to the right, is intended to represent the belief that people whose sexuality or relationship preferences include BDSM practises deserve the same human rights as everyone else, and should not be discriminated against for pursuing BDSM with consenting adults.
The flag is inspired by the leather pride flag and BDSM emblem but is specifically intended to represent the concept of BDSM rights and to be without the other symbols' restrictions against commercial use. It is designed to be recognizable by people familiar with either the leather pride flag or BDSM triskelion (or triskele) as "something to do with BDSM"; and to be distinctive whether reproduced in full colour, or in black and white (or another pair of colours).
BDSM and fetish items and styles have been spread widely in Western societies' everyday life by different factors, such as avant-garde fashion, heavy metal, goth subculture, and science fiction TV series, and are often not consciously connected with their BDSM roots by many people. While it was mainly confined to the punk and BDSM subcultures in the 1990s, it has since spread into wider parts of Western societies.
Film and music
In music: the Romanian singer-songwriter Navi featured BDSM and Shibari scenes in her music video "Picture Perfect" (2014). The video was banned in Romania for its explicit content. In 2010, Rihanna's song "S&M" and Christina Aguilera's single "Not Myself Tonight" appeared, both full of BDSM imagery.
In movies: While BDSM activity appeared initially in subtle form, in the 1960s famous works of literature like Story of O and Venus in Furs were filmed explicitly. With the release of the 1986 film 9½ Weeks, the topic of BDSM was transferred to mainstream cinema. From the 1990s, cinematic representation of alternative sexualities, including BDSM, increased dramatically, as seen in documentary productions such as Graphic Sexual Horror (a 2009 film based on the website Insex), Kink (a 2013 film based on the website Kink.com), and movies such as Fifty Shades of Grey (2015) and its two sequels Fifty Shades Darker (2017) and Fifty Shades Freed (2018).
However, mistakenly considered in mainstream society as having BDSM activities that are, rather, abusive are the movies Fifty Shades of Grey (2015) and its two sequels Fifty Shades Darker (2017) and Fifty Shades Freed (2018). "A lot of what happens in the main relationship of Fifty Shades of Grey is domestic abuse, both physical and emotional, and for people whose entire understanding of BDSM now comes from jiggle balls and rooms of pain this is a dangerous misconception to foster."
Theater
Although it would be possible to establish certain elements related to BDSM in classical theater, not until the emergence of contemporary theater would some plays have BDSM as the main theme. Exemplifying this are two works: one Austrian, one German, in which BDSM is not only incorporated but integral to the storyline of the play.
Worauf sich Körper kaprizieren, Austria. Peter Kern directed and wrote the script for this comedy which is a present-day adaption of Jean Genet's 1950 film, . It is about a marriage in which the wife (film veteran Miriam Goldschmidt) submits her husband (Heinrich Herkie) and the butler (Günter Bubbnik) to her sadistic treatment until two new characters take their places.
Ach, Hilde (Oh, Hilda), Germany. This play by Anna Schwemmer premiered in Berlin. A young Hilde becomes pregnant, and after being abandoned by her boyfriend she decides to become a professional dominatrix to earn money. The play carefully crafts a playful and frivolous picture of the field of professional dominatrices.
Literature
Although examples of literature catering to BDSM and fetishistic tastes were created in earlier periods, BDSM literature as it exists today cannot be found much earlier than World War II.
The word sadism originates from the works of Donatien Alphonse François, Marquis de Sade, and the word masochism originates from Leopold von Sacher-Masoch, the author of Venus in Furs. However, it is worth noting that the Marquis de Sade describes non-consensual abuse in his works, such as in Justine. Venus in Furs describes a consensual dom-sub relationship.
A central work in modern BDSM literature is undoubtedly Story of O (1954) by Anne Desclos under the pseudonym Pauline Réage.
Other notable works include 9½ Weeks (1978) by Elizabeth McNeill, some works of the writer Anne Rice (Exit to Eden, and her Claiming of Sleeping Beauty series of books), Jeanne de Berg (L'Image (1956) dedicated to Pauline Réage), the Gor series by John Norman, and naturally all the works of Patrick Califia, Gloria Brame, the group Samois and many of the writer Georges Bataille (Histoire de l'oeil-Story of the Eye, Madame Edwarda, 1937), as well as those of Bob Flanagan (Slave Sonnets (1986), Fuck Journal (1987), A Taste of Honey (1990)). A common part of many of the poems of Pablo Neruda is a reflection on feelings and sensations arising from the relations of EPE or erotic exchange of power. The Fifty Shades trilogy is a series of very popular erotic romance novels by E. L. James which involves BDSM; however, the novels have been criticized for their inaccurate and harmful depiction of BDSM.
In the 21st century, a number of prestigious university presses, such as Duke University, Indiana University and University of Chicago, have published books on BDSM written by professors, thereby lending academic legitimacy to this once taboo topic.
Art
In photography: Eric Kroll and Irving Klaw (with Bettie Page, the first well-known bondage model), and Japanese photographer Araki Nobuyoshi, whose works are exhibited in several major art museums, galleries and private collections, such as the Baroness Marion Lambert, the world's largest holder of contemporary photographic art. Also Robert Mapplethorpe, whose most controversial work is that of the underground BDSM scene in the late 1960s and early 1970s of New York. The homoeroticism of this work fuelled a national debate over the public funding of controversial artwork.
Comic book drawings: Guido Crepax with Histoire d'O (1975), Justine (1979) and Venere in Pelliccia (1984); inspired by the work of Pauline Réage, the Marquis de Sade and Leopold von Sacher-Masoch. John Willie and The Adventures of Sweet Gwendoline (1984) which was the basis for the film The Perils of Gwendoline in the Land of the Yik-Yak. The Sunstone/Mercy (2011-ongoing) books by Stjepan Sejic have become very popular and are found in many conventional bookstores around the world.
In graphic design: Eric Stanton and his work on dominance and female bondage, as well as Hajime Sorayama and Robert Bishop.
In art deco sculpture: Bruno Zach produced perhaps his best known sculpture—called "The Riding Crop" ()—which features a scantily clad dominatrix wielding a riding crop.
See also
Autosadism
Dominance hierarchy
Index of BDSM articles
Glossary of BDSM
List of BDSM equipment
List of BDSM organizations
List of bondage positions
Leather subculture
Outline of BDSM
Vulnerability and care theory of love
References
Further reading
Baldwin, Guy. Ties That Bind: SM/Leather/Fetish Erotic Style: Issues, Communication, and Advice, Daedalus Publishing, 1993. .
Brame, Gloria G., Brame, William D., and Jacobs, Jon. Different Loving: An Exploration of the World of Sexual Dominance and Submission Villard Books, New York, 1993.
Brame, Gloria. Come Hither: A Commonsense Guide to Kinky Sex, Fireside, 2000. .
Califia, Pat. Sensuous Magic. New York, Masquerade Books, 1993.
Dollie Llama. Diary of an S&M Romance., PEEP! Press (California), 2006,
Henkin, Wiliiam A., Sybil Holiday. Consensual Sadomasochism: How to Talk About It and How to Do It Safely, Daedalus Publishing, 1996. .
Janus, Samuel S., and Janus, Cynthia L. The Janus Report on Sexual Behavior, John Wiley & Sons, 1994.
Masters, Peter. This Curious Human Phenomenon: An Exploration of Some Uncommonly Explored Aspects of BDSM. The Nazca Plains Corporation, 2008.
Phillips, Anita. A Defence of Masochism, Faber and Faber, new edition 1999.
Newmahr, Staci (2011). Playing on the Edge: Sadomasochism, Risk and Intimacy. Bloomington: Indiana University Press. .
Nomis, Anne O. (2013) The History & Arts of the Dominatrix Mary Egan Publishing & Anna Nomis Ltd, U.K.
Rinella, Jack. The Complete Slave: Creating and Living an Erotic Dominant/submissive Lifestyle, Daedalus Publishing, 2002. .
Saez, Fernando y Viñuales, Olga, Armarios de Cuero, Ed. Bellaterra, 2007.
Larry Townsend. Leatherman's Handbook, first edition 1972 (this was the first book to publicize BDSM to the general public—it was a paperback book widely available on newsstands and at bookstores throughout the United States)
Wiseman, Jay. SM 101: A Realistic Introduction (1st ed., 1992); 2nd ed. Greenery Press, 2000.
Byrne, Romana (2013) Aesthetic Sexuality: A Literary History of Sadomasochism , New York: Bloomsbury.
Dominari, Rajan (2019). Welcome to the Darkside: A BDSM Primer. AKO Publishing Company. .
External links
"Pain and the erotic" by Lesley Hall (archived 17 December 2008)
Spoken articles
Control (social and political)
Sexual acts | 15 |
Bash is a Unix shell and command language written by Brian Fox for the GNU Project as a free software replacement for the Bourne shell. First released in 1989, it has been used as the default login shell for most Linux distributions. Bash was one of the first programs Linus Torvalds ported to Linux, alongside GCC. A version is also available for Windows 10 and Windows 11 via the Windows Subsystem for Linux. It is also the default user shell in Solaris 11. Bash was also the default shell in versions of Apple macOS from 10.3 (originally, the default shell was tcsh) to 10.15 (macOS Catalina), which changed the default shell to zsh, although Bash remains available as an alternative shell.
Bash is a command processor that typically runs in a text window where the user types commands that cause actions. Bash can also read and execute commands from a file, called a shell script. Like most Unix shells, it supports filename globbing (wildcard matching), piping, here documents, command substitution, variables, and control structures for condition-testing and iteration. The keywords, syntax, dynamically scoped variables and other basic features of the language are all copied from sh. Other features, e.g., history, are copied from csh and ksh. Bash is a POSIX-compliant shell, but with a number of extensions.
The shell's name is an acronym for Bourne Again Shell, a pun on the name of the Bourne shell that it replaces and the notion of being "born again".
A security hole in Bash dating from version 1.03 (August 1989), dubbed Shellshock, was discovered in early September 2014 and quickly led to a range of attacks across the Internet. Patches to fix the bugs were made available soon after the bugs were identified.
History
Brian Fox began coding Bash on January 10, 1988, after Richard Stallman became dissatisfied with the lack of progress being made by a prior developer. Stallman and the Free Software Foundation (FSF) considered a free shell that could run existing shell scripts so strategic to a completely free system built from BSD and GNU code that this was one of the few projects they funded themselves, with Fox undertaking the work as an employee of FSF. Fox released Bash as a beta, version .99, on June 8, 1989, and remained the primary maintainer until sometime between mid-1992 and mid-1994, when he was laid off from FSF and his responsibility was transitioned to another early contributor, Chet Ramey.
Since then, Bash has become by far the most popular shell among users of Linux, becoming the default interactive shell on that operating system's various distributions (although Almquist shell may be the default scripting shell) and on Apple's macOS releases before Catalina in October 2019. Bash has also been ported to Microsoft Windows and distributed with Cygwin and MinGW, to DOS by the DJGPP project, to Novell NetWare, to OpenVMS by the GNV project, to ArcaOS, and to Android via various terminal emulation applications.
In September 2014, Stéphane Chazelas, a Unix/Linux specialist, discovered a security bug in the program. The bug, first disclosed on September 24, was named Shellshock and assigned the numbers . The bug was regarded as severe, since CGI scripts using Bash could be vulnerable, enabling arbitrary code execution. The bug was related to how Bash passes function definitions to subshells through environment variables.
Features
The Bash command syntax is a superset of the Bourne shell command syntax. Bash supports brace expansion, command line completion (Programmable Completion), basic debugging and signal handling (using trap) since bash 2.05a among other features. Bash can execute the vast majority of Bourne shell scripts without modification, with the exception of Bourne shell scripts stumbling into fringe syntax behavior interpreted differently in Bash or attempting to run a system command matching a newer Bash builtin, etc. Bash command syntax includes ideas drawn from the KornShell (ksh) and the C shell (csh) such as command line editing, command history (history command), the directory stack, the $RANDOM and $PPID variables, and POSIX command substitution syntax $(…).
When a user presses the tab key within an interactive command-shell, Bash automatically uses command line completion, since beta version 2.04, to match partly typed program names, filenames and variable names. The Bash command-line completion system is very flexible and customizable, and is often packaged with functions that complete arguments and filenames for specific programs and tasks.
Bash's syntax has many extensions lacking in the Bourne shell. Bash can perform integer calculations ("arithmetic evaluation") without spawning external processes. It uses the ((…)) command and the $((…)) variable syntax for this purpose. Its syntax simplifies I/O redirection. For example, it can redirect standard output (stdout) and standard error (stderr) at the same time using the &> operator. This is simpler to type than the Bourne shell equivalent 'command > file 2>&1'. Bash supports process substitution using the <(command) and >(command)syntax, which substitutes the output of (or input to) a command where a filename is normally used. (This is implemented through /proc/fd/ unnamed pipes on systems that support that, or via temporary named pipes where necessary).
When using the 'function' keyword, Bash function declarations are not compatible with Bourne/Korn/POSIX scripts (the KornShell has the same problem when using 'function'), but Bash accepts the same function declaration syntax as the Bourne and Korn shells, and is POSIX-conformant. Because of these and other differences, Bash shell scripts are rarely runnable under the Bourne or Korn shell interpreters unless deliberately written with that compatibility in mind, which is becoming less common as Linux becomes more widespread. But in POSIX mode, Bash conforms with POSIX more closely.
Bash supports here documents. Since version 2.05b Bash can redirect standard input (stdin) from a "here string" using the <<< operator.
Bash 3.0 supports in-process regular expression matching using a syntax reminiscent of Perl.
In February 2009, Bash 4.0 introduced support for associative arrays.
Associative array indices are strings, in a manner similar to AWK or Tcl. They can be used to emulate multidimensional arrays. Bash 4 also switches its license to GPL-3.0-or-later; some users suspect this licensing change is why MacOS continues to use older versions. Apple finally stopped using Bash in its operating systems as default shell with the release of MacOS Catalina in 2019.
Brace expansion
Brace expansion, also called alternation, is a feature copied from the C shell. It generates a set of alternative combinations. Generated results need not exist as files. The results of each expanded string are not sorted and left to right order is preserved:
$ echo a{p,c,d,b}e
ape ace ade abe
$ echo {a,b,c}{d,e,f}
ad ae af bd be bf cd ce cf
Users should not use brace expansions in portable shell scripts, because the Bourne shell does not produce the same output.
$ # bash shell
$/bin/bash -c 'echo a{p,c,d,b}e'
ape ace ade abe
$ # A traditional shell does not produce the same output
$ /bin/sh -c 'echo a{p,c,d,b}e'
a{p,c,d,b}e
When brace expansion is combined with wildcards, the braces are expanded first, and then the resulting wildcards are substituted normally. Hence, a listing of JPEG and PNG images in the current directory could be obtained using:
ls *.{jpg,jpeg,png} # expands to *.jpg *.jpeg *.png - after which,
# the wildcards are processed
echo *.{png,jp{e,}g} # echo just shows the expansions -
# and braces in braces are possible.
In addition to alternation, brace expansion can be used for sequential ranges between two integers or characters separated by double dots. Newer versions of Bash allow a third integer to specify the increment.
$ echo {1..10}
1 2 3 4 5 6 7 8 9 10
$ echo {01..10}
01 02 03 04 05 06 07 08 09 10
$ echo file{1..4}.txt
file1.txt file2.txt file3.txt file4.txt
$ echo {a..e}
a b c d e
$ echo {1..10..3}
1 4 7 10
$ echo {a..j..3}
a d g j
When brace expansion is combined with variable expansion (A.K.A. parameter expansion and parameter substitution) the variable expansion is performed after the brace expansion, which in some cases may necessitate the use of the eval built-in, thus:
$ start=1; end=10
$ echo {$start..$end} # fails to expand due to the evaluation order
{1..10}
$ eval echo {$start..$end} # variable expansion occurs then resulting string is evaluated
1 2 3 4 5 6 7 8 9 10
Startup scripts
When Bash starts, it executes the commands in a variety of dot files. Unlike Bash shell scripts, dot files do not typically have execute permission enabled nor an interpreter directive like #!/bin/bash.
Legacy-compatible Bash startup example
The skeleton ~/.bash_profile below is compatible with the Bourne shell and gives semantics similar to csh for the ~/.bashrc and ~/.bash_login. The [ -r filename ] && cmd is a short-circuit evaluation that tests if filename exists and is readable, skipping the part after the && if it is not.
[ -r ~/.profile ] && . ~/.profile # set up environment, once, Bourne-sh syntax only
if [ -n "$PS1" ] ; then # are we interactive?
[ -r ~/.bashrc ] && . ~/.bashrc # tty/prompt/function setup for interactive shells
[ -r ~/.bash_login ] && . ~/.bash_login # any at-login tasks for login shell only
fi # End of "if" block
Operating system issues in Bash startup
Some versions of Unix and Linux contain Bash system startup scripts, generally under the /etc directories. Bash calls these as part of its standard initialization, but other startup files can read them in a different order than the documented Bash startup sequence. The default content of the root user's files may also have issues, as well as the skeleton files the system provides to new user accounts upon setup. The startup scripts that launch the X window system may also do surprising things with the user's Bash startup scripts in an attempt to set up user-environment variables before launching the window manager. These issues can often be addressed using a ~/.xsession or ~/.xprofile file to read the ~/.profile — which provides the environment variables that Bash shell windows spawned from the window manager need, such as xterm or Gnome Terminal.
Portability
Invoking Bash with the --posix option or stating set -o posix in a script causes Bash to conform very closely to the POSIX 1003.2 standard. Bash shell scripts intended for portability should take into account at least the POSIX shell standard. Some bash features not found in POSIX are:
Certain extended invocation options
Brace expansion
Arrays and associative arrays
The double bracket extended test construct and its regex matching
The double-parentheses arithmetic-evaluation construct (only ; is POSIX)
Certain string-manipulation operations in parameter expansion
for scoped variables
Process substitution
Bash-specific builtins
Coprocesses
$EPOCHSECONDS and $EPOCHREALTIME variables
If a piece of code uses such a feature, it is called a "bashism" – a problem for portable use. Debian's and Vidar Holen's can be used to make sure that a script does not contain these parts. The list varies depending on the actual target shell: Debian's policy allows some extensions in their scripts (as they are in the dash shell), while a script intending to support pre-POSIX Bourne shells, like autoconf's , are even more limited in the features they can use.
Keyboard shortcuts
Bash uses GNU Readline to provide keyboard shortcuts for command line editing using the default (Emacs) key bindings. Vi-bindings can be enabled by running set -o vi.
Process management
The Bash shell has two modes of execution for commands: batch, and concurrent mode.
To execute commands in batch (i.e., in sequence) they must be separated by the character ";", or on separate lines:
command1; command2
in this example, when command1 is finished, command2 is executed.
A background execution of command1 can occur using (symbol &) at the end of an execution command, and process will be executed in background returning immediately control to the shell and allowing continued execution of commands.
command1 &
Or to have a concurrent execution of two command1 and command2, they must be executed in the Bash shell in the following way:
command1 & command2
In this case command1 is executed in the background & symbol, returning immediately control to the shell that executes command2 in the foreground.
A process can be stopped and control returned to bash by typing while the process is running in the foreground.
A list of all processes, both in the background and stopped, can be achieved by running jobs:
$ jobs
[1]- Running command1 &
[2]+ Stopped command2
In the output, the number in brackets refers to the job id. The plus sign signifies the default process for bg and fg. The text "Running" and "Stopped" refer to the process state. The last string is the command that started the process.
The state of a process can be changed using various commands. The fg command brings a process to the foreground, while bg sets a stopped process running in the background. bg and fg can take a job id as their first argument, to specify the process to act on. Without one, they use the default process, identified by a plus sign in the output of jobs. The kill command can be used to end a process prematurely, by sending it a signal. The job id must be specified after a percent sign:
kill %1
Conditional execution
Bash supplies "conditional execution" command separators that make execution of a command contingent on the exit code set by a precedent command. For example:
cd "$SOMEWHERE" && ./do_something || echo "An error occurred" >&2
Where ./do_something is only executed if the cd (change directory) command was "successful" (returned an exit status of zero) and the echo command would only be executed if either the cd or the ./do_something command return an "error" (non-zero exit status).
For all commands the exit status is stored in the special variable $?. Bash also supports and forms of conditional command evaluation.
Bug reporting
An external command called bashbug reports Bash shell bugs. When the command is invoked, it brings up the user's default editor with a form to fill in. The form is mailed to the Bash maintainers (or optionally to other email addresses).
Programmable completion
Bash supports programmable completion via built-in complete, , and compgen commands. The feature has been available since the beta version of 2.04 released in 2000. These commands enable complex and intelligent completion specification for commands (i.e. installed programs), functions, variables, and filenames.
The complete and two commands specify how arguments of some available commands or options are going to be listed in the readline input. As of version 5.1 completion of the command or the option is usually activated by the keystroke after typing its name.
Release history
See also
Comparison of command shells
References
External links
(interview with GNU Bash's maintainer, Chet Ramey)
1989 software
Cross-platform free software
Domain-specific programming languages
Dynamically scoped programming languages
Free software programmed in C
GNU Project software
Scripting languages
Text-oriented programming languages
Unix shells | 9 |
A blizzard is a severe snowstorm characterized by strong sustained winds and low visibility, lasting for a prolonged period of time—typically at least three or four hours. A ground blizzard is a weather condition where snow is not falling but loose snow on the ground is lifted and blown by strong winds. Blizzards can have an immense size and usually stretch to hundreds or thousands of kilometres.
Definition and etymology
In the United States, the National Weather Service defines a blizzard as a severe snow storm characterized by strong winds causing blowing snow that results in low visibilities. The difference between a blizzard and a snowstorm is the strength of the wind, not the amount of snow. To be a blizzard, a snow storm must have sustained winds or frequent gusts that are greater than or equal to with blowing or drifting snow which reduces visibility to or less and must last for a prolonged period of time—typically three hours or more.
Environment Canada defines a blizzard as a storm with wind speeds exceeding accompanied by visibility of or less, resulting from snowfall, blowing snow, or a combination of the two. These conditions must persist for a period of at least four hours for the storm to be classified as a blizzard, except north of the arctic tree line, where that threshold is raised to six hours.
The Australia Bureau of Meteorology describes a blizzard as, "Violent and very cold wind which is laden with snow, some part, at least, of which has been raised from snow covered ground."
While severe cold and large amounts of drifting snow may accompany blizzards, they are not required. Blizzards can bring whiteout conditions, and can paralyze regions for days at a time, particularly where snowfall is unusual or rare.
A severe blizzard has winds over , near zero visibility, and temperatures of or lower. In Antarctica, blizzards are associated with winds spilling over the edge of the ice plateau at an average velocity of .
Ground blizzard refers to a weather condition where loose snow or ice on the ground is lifted and blown by strong winds. The primary difference between a ground blizzard as opposed to a regular blizzard is that in a ground blizzard no precipitation is produced at the time, but rather all the precipitation is already present in the form of snow or ice at the surface.
The Oxford English Dictionary concludes the term blizzard is likely onomatopoeic, derived from the same sense as blow, blast, blister, and bluster; the first recorded use of it for weather dates to 1829, when it was defined as a "violent blow". It achieved its modern definition by 1859, when it was in use in the western United States. The term became common in the press during the harsh winter of 1880–81.
United States storm systems
In the United States, storm systems powerful enough to cause blizzards usually form when the jet stream dips far to the south, allowing cold, dry polar air from the north to clash with warm, humid air moving up from the south.
When cold, moist air from the Pacific Ocean moves eastward to the Rocky Mountains and the Great Plains, and warmer, moist air moves north from the Gulf of Mexico, all that is needed is a movement of cold polar air moving south to form potential blizzard conditions that may extend from the Texas Panhandle to the Great Lakes and Midwest. A blizzard also may be formed when a cold front and warm front mix together and a blizzard forms at the border line.
Another storm system occurs when a cold core low over the Hudson Bay area in Canada is displaced southward over southeastern Canada, the Great Lakes, and New England. When the rapidly moving cold front collides with warmer air coming north from the Gulf of Mexico, strong surface winds, significant cold air advection, and extensive wintry precipitation occur.
Low pressure systems moving out of the Rocky Mountains onto the Great Plains, a broad expanse of flat land, much of it covered in prairie, steppe and grassland, can cause thunderstorms and rain to the south and heavy snows and strong winds to the north. With few trees or other obstructions to reduce wind and blowing, this part of the country is particularly vulnerable to blizzards with very low temperatures and whiteout conditions. In a true whiteout, there is no visible horizon. People can become lost in their own front yards, when the door is only away, and they would have to feel their way back. Motorists have to stop their cars where they are, as the road is impossible to see.
Nor'easter blizzards
A nor'easter is a macro-scale storm that occurs off the New England and Atlantic Canada coastlines. It gets its name from the direction the wind is coming from. The usage of the term in North America comes from the wind associated with many different types of storms, some of which can form in the North Atlantic Ocean and some of which form as far south as the Gulf of Mexico. The term is most often used in the coastal areas of New England and Atlantic Canada. This type of storm has characteristics similar to a hurricane. More specifically, it describes a low-pressure area whose center of rotation is just off the coast and whose leading winds in the left-forward quadrant rotate onto land from the northeast. High storm waves may sink ships at sea and cause coastal flooding and beach erosion. Notable nor'easters include The Great Blizzard of 1888, one of the worst blizzards in U.S. history. It dropped of snow and had sustained winds of more than that produced snowdrifts in excess of . Railroads were shut down and people were confined to their houses for up to a week. It killed 400 people, mostly in New York.
Historic events
1972 Iran blizzard
The 1972 Iran blizzard, which caused 4,000 reported deaths, was the deadliest blizzard in recorded history. Dropping as much as of snow, it completely covered 200 villages. After a snowfall lasting nearly a week, an area the size of Wisconsin was entirely buried in snow.
2008 Afghanistan blizzard
The 2008 Afghanistan blizzard, was a fierce blizzard that struck Afghanistan on the 10th of January 2008. Temperatures fell to a low of , with up to of snow in the more mountainous regions, killing at least 926 people. It was the third deadliest blizzard in history. The weather also claimed more than 100,000 sheep and goats, and nearly 315,000 cattle died.
The Snow Winter of 1880–1881
The winter of 1880–1881 is widely considered the most severe winter ever known in many parts of the United States.
The initial blizzard in October of 1880 brought snowfalls so deep that two-story homes experienced accumulations, as opposed to drifts, up to their second floor windows. No one was prepared for deep snow so early in the winter. Farmers from North Dakota to Virginia were caught flat with fields unharvested, what grain that had been harvested unmilled, and their suddenly all-important winter stocks of wood fuel only partially collected. By January train service was almost entirely suspended from the region. Railroads hired scores of men to dig out the tracks but as soon as they had finished shoveling a stretch of line a new storm arrived, burying it again.
There were no winter thaws and on February 2, 1881, a second massive blizzard struck that lasted for nine days. In towns the streets were filled with solid drifts to the tops of the buildings and tunneling was necessary to move about. Homes and barns were completely covered, compelling farmers to construct fragile tunnels in order to feed their stock.
When the snow finally melted in late spring of 1881 huge sections of the plains experienced flooding. Massive ice jams clogged the Missouri River and when they broke the downstream areas were inundated. Most of the town of Yankton, in what is now South Dakota, was washed away when the river overflowed its banks after the thaw.
Novelization
Many children—and their parents—learned of "The Snow Winter" through the children's book The Long Winter by Laura Ingalls Wilder, in which the author tells of her family's efforts to survive. The snow arrived in October 1880 and blizzard followed blizzard throughout the winter and into March 1881, leaving many areas snowbound throughout the entire winter. Accurate details in Wilder's novel include the blizzards' frequency and the deep cold, the Chicago and North Western Railway stopping trains until the spring thaw because the snow made the tracks impassable, the near-starvation of the townspeople, and the courage of her future husband Almanzo and another man, Cap Garland, who ventured out on the open prairie in search of a cache of wheat that no one was even sure existed.
The Storm of the Century
The Storm of the Century, also known as the Great Blizzard of 1993, was a large cyclonic storm that formed over the Gulf of Mexico on March 12, 1993, and dissipated in the North Atlantic Ocean on March 15. It is unique for its intensity, massive size and wide-reaching effect. At its height, the storm stretched from Canada towards Central America, but its main impact was on the United States and Cuba. The cyclone moved through the Gulf of Mexico, and then through the Eastern United States before moving into Canada. Areas as far south as northern Alabama and Georgia received a dusting of snow and areas such as Birmingham, Alabama, received up to with hurricane-force wind gusts and record low barometric pressures. Between Louisiana and Cuba, hurricane-force winds produced high storm surges across northwestern Florida, which along with scattered tornadoes killed dozens of people. In the United States, the storm was responsible for the loss of electric power to over 10 million customers. It is purported to have been directly experienced by nearly 40 percent of the country's population at that time. A total of 310 people, including 10 from Cuba, perished during this storm. The storm cost $6 to $10 billion in damages.
List of blizzards
North America
1700 to 1799
The Great Snow 1717 series of four snowstorms between February 27 and March 7, 1717. There were reports of about five feet of snow already on the ground when the first of the storms hit. By the end, there were about ten feet of snow and some drifts reaching , burying houses entirely. In the colonial era, this storm made travel impossible until the snow simply melted.
Blizzard of 1765. March 24, 1765. Affected area from Philadelphia to Massachusetts. High winds and over of snowfall recorded in some areas.
Blizzard of 1772. "The Washington and Jefferson Snowstorm of 1772". January 26–29, 1772. One of largest D.C. and Virginia area snowstorms ever recorded. Snow accumulations of recorded.
The "Hessian Storm of 1778". December 26, 1778. Severe blizzard with high winds, heavy snows and bitter cold extending from Pennsylvania to New England. Snow drifts reported to be high in Rhode Island. Storm named for stranded Hessian troops in deep snows stationed in Rhode Island during the Revolutionary War.
The Great Snow of 1786. December 4–10, 1786. Blizzard conditions and a succession of three harsh snowstorms produced snow depths of to from Pennsylvania to New England. Reportedly of similar magnitude of 1717 snowstorms.
The Long Storm of 1798. November 19–21, 1798. Heavy snowstorm produced snow from Maryland to Maine.
1800 to 1850
Blizzard of 1805. January 26–28, 1805. Cyclone brought heavy snowstorm to New York City and New England. Snow fell continuously for two days where over of snow accumulated.
New York City Blizzard of 1811. December 23–24, 1811. Severe blizzard conditions reported on Long Island, in New York City, and southern New England. Strong winds and tides caused damage to shipping in harbor.
Luminous Blizzard of 1817. January 17, 1817. In Massachusetts and Vermont, a severe snowstorm was accompanied by frequent lightning and heavy thunder. St. Elmo's fire reportedly lit up trees, fence posts, house roofs, and even people. John Farrar professor at Harvard, recorded the event in his memoir in 1821.
Great Snowstorm of 1821. January 5–7, 1821. Extensive snowstorm and blizzard spread from Virginia to New England.
Winter of Deep Snow in 1830. December 29, 1830. Blizzard storm dumped in Kansas City and in Illinois. Areas experienced repeated storms thru mid-February 1831.
"The Great Snowstorm of 1831" January 14–16, 1831. Produced snowfall over widest geographic area that was only rivaled, or exceeded by, the 1993 Blizzard. Blizzard raged from Georgia, to Ohio Valley, all the way to Maine.
"The Big Snow of 1836" January 8–10, 1836. Produced to of snowfall in interior New York, northern Pennsylvania, and western New England. Philadelphia got a reported and New York City of snow.
1851 to 1900
Plains Blizzard of 1856. December 3–5, 1856. Severe blizzard-like storm raged for three days in Kansas and Iowa. Early pioneers suffered.
"The Cold Storm of 1857" January 18–19, 1857. Produced severe blizzard conditions from North Carolina to Maine. Heavy snowfalls reported in east coast cities.
Midwest Blizzard of 1864. January 1, 1864. Gale-force winds, driving snow, and low temperatures all struck simultaneously around Chicago, Wisconsin and Minnesota.
Plains Blizzard of 1873. January 7, 1873. Severe blizzard struck the Great Plains. Many pioneers from the east were unprepared for the storm and perished in Minnesota and Iowa.
Great Plains Easter Blizzard of 1873. April 13, 1873
Seattle Blizzard of 1880. January 6, 1880. Seattle area's greatest snowstorm to date. An estimated fell around the town. Many barns collapsed and all transportation halted.
The Hard Winter of 1880-81. October 15, 1880. A blizzard in eastern South Dakota marked the beginning of this historically difficult season. Laura Ingalls Wilder's book The Long Winter details the effects of this season on early settlers.
In the three year winter period from December 1885 to March 1888, the Great Plains and Eastern United States suffered a series of the worst blizzards in this nation's history ending with the Schoolhouse Blizzard and the Great Blizzard of 1888. The massive explosion of the volcano Krakatoa in the South Pacific late in August 1883 is a suspected cause of these huge blizzards during these several years. The clouds of ash it emitted continued to circulate around the world for many years. Weather patterns continued to be chaotic for years, and temperatures did not return to normal until 1888. Record rainfall was experienced in Southern California during July 1883 to June 1884. The Krakatoa eruption injected an unusually large amount of sulfur dioxide (SO2) gas high into the stratosphere which reflects sunlight and helped cool the planet over the next few years until the suspended atmospheric sulfur fell to ground.
Plains Blizzard of late 1885. In Kansas, heavy snows of late 1885 had piled drifts high.
Kansas Blizzard of 1886. First week of January 1886. Reported that 80 percent of the cattle were frozen to death in that state alone from the cold and snow.
January 1886 Blizzard. January 9, 1886. Same system as Kansas 1886 Blizzard that traveled eastward.
Great Plains Blizzards of late 1886. On November 13, 1886, it reportedly began to snow and did not stop for a month in the Great Plains region.
Great Plains Blizzard of 1887. January 9–11, 1887. Reported 72-hour blizzard that covered parts of the Great Plains in more than of snow. Winds whipped and temperatures dropped to around . So many cows that were not killed by the cold soon died from starvation. When spring arrived, millions of the animals were dead, with around 90 percent of the open range's cattle rotting where they fell. Those present reported carcasses as far as the eye could see. Dead cattle clogged up rivers and spoiled drinking water. Many ranchers went bankrupt and others simply called it quits and moved back east. The "Great Die-Up" from the blizzard effectively concluded the romantic period of the great Plains cattle drives.
Schoolhouse Blizzard of 1888 North American Great Plains. January 12–13, 1888. What made the storm so deadly was the timing (during work and school hours), the suddenness, and the brief spell of warmer weather that preceded it. In addition, the very strong wind fields behind the cold front and the powdery nature of the snow reduced visibilities on the open plains to zero. People ventured from the safety of their homes to do chores, go to town, attend school, or simply enjoy the relative warmth of the day. As a result, thousands of people—including many schoolchildren—got caught in the blizzard.
Great Blizzard of March 1888 March 11–14, 1888. One of the most severe recorded blizzards in the history of the United States. On March 12, an unexpected northeaster hit New England and the mid-Atlantic, dropping up to of snow in the space of three days. New York City experienced its heaviest snowfall recorded to date at that time, all street railcars were stranded, and the storm led to the creation of the NYC subway system. Snowdrifts reached up to the second story of some buildings. Some 400 people died from this blizzard, including many sailors aboard vessels that were beset by gale-force winds and turbulent seas.
Great Blizzard of 1899 February 11–14, 1899. An extremely unusual blizzard in that it reached into the far southern states of the US. It hit in February, and the area around Washington, D.C., experienced 51 hours straight of snowfall. The port of New Orleans was totally iced over; revelers participating in the New Orleans Mardi Gras had to wait for the parade routes to be shoveled free of snow. Concurrent with this blizzard was the extremely cold arctic air. Many city and state record low temperatures date back to this event, including all-time records for locations in the Midwest and South. State record lows: Nebraska reached , Ohio experienced , Louisiana bottomed out at , and Florida dipped below zero to .
1901 to 1939
Great Lakes Storm of 1913 November 7–10, 1913. "The White Hurricane" of 1913 was the deadliest and most destructive natural disaster ever to hit the Great Lakes Basin in the Midwestern United States and the Canadian province of Ontario. It produced wind gusts, waves over high, and whiteout snowsqualls. It killed more than 250 people, destroyed 19 ships, and stranded 19 others.
Blizzard of 1918. January 11, 1918. Vast blizzard-like storm moved through Great Lakes and Ohio Valley.
1920 North Dakota blizzard March 15–18, 1920
Knickerbocker Storm January 27–28, 1922
1940 to 1949
Armistice Day Blizzard of 1940 November 10–12, 1940. Took place in the Midwest region of the United States on Armistice Day. This "Panhandle hook" winter storm cut a through the middle of the country from Kansas to Michigan. The morning of the storm was unseasonably warm but by mid afternoon conditions quickly deteriorated into a raging blizzard that would last into the next day. A total of 145 deaths were blamed on the storm, almost a third of them duck hunters who had taken time off to take advantage of the ideal hunting conditions. Weather forecasters had not predicted the severity of the oncoming storm, and as a result the hunters were not dressed for cold weather. When the storm began many hunters took shelter on small islands in the Mississippi River, and the winds and waves overcame their encampments. Some became stranded on the islands and then froze to death in the single-digit temperatures that moved in over night. Others tried to make it to shore and drowned.
North American blizzard of 1947 December 25–26, 1947. Was a record-breaking snowfall that began on Christmas Day and brought the Northeast United States to a standstill. Central Park in New York City got of snowfall in 24 hours with deeper snows in suburbs. It was not accompanied by high winds, but the snow fell steadily with drifts reaching . Seventy-seven deaths were attributed to the blizzard.
The Blizzard of 1949 - The first blizzard started on Sunday, January 2, 1949; it lasted for three days. It was followed by two more months of blizzard after blizzard with high winds and bitter cold. Deep drifts isolated southeast Wyoming, northern Colorado, western South Dakota and western Nebraska, for weeks. Railroad tracks and roads were all drifted in with drifts of and more. Hundreds of people that had been traveling on trains were stranded. Motorists that had set out on January 2 found their way to private farm homes in rural areas and hotels and other buildings in towns; some dwellings were so crowded that there wasn't enough room for all to sleep at once. It would be weeks before they were plowed out. The Federal government quickly responded with aid, airlifting food and hay for livestock. The total rescue effort involved numerous volunteers and local agencies plus at least ten major state and federal agencies from the U.S. Army to the National Park Service. Private businesses, including railroad and oil companies, also lent manpower and heavy equipment to the work of plowing out. The official death toll was 76 people and one million livestock. Youtube video Storm of the Century - the Blizzard of '49 Storm of the Century - the Blizzard of '49
1950 to 1959
Great Appalachian Storm of November 1950 November 24–30, 1950
March 1958 Nor'easter blizzard March 18–21, 1958.
The Mount Shasta California Snowstorm of 1959 – The storm dumped of snow on Mount Shasta. The bulk of the snow fell on unpopulated mountainous areas, barely disrupting the residents of the Mount Shasta area. The amount of snow recorded is the largest snowfall from a single storm in North America.
1960 to 1969
March 1960 Nor'easter blizzard March 2–5, 1960
December 1960 Nor'easter blizzard December 12–14, 1960. Wind gusts up to .
March 1962 Nor'easter Great March Storm of 1962 – Ash Wednesday. North Carolina and Virginia blizzards. Struck during Spring high tide season and remained mostly stationary for almost 5 days causing significant damage along eastern coast, Assateague island was under water, and dumped of snow in Virginia.
North American blizzard of 1966 January 27–31, 1966
Chicago Blizzard of 1967 January 26–27, 1967
February 1969 nor'easter February 8–10, 1969
March 1969 Nor'easter blizzard March 9, 1969
December 1969 Nor'easter blizzard December 25–28, 1969.
1970 to 1979
The Great Storm of 1975 known as the "Super Bowl Blizzard" or "Minnesota's Storm of the Century". January 9–12, 1975. Wind chills of to recorded, deep snowfalls.
Groundhog Day gale of 1976 February 2, 1976
Buffalo Blizzard of 1977 January 28 – February 1, 1977. There were several feet of packed snow already on the ground, and the blizzard brought with it enough snow to reach Buffalo's record for the most snow in one season – .
Great Blizzard of 1978 also called the "Cleveland Superbomb". January 25–27, 1978. Was one of the worst snowstorms the Midwest has ever seen. Wind gusts approached , causing snowdrifts to reach heights of in some areas, making roadways impassable. Storm reached maximum intensity over southern Ontario Canada.
Northeastern United States Blizzard of 1978 – February 6–7, 1978. Just one week following the Cleveland Superbomb blizzard, New England was hit with its most severe blizzard in 90 years since 1888.
Chicago Blizzard of 1979 January 13–14, 1979
1980 to 1989
February 1987 Nor'easter blizzard February 22–24, 1987
1990 to 1999
1991 Halloween blizzard Upper Mid-West US, October 31 – November 3, 1991
December 1992 Nor'easter blizzard December 10–12, 1992
1993 Storm of the Century March 12–15, 1993. While the southern and eastern U.S. and Cuba received the brunt of this massive blizzard, the Storm of the Century impacted a wider area than any in recorded history.
February 1995 Nor'easter blizzard February 3–6, 1995
Blizzard of 1996 January 6–10, 1996
April Fool's Day Blizzard March 31 – April 1, 1997. US East Coast
1997 Western Plains winter storms October 24–26, 1997
Mid West Blizzard of 1999 January 2–4, 1999
2000 to 2009
January 25, 2000 Southeastern United States winter storm January 25, 2000. North Carolina and Virginia
December 2000 Nor'easter blizzard December 27–31, 2000
North American blizzard of 2003 February 14–19, 2003 (Presidents' Day Storm II)
December 2003 Nor'easter blizzard December 6–7, 2003
North American blizzard of 2005 January 20–23, 2005
North American blizzard of 2006 February 11–13, 2006
Early winter 2006 North American storm complex Late November 2006
Colorado Holiday Blizzards (2006–07) December 20–29, 2006 Colorado
February 2007 North America blizzard February 12–20, 2007
January 2008 North American storm complex January, 2008 West Coast US
North American blizzard of 2008 March 6–10, 2008
2009 Midwest Blizzard 6–8 December 2009, a bomb cyclogenesis event that also affected parts of Canada
North American blizzard of 2009 December 16–20, 2009
2009 North American Christmas blizzard December 22–28, 2009
2010 to 2019
February 5–6, 2010 North American blizzard February 5–6, 2010 Referred to at the time as Snowmageddon was a Category 3 ("major") nor'easter and severe weather event.
February 9–10, 2010 North American blizzard February 9–10, 2010
February 25–27, 2010 North American blizzard February 25–27, 2010
October 2010 North American storm complex October 23–28, 2010
December 2010 North American blizzard December 26–29, 2010
January 31 – February 2, 2011 North American blizzard January 31 – February 2, 2011. Groundhog Day Blizzard of 2011
2011 Halloween nor'easter October 28 – Nov 1, 2011
Hurricane Sandy October 29–31, 2012. West Virginia, western North Carolina, and southwest Pennsylvania received heavy snowfall and blizzard conditions from this hurricane
November 2012 nor'easter November 7–10, 2012
December 17–22, 2012 North American blizzard December 17–22, 2012
Late December 2012 North American storm complex December 25–28, 2012
February 2013 nor'easter February 7–20, 2013
February 2013 Great Plains blizzard February 19 – March 6, 2013
March 2013 nor'easter March 6, 2013
October 2013 North American storm complex October 3–5, 2013
Buffalo, NY blizzard of 2014. Buffalo got over of snow during November 18–20, 2014.
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Late December 2015 North American storm complex December 26–27, 2015 Was one of the most notorious blizzards in the state of New Mexico and West Texas ever reported. It had sustained winds of over and continuous snow precipitation that lasted over 30 hours. Dozens of vehicles were stranded in small county roads in the areas of Hobbs, Roswell, and Carlsbad New Mexico. Strong sustained winds destroyed various mobile homes.
January 2016 United States blizzard January 20–23, 2016
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Early January 2018 nor’easter January 3–6, 2018
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2020 to present
December 5–6, 2020 nor'easter December 5–6, 2020
January 31 – February 3, 2021 nor'easter January 31 – February 3, 2021
February 13–17, 2021 North American winter storm February 13–17, 2021
March 2021 North American blizzard March 11–14, 2021
January 2022 North American blizzard January 27–30, 2022
Late December 2022 North American winter storm December 21–26, 2022
Canada
The Eastern Canadian Blizzard of 1971 – Dumped a foot and a half (45.7 cm) of snow on Montreal and more than elsewhere in the region. The blizzard caused the cancellation of a Montreal Canadiens hockey game for the first time since 1918.
Saskatchewan blizzard of 2007 – January 10, 2007 Canada
United Kingdom
Great Frost of 1709
Blizzard of January 1881
Winter of 1894–95 in the United Kingdom
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January 1987 Southeast England snowfall
Winter of 1990–91 in Western Europe
February 2009 Great Britain and Ireland snowfall
Winter of 2009–10 in Great Britain and Ireland
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Early 2012 European cold wave
Other locations
1954 Romanian blizzard
1972 Iran blizzard
Winter of 1990–1991 in Western Europe
2008 Afghanistan blizzard
2008 Chinese winter storms
Winter storms of 2009–2010 in East Asia
See also
Cold wave
Lake-effect snow
Nor'easter
European windstorm
Whiteout (weather)
Blowing snow advisory
Ground blizzard
Severe weather terminology (Canada)
Snowsquall
Blowing snow
List of blizzards
References
External links
Digital Snow Museum Photos of historic blizzards and snowstorms.
Farmers Almanac List of Worst Blizzards in the United States
United States Search and Rescue Task Force: About Blizzards
A Historical Review On The Origin and Definition of the Word Blizzard Dr Richard Wild
Snow or ice weather phenomena
Storm
Weather hazards
Hazards of outdoor recreation | 5 |
A bikini is a two-piece swimsuit primarily worn by girls and women that features one piece on top that covers the breasts, and a second piece on the bottom: the front covering the pelvis but usually exposing the navel, and the back generally covering the intergluteal cleft and a little, some, or all of the buttocks. The size of the top and bottom can vary, from bikinis that offer full coverage of the breasts, pelvis, and buttocks, to more revealing designs with a thong or G-string bottom that covers only the mons pubis, but exposes the buttocks, and a top that covers only the areolae. Bikini bottoms covering about half the buttocks may be described as "Brazilian-cut", while those covering about three-quarters of the buttocks may be described as "cheeky" or "cheeky-cut".
In May 1946, Parisian fashion designer Jacques Heim released a two-piece swimsuit design that he named the ('Atom') and advertised as "the smallest swimsuit in the world". Like swimsuits of the era, it covered the wearer's belly button, and it failed to attract much attention. Clothing designer Louis Réard introduced his new, smaller design in July. He named the swimsuit after the Bikini Atoll, where the first public test of a nuclear bomb had taken place four days before. His skimpy design was risqué, exposing the wearer's navel and much of her buttocks. No runway model would wear it, so he hired a nude dancer from the Casino de Paris named Micheline Bernardini to model it at a review of swimsuit fashions.
Due to its revealing design, the bikini was once considered controversial, facing opposition from a number of groups and being accepted only very slowly by the general public. In many countries, the design was banned from beaches and other public places: in 1949, France banned the bikini from being worn on its coastlines; Germany banned the bikini from public swimming pools until the 1970s, and some communist groups condemned the bikini as a "capitalist decadence". The bikini also faced criticism from some feminists, who reviled it as a garment designed to suit men's tastes, and not those of women. Despite this backlash, however, the bikini still sold well throughout the mid to later 20th century.
The bikini gained increased exposure and acceptance as film stars like Brigitte Bardot, Raquel Welch, and Ursula Andress wore them and were photographed on public beaches and seen in film. The minimalist bikini design became common in most Western countries by the mid-1960s as both swimwear and underwear. By the late 20th century, it was widely used as sportswear in beach volleyball and bodybuilding. There are a number of modern stylistic variations of the design used for marketing purposes and as industry classifications, including monokini, microkini, tankini, trikini, pubikini, skirtini, thong, and g-string. A man's single piece brief swimsuit may also be called a bikini or "bikini brief", particularly if it has slimmer sides. Similarly, a variety of men's and women's underwear types are described as bikini underwear. The bikini has gradually gained wide acceptance in Western society. By the early 2000s, bikinis had become a US$811 million business annually, and boosted spin off services such as bikini waxing and sun tanning.
Etymology and terminology
While the two-piece swimsuit as a design existed in classical antiquity, the modern design first attracted public notice in Paris on July 5, 1946. French automotive engineer Louis Réard introduced a design he named the "bikini", adopting the name from the Bikini Atoll in the Pacific Ocean, which was the colonial name the Germans gave to the atoll, borrowed from the Marshallese name for the island, . Four days earlier, the United States had initiated its first peacetime nuclear weapons test at Bikini Atoll as part of Operation Crossroads. Réard hoped his swimsuit's revealing style would create an "explosive commercial and cultural reaction" similar to the explosion at Bikini Atoll.
By making an analogy with words like bilingual and bilateral containing the Latin prefix "bi-" (meaning "two" in Latin), the word bikini was first back-derived as consisting of two parts, [bi + kini] by Rudi Gernreich, who introduced the monokini in 1964. Later swimsuit designs like the tankini and trikini further cemented this derivation. Over time the "–kini family" (as dubbed by author William Safire), including the "–ini sisters" (as dubbed by designer Anne Cole), expanded into a variety of swimwear including the monokini (also known as a numokini or unikini), seekini, tankini, camikini, (also hipkini), minikini, face-kini, burkini, and microkini. The Language Report, compiled by lexicographer Susie Dent and published by the Oxford University Press (OUP) in 2003, considers lexicographic inventions like bandeaukini and camkini, two variants of the tankini, important to observe. Although "bikini" was originally a registered trademark of Réard, it has since become genericized.
Variations of the term are used to describe stylistic variations for promotional purposes and industry classifications, including monokini, microkini, tankini, trikini, pubikini, bandeaukini and skirtini. A man's brief swimsuit may also be referred to as a bikini. Similarly, a variety of men's and women's underwear types are described as bikini underwear.
History
In antiquity
According to archaeologist James Mellaart, a mural from the Chalcolithic era (around 5600 BC) in Çatalhöyük, Anatolia depicts a mother goddess astride two leopards wearing a costume somewhat like a bikini. The two-piece swimsuit can be traced back to the Greco-Roman world, where bikini-like garments worn by women athletes are depicted on urns and paintings dating back to 1400 BC.
In Coronation of the Winner, a mosaic in the floor of a Roman villa in Sicily that dates from the Diocletian period (286–305 AD), young women participate in weightlifting, discus throwing, and running ball games dressed in bikini-like garments (technically bandeaukinis in modern lexicon). The mosaic, found in the Sicilian Villa Romana del Casale, features ten maidens who have been anachronistically dubbed the "Bikini Girls". Other Roman archaeological finds depict the goddess Venus in a similar garment. In Pompeii, depictions of Venus wearing a bikini were discovered in the Casa della Venere, in the tablinum of the House of Julia Felix, and in an atrium garden of Via Dell'Abbondanza.
Precursors in the West
Swimming or bathing outdoors was discouraged in the Christian West, so there was little demand or need for swimming or bathing costumes until the 18th century. The bathing gown of the 18th century was a loose ankle-length full-sleeve chemise-type gown made of wool or flannel that retained coverage and modesty.
In 1907, Australian swimmer and performer Annette Kellermann was arrested on a Boston beach for wearing form-fitting sleeveless one-piece knitted swimming tights that covered her from neck to toe, a costume she adopted from England, although it became accepted swimsuit attire for women in parts of Europe by 1910. In 1913, designer Carl Jantzen made the first functional two-piece swimwear. Inspired by the introduction of females into Olympic swimming he designed a close-fitting costume with shorts for the bottom and short sleeves for the top.
During the 1920s and 1930s, people began to shift from "taking in the water" to "taking in the sun", at bathhouses and spas, and swimsuit designs shifted from functional considerations to incorporate more decorative features. Rayon was used in the 1920s in the manufacture of tight-fitting swimsuits, but durability issues, especially when wet, proved problematic. Jersey and silk were also sometimes used. By the 1930s, manufacturers had lowered necklines in the back, removed sleeves, and tightened the sides. With the development of new clothing materials, particularly latex and nylon, swimsuits gradually began hugging the body through the 1930s, with shoulder straps that could be lowered for tanning.
Women's swimwear of the 1930s and 1940s incorporated increasing degrees of midriff exposure. The 1932 Hollywood film Three on a Match featured a midriff-baring two-piece bathing suit. Actress Dolores del Río was the first major star to wear a two-piece women's bathing suit onscreen in Flying Down to Rio (1933).
Teen magazines of late 1940s and 1950s featured similar designs of midriff-baring suits and tops. However, midriff fashion was stated as only for beaches and informal events and considered indecent to be worn in public. Hollywood endorsed the new glamor in films like 1949's Neptune's Daughter in which Esther Williams wore provocatively named costumes such as "Double Entendre" and "Honey Child".
Wartime production during World War II required vast amounts of cotton, silk, nylon, wool, leather, and rubber. In 1942, the United States War Production Board issued Regulation L-85, cutting the use of natural fibers in clothing and mandating a 10% reduction in the amount of fabric in women's beachwear. To comply with the regulations, swimsuit manufacturers removed skirt panels and other attachments, while increasing production of the two-piece swimsuit with bare midriffs. At the same time, demand for all swimwear declined as there was not much interest in going to the beach, especially in Europe.
Modern bikini
In the summer of 1946, Western Europeans enjoyed their first war-free summer in many years. French designers sought to deliver fashions that matched the liberated mood of the people. Fabric was still in short supply, and in an endeavor to resurrect swimwear sales, two French designers – Jacques Heim and Louis Réard – almost simultaneously launched new two-piece swimsuit designs in 1946. Heim launched a two-piece swimsuit design in Paris that he called the atome, after the smallest known particle of matter. He announced that it was the "world's smallest bathing suit." Although briefer than the two-piece swimsuits of the 1930s, the bottom of Heim's new two-piece beach costume still covered the wearer's navel.
Soon after, Louis Réard created a competing two-piece swimsuit design, which he called the bikini. He noticed that women at the beach rolled up the edges of their swimsuit bottoms and tops to improve their tan. On 5 July, Réard introduced his design at a swimsuit review held at a popular Paris public pool, Piscine Molitor, four days after the first test of a US nuclear weapon at the Bikini Atoll. The newspapers were full of news about it and Réard hoped for the same with his design. Réard's bikini undercut Heim's atome in its brevity. His design consisted of two side-by-side triangles of fabric forming a bra, and two front-and-back triangular pieces of fabric covering the mons pubis and the buttocks, respectively, connected by string. When he was unable to find a fashion model willing to showcase his revealing design, Réard hired Micheline Bernardini, an 18-year old nude dancer from the Casino de Paris. He announced that his swimsuit, was "smaller than the world's smallest bathing suit". Réard said that "like the [atom] bomb, the bikini is small and devastating". Fashion writer Diana Vreeland described the bikini as the "atom bomb of fashion". Bernardini received 50,000 fan letters, many of them from men.
Photographs of Bernardini and articles about the event were widely carried by the press. The International Herald Tribune alone ran nine stories on the event. French newspaper Le Figaro wrote, "People were craving the simple pleasures of the sea and the sun. For women, wearing a bikini signaled a kind of second liberation. There was really nothing sexual about this. It was instead a celebration of freedom and a return to the joys in life."
Heim's atome was more in keeping with the sense of propriety of the 1940s, but Réard's design won the public's attention. Although Heim's design was the first worn on the beach and initially sold more swimsuits, it was Réard's description of the two-piece swimsuit as a bikini that stuck. As competing designs emerged, he declared in advertisements that a swimsuit could not be a genuine bikini "unless it could be pulled through a wedding ring." Modern bikinis were first made of cotton and jersey.
Social resistance
Despite the garment's initial success in France, women worldwide continued to wear traditional one-piece swimsuits. When his sales stalled, Réard went back to designing and selling orthodox knickers. In 1950, American swimsuit mogul Fred Cole, owner of mass market swimwear firm Cole of California, told Time that he had "little but scorn for France's famed Bikinis." Réard himself would later describe it as a "two-piece bathing suit which reveals everything about a girl except for her mother's maiden name." Fashion magazine Modern Girl Magazine in 1957 stated that "it is hardly necessary to waste words over the so-called bikini since it is inconceivable that any girl with tact and decency would ever wear such a thing".
In 1951, Eric Morley organized the Festival Bikini Contest, a beauty contest and swimwear advertising opportunity at that year's Festival of Britain. The press, welcoming the spectacle, referred to it as Miss World, a name Morley registered as a trademark. The winner was Kiki Håkansson of Sweden, who was crowned in a bikini. After the crowning, Håkansson was condemned by Pope Pius XII, while Spain and Ireland threatened to withdraw from the pageant. In 1952, bikinis were banned from the pageant and replaced by evening gowns. As a result of the controversy, the bikini was explicitly banned from many other beauty pageants worldwide. Although some regarded the bikini and beauty contests as bringing freedom to women, they were opposed by some feminists as well as religious and cultural groups who objected to the degree of exposure of the female body.
Paula Stafford was an Australian fashion designer credited with introducing the bikini to Australia; in a famous incident in 1952, model Ann Ferguson was asked to leave a beach in Surfers Paradise because her Paula Stafford bikini was too revealing. The bikini was banned in Australia, on the French Atlantic coastline, in Spain, in Italy, and in Portugal, and was prohibited or discouraged in a number of US states. The United States Motion Picture Production Code, also known as the Hays Code, enforced from 1934, allowed two-piece gowns but prohibited the display of navels in Hollywood films. The National Legion of Decency, a Roman Catholic body overseeing American media content, also pressured Hollywood and foreign film producers to keep bikinis from being featured in Hollywood movies. As late as 1959 one of the United States' largest swimsuit designers, Anne Cole of the Anne Cole brand, said, "It's nothing more than a G-string. It's at the razor's edge of decency." The Hays Code was abandoned by the mid-1960s, and with it the prohibition of female navel exposure, as well as other restrictions. The influence of the National Legion of Decency also waned by the 1960s.
Rise to popularity
Increasingly common glamour shots of popular actresses and models on either side of the Atlantic played a large part in bringing the bikini into the mainstream. During the 1950s, Hollywood stars such as Ava Gardner, Rita Hayworth, Lana Turner, Elizabeth Taylor, Tina Louise, Marilyn Monroe, Esther Williams, and Betty Grable took advantage of the risqué publicity associated with the bikini by posing for photographs wearing them—pin-ups of Hayworth and Williams in costume were especially widely distributed in the United States. In 1950, Elvira Pagã walked at the Rio Carnival, Brazil in a golden bikini, starting the bikini tradition of the carnival.
In Europe, 17-year-old Brigitte Bardot wore scanty bikinis (by contemporary standards) in the French film Manina, la fille sans voiles ("Manina, the girl unveiled"). The promotion for the film, released in France in March 1953, drew more attention to Bardot's bikinis than to the film itself. By the time the film was released in the United States in 1958, it was re-titled Manina, the Girl in the Bikini. Bardot was also photographed wearing a bikini on the beach during the 1957 Cannes Film Festival. Working with her husband and agent Roger Vadim, she garnered significant attention with photographs of her wearing a bikini on every beach in the south of France.
Similar photographs were taken of Anita Ekberg and Sophia Loren, among others. According to The Guardian, Bardot's photographs in particular turned Saint-Tropez into the beachwear capital of the world, with Bardot identified as the original Cannes bathing beauty. Bardot's photography helped to enhance the public profile of the festival, and Cannes in turn played a crucial role in her career.
Brian Hyland's novelty-song hit "Itsy Bitsy Teenie Weenie Yellow Polka Dot Bikini" became a Billboard No. 1 hit during the summer of 1960: the song tells a story about a young girl who is too shy to wear her new bikini on the beach, thinking it too risqué. Playboy first featured a bikini on its cover in 1962; the Sports Illustrated Swimsuit Issue debut two years later featured Babette March in a white bikini on the cover.
Ursula Andress, appearing as Honey Ryder in the 1962 British James Bond film, Dr. No, wore a white bikini, which became known as the "Dr. No bikini". It became one of the most famous bikinis of all time and an iconic moment in cinematic and fashion history. Andress said that she owed her career to that white bikini, remarking, "This bikini made me into a success. As a result of starring in Dr. No as the first Bond girl, I was given the freedom to take my pick of future roles and to become financially independent."
The bikini finally caught on, and by 1963, the movie Beach Party, starring Annette Funicello and Frankie Avalon, led a wave of films that made the bikini a pop-culture symbol, though Funicello was barred from wearing Réard's bikini unlike the other young females in the films. In 1965, a woman told Time that it was "almost square" not to wear a bikini; the magazine wrote two years later that "65% of the young set had already gone over".
Raquel Welch's fur bikini in One Million Years B.C. (1966) gave the world the most iconic bikini shot of all time and the poster image became an iconic moment in cinema history. Her deer skin bikini in One Million Years B.C., advertised as "mankind's first bikini", (1966) was later described as a "definitive look of the 1960s". Her role wearing the leather bikini made Welch a fashion icon and the photo of her in the bikini became a best-selling pinup poster.
Stretch nylon bikini briefs and bras complemented the adolescent boutique fashions of the 1960s, allowing those to be minimal. DuPont introduced lycra (DuPont's name for spandex) in the same decade. Spandex expanded the range of novelty fabrics available to designers which meant suits could be made to fit like a second skin without heavy linings. "The advent of Lycra allowed more women to wear a bikini," wrote Kelly Killoren Bensimon, a former model and author of The Bikini Book, "It didn't sag, it didn't bag, and it concealed and revealed. It wasn't so much like lingerie anymore." Increased reliance on stretch fabric led to simplified construction. This fabric allowed designers to create the string bikini, and allowed Rudi Gernreich to create the topless monokini. Alternative swimwear fabrics such as velvet, leather, and crocheted squares surfaced in the early '70s.
Mass acceptance
Réard's company folded in 1988, four years after his death. Meanwhile, the bikini had become the most popular beachwear around the globe. According to French fashion historian Olivier Saillard, this was due to "the power of women, and not the power of fashion". By 1988 the bikini made up nearly 20% of swimsuit sales, more than any other model in the US, though one-piece suits made a comeback during the 1980s and early 1990s. In 1997, Miss Maryland Jamie Fox became the first contestant in 50 years to compete in a two-piece swimsuit at the Miss America Pageant. Actresses in action films like Blue Crush (2002) and Charlie's Angels: Full Throttle (2003) made the two-piece "the millennial equivalent of the power suit", according to Gina Bellafonte of The New York Times,
According to Beth Dincuff Charleston, research associate at the Costume Institute of the Metropolitan Museum of Art, "The bikini represents a social leap involving body consciousness, moral concerns, and sexual attitudes." By the early 2000s, bikinis had become a $811 million business annually, according to the NPD Group, a consumer and retail information company, and had boosted spin-off services like bikini waxing and the sun tanning industries. The first bikini museum in the world is being built in Bad Rappenau in Germany. The development of swimwear from 1880 to the present is presented on 2,000 square metres of exhibition space.
By 2017, the global swimwear market was valued at US$18,5 billion with a compound annual growth rate of 6.2%. Part of the increased consumption of bikinis and swimwears can be attributed to influencers who promote and endorse various brands around the year. Soccer player and best selling author Mo Isom describes it as, "We're flooded with Instagram bikini pics." It was estimated in 2016 that in 2019 the USA would be the largest swimwear market (US$10 billion), followed by Europe (US$5 billion), Asia-Pacific (US$4 billion) and Middle East and Africa (about 1 billion).
Outside the Western world
The 1967 Bollywood film An Evening in Paris is mostly remembered because it featured actress Sharmila Tagore as the first Indian actress to wear a bikini on film. She also posed in a bikini for the glossy Filmfare magazine. The costume shocked a conservative Indian audience, but it also set in motion a trend carried forward by Zeenat Aman in Heera Panna (1973) and Qurbani (1980), Dimple Kapadia in Bobby (1973), and Parveen Babi in Yeh Nazdeekiyan (1982). Indonesian actress Nurnaningsih's bikini clad photos were widely distributed in early 1950s, though she was banned in Kalimantan.
Indian women generally wear bikinis when they vacation abroad or in Goa without the family. But, despite the conservative ideas prevalent in India, bikinis also become more popular in summer when women, from Bollywood stars to the middle class, take up swimming, often in a public space. A lot of tankinis, shorts and single-piece swimsuits are sold in the summer, along with real bikinis and bandeaukinis. The maximum sales for bikinis happen in the winter, the honeymoon season. For more coverage, designers Shivan Bhatiya and Narresh Kukreja invented the bikini-saree popularised by TV anchor Mandira Bedi.
By the end of the first decade of the 21st century, the Chinese bikini industry became a serious international threat for the Brazilian bikini industry. Huludao, Liaoning, China set the world record for the largest bikini parade in 2012, with 1,085 participants and a photo shoot involving 3,090 women. "Beijing Bikini" refers to the Chinese urban practice of men rolling up their shirts to expose their midriff to cool off in public in the summer. In Japan, wearing a bikini is common on the beach and at baths or pools. But, according to a 2013 study, 94% women are not body confident enough to wear a bikini in public without resorting to sarongs, zip-up sweatshirts, T-shirts, or shorts. Japanese women also often wear a "facekini" to protect their face from sunburns.
In most parts of the Middle East, bikinis are either banned or are highly controversial. On March 18, 1973, when Lebanese magazine Ash-Shabaka printed a bikini-clad woman on the cover, they had to make a second version with only the face of the model. In 2011, when Huda Naccache (Miss Earth 2011) posed for the cover of Lilac (based in Israel), she became the first bikini-clad Arab model on the cover of an Arabic magazine. Lebanese-Australian fashion designer Aheda Zanetti created the "burkini" as a modest option to the bikini, which has become very popular among Muslims. Rehab Shaaban, an Egyptian designer, tried an even more abaya-like design, but her design was banned due to safety reasons.
Variants
While the name "bikini" was at first applied only to beachwear that revealed the wearer's navel, today the fashion industry considers any two-piece swimsuit a bikini. Modern bikini fashions are characterized by a simple, brief design: two triangles of fabric that form a bra and cover the woman's breasts and a third that forms a panty cut below the navel that covers the groin and the intergluteal cleft.
Bikinis can and have been made out of almost every possible clothing material, and the fabrics and other materials used to make bikinis are an essential element of their design. Modern bikinis were first made of cotton and jersey, but in the 1960s, Lycra became the common material. Alternative swimwear fabrics such as velvet, leather, and crocheted squares surfaced in the early 1970s.
In a single fashion show in 1985, there were two-piece suits with cropped tank tops instead of the usual skimpy bandeaux, suits that resembled bikinis from the front and one-pieces from the back, suspender straps, ruffles, and deep navel-baring cutouts. Metal and stone jewelry pieces are now often used to dress up look and style according to tastes. To meet the fast pace of demands, some manufacturers now offer made-to-order bikinis ready in as few as seven minutes. The world's most expensive bikini was designed in February 2006 by Susan Rosen; containing of diamond, it was valued at £20 million.
Major styles
There is a range of distinct bikini styles available — string bikinis, monokinis (topless or top and bottom connected), trikinis (three pieces instead of two), tankinis (tank top, bikini bottom), camikinis (camisole top, bikini bottom), bandeaukini (bandeau top, bikini bottom), skirtini (bikini top, skirt bottom), "granny bikini" (bikini top, boy shorts bottom), (also ), seekinis (transparent), minikinis, microkinis, miniminis, slingshots (or suspender bikinis), thong bottoms, tie-sides (a variety of string bikini) and teardrops.
{| class="wikitable"
|- style="background:#ccc; text-align:center;"
! Variant !! Image !! Year !! Description
|-
| Bandeaukini || || || A bandeaukini (alternatively called a bandini) is a bandeau top (no straps going over the shoulders) worn with any bikini bottom. It is the oldest form of bikini, with one of the earliest examples found in Sicilian Villa Romana del Casale (dubbed the "Bikini Girls"), dating back to the 4th century AD. Reintroduced, its appeal grew fast among young women, with bandeau tops edging into the sales of the classic tankini.
|-
| Microkini || || 1995 || A microkini, also known as a micro bikini, is an exceptionally meager bikini. The designs for both women and men typically use only enough fabric to cover the genitals and, for women, the nipples. Any additional straps are merely to keep the garment attached to the wearer's body. Some variations of the microkini use adhesive or wire to hold the fabric in place over the genitals. Microkinis keep the wearer just within legal limits of decency and fill a niche between nudism and conservative swimwear, though they are often accepted in Europe and are becoming more normalized in Western cultures.
|-
| Monokini || || 1964 || A monokini (also called topless swimsuit, unikini or numokini) is a women's one-piece garment equivalent to the lower half of a bikini. Originally a specific design conceived by Rudi Gernreich in 1964, the term is now used to describe any topless swimsuit, particularly a bikini bottom worn without a top. An extreme version of the monokini, the thong-style pubikini (which exposed the pubic region), was also designed by Rudi Gernreich in 1985. Today, monokinis usually refer to swimsuits in which the top and bottom are connected but provide coverage of the breasts as to be accepted in most western cultures.
|-
| Skirtini || || || The skirtini, which features a bikini top and a small, skirted bottom, is also an innovation for bikini-style clothes with more coverage. Two-piece swimsuits with skirt panels were popular in the US before the government ordered a 10% reduction in fabric used in woman's swimwear in 1943 as wartime rationing. In 2011, The Daily Telegraph identified the skirted bikini as one of the top 10 swimwear designs of that season.
|-
| Sling bikini || || || The sling bikini (also known as sling-kini, onepiecekini or sling swimsuit) is an unbroken suit, technically one-piece, which resembles a bikini bottom with the side straps extending upwards to cover the breasts and go over the shoulders, or encircling the neck while a second set of straps pass around the midriff (also known as pretzel bikini or pretzel swimsuit). Sling swimsuits emerged in the early 1990s, and were introduced into the mainstream in 1994. When designed for or worn by a man, it is called a mankini, popularized by Sacha Baron Cohen in the film Borat.
|-
| String bikini || || 1974 || A string bikini (or a tie-side) gets its name from its design that consists of two triangular shaped pieces connected at the groin but not at the sides, where a thin "string" wraps around the waist tied together to connect the two parts. The structure of the side tie bottom leaves the hips bare and just tie the knots on the sides with spaghetti ties or with the sash ties. The first formal presentation of string bikini was done by Glen Tororich, a public relations agent, and his wife Brandi Perret-DuJon, a fashion model, for the opening of Le Petite Centre, a shopping area in the French Quarter of the New Orleans, Louisiana in 1974. String bikinis are one of the most popular variations of bikini.
|-
| Tankini || || 1998 || The tankini is a swimsuit combining a tank top and a bikini bottom. Tankinis can be made of spandex-and-cotton or Lycra-and-nylon. Designer Anne Cole, the US swimwear mogul, was the originator of this style in 1998. A variation is named camkini, with spaghetti straps instead of tank-shaped straps over a bikini bottom.
|-
| Trikini || || 1967 || The trikini appeared briefly in 1967, defined as "a handkerchief and two small saucers." It reappeared in the 1990s as a bikini bottom with a stringed halter of two triangular pieces covering the breasts, and in the 2000s as a costume of three separate pieces. The trikini top comes essentially in two separate parts. The name of this woman's bathing suit is formed from the word "bikini", replacing "bi-", meaning "two", with "tri-", meaning "three". In a variation the three pieces are sold as part of one continuous garment.
|}
In sport
Bikinis have become a major component of marketing various women's sports. It is an official uniform for beach volleyball and is widely worn in athletics and other sports. Sports bikinis have gained popularity since the 1990s. However, the trend has raised some criticism as an attempt to sell sex. Female swimmers do not normally wear bikinis in competitive swimming. The International Swimming Federation (FINA) voted to prohibit female swimmers from racing in bikinis in its meeting at Rome in 1960.
Beach volleyball
In 1994, the bikini became the official uniform of women's Olympic beach volleyball. In 1999, the International Volleyball Federation (FIVB) standardized beach volleyball uniforms, with the bikini becoming the required uniform for women. That regulation bottom is called a "bun-hugger", and players names are often written on the back of the bottom.
The uniform made its Olympic debut at Bondi Beach, Sydney during the 2000 Summer Olympics amid some criticism. It was the fifth largest television audience of all the sports at the 2000 Games. Much of the interest was because of the sex appeal of bikini-clad players along with their athletic ability. Bikini-clad dancers and cheerleaders entertain the audience during match breaks in many beach volleyball tournaments, including the Olympics. Even indoor volleyball costumes followed suit to become smaller and tighter.
However, the FIVB's mandating of the bikini ran into problems. Some sports officials consider it exploitative and impractical in colder weather. It also drew the ire of some athletes. At the 2006 Asian Games at Doha, Qatar, only one Muslim country – Iraq – fielded a team in the beach volleyball competition because of concerns that the uniform was inappropriate. They refused to wear bikinis. The weather during the evening games in 2012 London Olympics was so cold that the players sometimes had to wear shirts and leggings. Earlier in 2012, FIVB had announced it would allow shorts (maximum length above the knee) and sleeved tops at the games. Richard Baker, the federation spokesperson, said that "many of these countries have religious and cultural requirements so the uniform needed to be more flexible".
The bikini remains preferred by most players and corporate sponsors. US women's team has cited several advantages of bikini uniforms, such as comfort while playing on sand during hot weather. Competitors Natalie Cook and Holly McPeak support the bikini as a practical uniform for a sport played on sand during the heat of summer. Olympic gold medal winner Kerry Walsh said, "I love our uniforms." According to fellow gold medalist Misty May-Treanor and Walsh it does not restrict movement.
One feminist viewpoint sees the bikini uniform as objectification of women athletes. US beach volleyball player Gabrielle Reece described the bikini bottoms as uncomfortable with constant "yanking and fiddling." Many female beach volleyball players have sustained injuries by over-training the abdominal muscles while many others have gone through augmentation mammoplasty to look appealing in their uniforms. Australian competitor Nicole Sanderson said about match break entertainment that "it's kind of disrespectful to the female players. I'm sure the male spectators love it, but I find it a little bit offensive."
Sports journalism expert Kimberly Bissell conducted a study on the camera angles used during the 2004 Summer Olympics beach volleyball games. Bissell found that 20% of the camera angles were focused on the women's chests, and 17% on their buttocks. Bissell theorized that the appearance of the players draws fans attention more than their actual athleticism.
Sports commentator Jeanne Moos commented, "Beach volleyball has now joined go-go girl dancing as perhaps the only two professions where a bikini is the required uniform." British Olympian Denise Johns argues that the regulation uniform is intended to be "sexy" and to attract attention. Rubén Acosta, president of the FIVB, says that it makes the game more appealing to spectators.
Bodybuilding
From the 1950s to mid-1970s, men's bodybuilding contest formats were often supplemented with women's beauty contests or bikini shows. The winners earned titles like Miss Body Beautiful, Miss Physical Fitness and Miss Americana, and also presented trophies to the winners of the men's contest. In the 1980s, the Ms Olympia competition started in the US and in the UK the NABBA (National Amateur Body Building Association) renamed Miss Bikini International to Ms Universe. In 1986, the Ms Universe competition was divided into two sections – "physique" (for a more muscular physique) and "figure" (traditional feminine presentation in high heels). In November 2010 the IFBBF (International Federation of BodyBuilding & Fitness) introduced a women's bikini contest for women who do not wish to build their muscles to figure competition levels.
Costumes are regulation "posing trunks" (bikini briefs) for both men and women. Female bodybuilders in America are prohibited from wearing thongs or T-back swimsuits in contests filmed for television, though they are allowed to do so by certain fitness organizations in closed events. For men, the dress code specifies "swim trunks only (no shorts, cut-off pants, or Speedos)."
Other sports
Women in athletics often wear bikinis of similar size as those worn in beach volleyball. Amy Acuff, a US high-jumper, wore a black leather bikini instead of a track suit at the 2000 Summer Olympics. Runner Florence Griffith-Joyner mixed bikini bottoms with one-legged tights at the 1988 Summer Olympics, earning her more attention than her record-breaking performance in the women's 200 meters event. In the 2007 South Pacific Games, the rules were adjusted to allow players to wear less revealing shorts and cropped sports tops instead of bikinis. At the 2006 Asian Games, organizers banned bikini-bottoms for female athletes and asked them to wear long shorts.
String bikinis and other revealing clothes are common in surfing, though most surfing bikinis are more robust with more coverage than sunning bikinis. Surfing Magazine printed a pictorial of Kymberly Herrin, Playboy Playmate March 1981, surfing in a revealing bikini, and eventually started an annual bikini issue. The Association of Surfing Professionals often pairs female surf meets with bikini contests, an issue that divides the female pro-surfing community into two parts. It has often been more profitable to win the bikini contest than the female surfing event.
Body ideals
In 1950, American swimsuit mogul Fred Cole, owner of Cole of California, told Time that bikinis were designed for "diminutive Gallic women", as because "French girls have short legs... swimsuits have to be hiked up at the sides to make their legs look longer." In 1961, The New York Times reported the opinion that the bikini is permissible for people who are not "too fat or too thin". In the 1960s etiquette writer Emily Post decreed that "[A bikini] is for perfect figures only, and for the very young." In The Bikini Book by Kelly Killoren Bensimon, swimwear designer Norma Kamali says, "Anyone with a tummy" should not wear a bikini. Since then, a number of bikini designers including Malia Mills have encouraged women of all ages and body types to take up the style. The 1970s saw the rise of the lean ideal of female body and figures like Cheryl Tiegs. Her figure remained in vogue in the 21st century.
The fitness boom of the 1980s led to one of the biggest leaps in the evolution of the bikini. According to Mills, "The leg line became superhigh, the front was superlow, and the straps were superthin." Women's magazines used terms like "Bikini Belly", and workout programs were launched to develop a "bikini-worthy body". The tiny "fitness-bikinis" made of lycra were launched to cater to this hardbodied ideal. Movies like Blue Crush and TV reality shows like Surf Girls merged the concepts of bikini models and athletes together, further accentuating the toned body ideal. Motivated by yearly Spring Break festivities that mark the start of the bikini season in North America, many women diet in an attempt to achieve the ideal bikini body; some take this to extremes including self-starvation, leading to eating disorders.
In 1993, Suzy Menkes, then Fashion Editor of the International Herald Tribune, suggested that women had begun to "revolt" against the "body ideal" and bikini "exposure." She wrote, "Significantly, on the beaches as on the streets, some of the youngest and prettiest women (who were once the only ones who dared to bare) seem to have decided that exposure is over." Nevertheless, professional beach volleyball player Gabrielle Reece, who competes in a bikini, claims that "confidence" alone can make a bikini sexy. One survey commissioned by Diet Chef, a UK home delivery service, reported by The Today Show and ridiculed by More magazine, showed that women should stop wearing bikinis by the age of 47.
Bikini underwear
Certain types of underwear are described as bikini underwear and are designed for men and women. For women, bikini or bikini-style underwear is underwear that is similar in size and form to a regular bikini. It can refer to virtually any undergarment that provides less coverage to the midriff than lingerie, panties or knickers, especially suited to clothing such as crop tops. For men, bikini briefs are underpants that resemble women's bikini bottoms, being smaller and more revealing than men's classic briefs. Men's bikini briefs can be low- or high-side that are usually lower than the true waist, often at hips, and usually have no access pouch or flap, nor leg bands at tops of thighs. String bikini briefs have front and rear sections that meet in the crotch but not at the waistband, with no fabric on the side of the legs.
Swimwear and underwear have similar design considerations, both being form-fitting garments. The main difference is that, unlike underwear, swimwear is open to public view. The swimsuit was, and is, following underwear styles, and at about the same time that attitudes towards the bikini began to change, underwear underwent a redesign towards a minimal, unboned design that emphasized comfort first.
History
As the swimsuit was evolving, underwear also started to change. Between 1900 and 1940, swimsuit lengths followed the changes in underwear designs. In the 1920s women started discarding the corset, while the Cadole company of Paris started developing something they called the "breast girdle". During the Great Depression, panties and bras became softly constructed and were made of various elasticized yarns making underwear fit like a second skin. By the 1930s underwear styles for both women and men were influenced by the new brief models of swimwear from Europe. Although the waistband was still above the navel, the leg openings of the panty brief were cut in an arc to rise from the crotch to the hip joint. The brief served as a template for most variations of panties for the rest of the century. Warner standardized the concept of Cup size in 1935. The first underwire bra was developed in 1938. Beginning in the late thirties, , a type of men's briefs, were introduced, featuring very high-cut leg openings and a lower rise to the waistband. Howard Hughes designed a push-up bra to be worn by Jane Russell in The Outlaw in 1943, although Russell stated in interviews that she never wore the 'contraption'. In 1950 Maidenform introduced the first official bust enhancing bra.
By the 1960s, the bikini swimsuit influenced panty styles and coincided with the cut of the new lower rise jeans and pants. In the seventies, with the emergence of skintight jeans, thong versions of the panty became mainstream, since the open, stringed back eliminated any tell-tale panty lines across the rear and hips. By the 1980s the design of the French-cut panty pushed the waistband back up to the natural waistline and the rise of the leg openings was nearly as high (French Cut panties come up to the waist, has a high cut leg, and usually are full in the rear). As with the bra and other type of lingerie, manufacturers of the last quarter of the century marketed panty styles that were designed primarily for their sexual allure. From this decade sexualization and eroticization of the male body was on the rise. The male body was celebrated through advertising campaigns for brands such as Calvin Klein, particularly by photographers Bruce Weber and Herb Ritts. Male bodies and men's undergarments were commodified and packaged for mass consumption, and swimwear and sportswear were influenced by sports photography and fitness. Over time, swimwear evolved from weighty wool to high-tech skin-tight garments, eventually cross-breeding with sportswear, underwear and exercise wear, resulting in the interchangeable fashions of the 1990s.
Men's bikini
The term men's bikini is sometimes used to describe swim briefs. Men's bikinis can have high or low side panels, and string sides or tie sides. Most lack a button or flap front. Unlike swim briefs, bikinis are not designed for drag reduction and generally lack a visible waistband. Suits less than 1.5 inches wide at the hips are less common for sporting purposes and are most often worn for recreation, fashion, and sun tanning. The posing brief standard to bodybuilding competitions is an example of this style. Male punk rock musicians have performed on the stage wearing bikini briefs. The 2000 Bollywood film Hera Pheri shows men sunbathing in bikinis, who were mistakenly believed to be women from a distance.
Male bikini tops also exist and are often used as visual gags. A mankini is a type of sling swimsuit worn by men. The term is inspired by the word bikini. It was popularized by English comedian Sacha Baron Cohen when he donned one for comic effect in the film Borat.
Bikini waxing
Bikini waxing is the epilation of pubic hair beyond the bikini line by use of waxing. The bikini line delineates the part of a woman's pubic area to be covered by the bottom part of a bikini, which means any pubic hair visible beyond the boundaries of a swimsuit. Visible pubic hair is widely culturally disapproved, considered to be embarrassing, and often removed.
As popularity of bikinis grew, the acceptability of pubic hair diminished. But, with certain styles of women's swimwear, pubic hair may become visible around the crotch area of a swimsuit. With the reduction in the size of swimsuits, especially since the advent of the bikini after 1945, the practice of bikini waxing has also become popular. The Brazilian style which became popular with the rise of thong bottoms.
Depending on the style of bikini-bottom and the amount of skin visible outside the bikini, pubic hair may be styled into several styles: American waxing (removal of pubic hair from the sides, top of the thighs, and under the navel), French waxing (leaving only a vertical strip in front), or Brazilian waxing (removal of all hair in the pelvic area, particularly suitable for thong bottoms).
Bikini tan
The tan lines created by the wearing of a bikini while tanning are known as a bikini tan. These tan lines separate pale breasts, crotch, and buttocks from otherwise tanned skin. Prominent bikini tan lines were popular in the 1990s, and a spa in Brazil started offering perfect bikini tan lines using masking tapes in 2016.
As bikinis leave most of the body exposed to potentially dangerous UV radiation, overexposure can cause sunburn, skin cancer, as well as other acute and chronic health effects on the skin, eyes, and immune system. As a result, medical organizations recommend that bikini wearers protect themselves from UV radiation by using broad-spectrum sunscreen, which has been shown to protect against sunburn, skin cancer, wrinkling and sagging skin.
A 1969 innovation of tan-through swimwear uses fabric which is perforated with thousands of micro holes that are nearly invisible to the naked eye, but which let enough sunlight through to produce a line-free tan.
See also
Women's beachwear fashion
Cultural views on the navel
Bikini in popular culture
References
External links
Metropolitan Museum of Art exhibition—The Bikini
The California Swimsuit
Two-Piece Be With You: LIFE Celebrates the Bikini
1940s fashion
1990s fashion
2000s fashion
2010s fashion
1946 clothing
Bikini Atoll
Women's clothing | 7 |
Bishkek (, ; ), formerly Pishpek and Frunze, is the capital and largest city of Kyrgyzstan. Bishkek is also the administrative centre of the Chüy Region. The region surrounds the city, although the city itself is not part of the region but rather a region-level unit of Kyrgyzstan. Bishkek is situated near the Kazakhstan–Kyrgyzstan border with its population being 1,074,075 in 2021.
In 1825, the Khanate of Kokand established the fortress of Pishpek to control local caravan routes and to collect tribute from Kyrgyz tribes. On 4 September 1860, with the approval of the Kyrgyz, Russian forces led by Colonel Apollon Zimmermann destroyed the fortress. In the present day, the fortress ruins can be found just north of Jibek jolu street, near the new main mosque. In 1868, a Russian settlement was established on the site of the fortress under its original name, Pishpek. It lay within the General Governorship of Russian Turkestan and its Semirechye Oblast.
In 1925, the Kara-Kirghiz Autonomous Oblast was established in Russian Turkestan, promoting Pishpek to its capital. In 1926, the Communist Party of the Soviet Union renamed the city Frunze, after Bolshevik military leader Mikhail Frunze (1885–1925), who was born there. In 1936, Frunze became the capital of the Kirghiz Soviet Socialist Republic, during the final stages of national delimitation in the Soviet Union. In 1991, the Kyrgyz parliament changed the capital's name to Bishkek.
Bishkek is situated at an altitude of about , just off the northern fringe of the Kyrgyz Ala-Too Range, an extension of the Tian Shan mountain range. These mountains rise to a height of . North of the city, a fertile and gently undulating steppe extends far north into neighbouring Kazakhstan. The river Chüy drains most of the area. Bishkek is connected to the Turkestan–Siberia Railway by a spur line.
Bishkek is a city of wide boulevards and marble-faced public buildings combined with numerous Soviet-style apartment blocks surrounding interior courtyards. There are also thousands of smaller, privately built houses, mostly outside the city centre. Streets follow a grid pattern, with most flanked on both sides by narrow irrigation channels, which provide water to trees which provide shade during the hot summers.
Etymology
Bishkek is supposedly named after the paddle used to churn the fermenting milk.
The official website of the Bishkek's city hall provides the following etymological justification for the name of the city: the pregnant wife of a heo lost a paddle used to churn kumis. While looking for it, she suddenly gave birth to a boy, who she named Bishkek. Bishkek would grow up to be a noble figure and after his death, was buried on a mound near the banks of the Alamüdün. There, a tombstone was erected. The building was seen and described by travelers of the 17th and 18th centuries.
History
Based on DNA evidence, the area near Bishkek is considered one of the possible origins of the Black Death between AD 1346 and 1353.
Kokhand rule
Originally a caravan rest stop, possibly founded by the Sogdians, on one of the branches of the Silk Road through the Tian Shan range, the location was fortified in 1825 by the khan of Kokand with a mud fort. In the last years of Kokhand rule, the Pishpek fortress was led by Atabek, the Datka. In 1844, the forces of Ormon Khan, the leader of the , briefly captured the fortress.
Tsarist era
In 1860, Imperial Russia annexed the area, and the military forces of Colonel took and razed the fort. Colonel Zimmermann rebuilt the town over the destroyed fort and appointed field-Poruchik Titov as head of a new Russian garrison. The Imperial Russian government redeveloped the site from 1877 onward, encouraging the settlement of Russian peasants by giving them fertile land to develop.
Soviet era
In 1926, the city became the capital of the newly established Kirghiz ASSR and was renamed Frunze after Mikhail Frunze, Lenin's close associate who was born in Bishkek and played key roles during the revolutions of 1905 and 1917 and during the Russian Civil War of the early 1920s.
Independence era
The early 1990s were a tumultuous time for Bishkek. In June 1990, a state of emergency was declared following severe ethnic riots in southern Kyrgyzstan that threatened to spread to the capital. The city was renamed Bishkek on 5 February 1991, and Kyrgyzstan achieved independence later that year during the breakup of the Soviet Union. Before independence, the majority of Bishkek's population were ethnic Russians. In 2004, Russians made up approximately 20% of the city's population, and about in 2011.
Bishkek is Kyrgyzstan's financial centre, with all of the country's 21 commercial banks headquartered there. During the Soviet era, the city was home to many industrial plants, but most have been shut down since 1991 or now operate on a much-reduced scale. One of Bishkek's largest employment centres today is the Dordoy Bazaar open market, where many of the Chinese goods imported to CIS countries are sold.
Geography
Orientation
Although Bishkek itself is relatively young, its surrounding area has some sites of interest dating to prehistoric times. There are also sites from the Greco-Buddhist period, the period of Nestorian influence, the era of the Central Asian khanates, and the Soviet period.
The central part of the city is laid out on a rectangular grid plan. The city's main street is the east-west Chüy Avenue (Chüy Prospekti), named after the region's main river. In the Soviet era, it was called Lenin Avenue. Along or near it are many important government buildings and universities. These include the Academy of Sciences compound. The westernmost section of the avenue is known as Deng Xiaoping Avenue.
The main north–south street is Yusup Abdrakhmanov Street, still commonly referred to by its old name, Sovietskaya Street. Its northern and southern sections are called, respectively, Yelebesov and Baityk Batyr Streets. Several major shopping centres are located along with it, and in the north, it provides access to Dordoy Bazaar.
Erkindik ("Freedom") Boulevard runs from north to south, from the main railroad station (Bishkek II) south of Chüy Avenue to the museum quarter and sculpture park just north of Chüy Avenue, and further north toward the Ministry of Foreign Affairs. In the past, it was called Dzerzhinsky Boulevard, named after a Communist revolutionary, Felix Dzerzhinsky, and its northern continuation is still called Dzerzhinsky Street.
An important east–west street is Jibek Jolu ('Silk Road'). It runs parallel to Chüy Avenue about north of it and is part of the main east–west road of Chüy Region. Both the eastern and western bus terminals are located along Jibek Jolu.
There is a Roman Catholic church located at ul. Vasiljeva 197 (near Rynok Bayat). It is the only Catholic cathedral in Kyrgyzstan.
A stadium named in honour of Dolon Omurzakov is located near the centre of Bishkek. This is the largest stadium in the Kyrgyz Republic.
City centre
Kyrgyz State Historical Museum, located in Ala-Too Square, the main city square.
State Museum of Applied Arts, containing examples of traditional Kyrgyz handicrafts.
Frunze House Museum.
Statue of Ivan Panfilov in the park near the White House.
An equestrian statue of Mikhail Frunze stands in a large park (Boulevard Erkindik) across from the train station.
The train station was built in 1946 by German prisoners of war and has survived since then without further renovation or repairs; most of those who built it perished and were buried in unmarked pits near the station.
The main government building, the White House, is a large seven-story marble building and the former headquarters of the Communist Party of the Kirghiz SSR.
At Ala-Too Square there is an independence monument where the changing of the guards may be watched.
Osh Bazaar, west of the city centre, is a large, picturesque produce market.
Kyrgyz National Philharmonic, concert hall.
Outer neighbourhoods
The Dordoy Bazaar, just inside the bypass highway on the north-eastern edge of the city, is a major retail and wholesale market.
Outside the city
The Kyrgyz Ala-Too mountain range, some away, provides a spectacular backdrop to the city; the Ala Archa National Park is only a 30 to 45 minutes drive away.
Distances
Bishkek is about 300 km away directly from the country's second largest city Osh. However, its nearest large city is Almaty of Kazakhstan, which is 190 km to the east. Furthermore, it is 470 km from Tashkent (Uzbekistan), 680 km from Dushanbe (Tajikistan), and about 1,000 km each from Astana (Kazakhstan), Ürümqi (China), Islamabad (Pakistan), and Kabul (Afghanistan).
Climate
Bishkek has a Mediterranean-influenced humid continental climate (Köppen climate classification Dsa), as the average mean temperature in the winter is below . Average precipitation is around per year. Average daily high temperatures range from in January to about during July. The summer months are dominated by dry periods, punctuated by the occasional thunderstorm, which produces strong gusty winds and rare dust storms. The mountains to the south provide a natural boundary and protection from damaging weather, as does the smaller mountain chain that runs north-west to south-east. In the winter months, sparse snow storms and frequent heavy fog are the dominating features. There are sometimes temperature inversions, during which the fog can last for days at a time.
Demographics
Bishkek is the most populated city in Kyrgyzstan. Its population, estimated in 2021, was 1,074,075. From the foundation of the city to the mid-1990s, ethnic Russians and other peoples of European descent (Ukrainians, Germans) comprised the majority of the city's population. According to the 1970 census, the ethnic Kyrgyz were only 12.3%, while Europeans comprised more than 80% of the Frunze population. Now Bishkek is a predominantly Kyrgyz city, with 75% of its residents Kyrgyz, while European peoples make up around 15% of the population. Despite this fact, Russian is the main language while Kyrgyz continues losing ground, especially among the younger generations.
Ecology and environment
Air quality
Emissions of air pollutants in Bishkek amounted to 14,400 tons in 2010. Among all cities in Kyrgyzstan, the level of air pollution in Bishkek is the highest, occasionally exceeding maximum allowable concentrations by several times, especially in the city centre. For example, concentrations of formaldehyde occasionally exceed maximum allowable limits by a factor of four.
Responsibility for ambient air quality monitoring in Bishkek lies with the Kyrgyz State Agency of Hydrometeorology. There are seven air-quality monitoring stations in Bishkek, measuring levels of sulfur dioxide, nitrogen oxides, formaldehyde, and ammonia.
Economy
Bishkek uses the Kyrgyzstan currency, the som. The som's value fluctuates regularly but averaged around 85 som per U.S. dollar as of March 2023. The economy in Bishkek is primarily agricultural, and agricultural products are sometimes bartered in the outlying regions. The streets of Bishkek are regularly lined with produce vendors in a market-style venue. In most of the downtown area there is a more urban cityscape with banks, stores, markets, and malls. Sought-after goods include hand-crafted artisan pieces, such as statues, carvings, paintings, and many nature-based sculptures.
Housing
As with many cities in post-Soviet states, housing in Bishkek has undergone extensive changes since the collapse of the Soviet Union. While housing was formerly distributed to citizens in the Soviet era, housing in Bishkek has since become privatised.
Though single-family houses are slowly becoming more popular, the majority of the residents live in Soviet-era apartments. Despite the Kyrgyz economy experiencing growth, increases in available housing have been slow with very little new construction. As a result of this growing prosperity and the lack of new formal housing, prices have been rising significantly—doubling from 2001 to 2002.
Those unable to afford the high housing price within Bishkek, notably internal migrants from rural villages and small provincial towns, often have to resort to informal squatter settlements on the city's outskirts. These settlements are estimated to house 400,000 people or about 30 percent of Bishkek's population. While many of the settlements have lacked basic necessities such as electricity and running water, recently, the local government has pushed to provide these services.
Government
Local government is administered by the Bishkek Mayor's Office. Askarbek Salymbekov was mayor until his resignation in August 2005, after which his deputy, Arstanbek Nogoev, took over the mayorship. Nogoev was in turn removed from his position in October 2007 through a decree of President Kurmanbek Bakiyev and replaced by businessman and former first deputy prime minister Daniar Usenov. In July 2008 former head of the Kyrgyz Railways Nariman Tuleyev was appointed mayor, who was dismissed by the interim government after 7 April 2010. From April 2010 to February 2011 Isa Omurkulov, also a former head of the Kyrgyz Railways, was an interim mayor, and from 4 February 2011 to 14 December 2013 he was re-elected the mayor of Bishkek. Kubanychbek Kulmatov was nominated for election by parliamentary group of Social Democratic Party of Kyrgyzstan in city kenesh, and he was elected as a new mayor on 15 January 2014, and stepped down on 9 February 2016.
The next mayor, Albek Sabirbekovich Ibraimov, was also nominated for election by parliamentary group of Social Democratic Party of Kyrgyzstan in city kenesh, and Bishkek City Kenesh elected him on 27 February 2016. The current mayor is Emil Abdykadyrov, who was elected on 24 February 2022.
Administrative divisions
Bishkek city covers and is administered separately and not part of any region. Besides the city proper, one urban-type settlement and one village are administered by the city: Chong-Aryk and Orto-Say. The city is divided into 4 districts: Birinchi May, Lenin, Oktyabr and Sverdlov. Chong-Aryk and Orto-Say are part of Lenin District. Since the collapse of the Soviet Union, there has been discussion of replacing the Soviet era district names with ones that reflect Kyrgyz identity and history. Other former Soviet republics have widely replaced Soviet era place names; despite renaming the capital in 1991, Kyrgyzstan is the only nation in Central Asia to retain Soviet era names for districts in its capital.
Culture
Bishkek is culturally the country's most important city. It is home to the National Library of the Kyrgyz Republic as well as a number of museums, e.g. the Kyrgyz State Historical Museum or the M. V. Frunze Museum. The national public broadcasting service KTRK or Kyrgyz Television is based in Bishkek. Newspapers in Bishkek include the English-language Bishkek Observer, the world's only dungan-language newspaper called Huimin bao and the russian-language Vecherniy Bishkek newspaper.
Religion
The largest religion is Sunni Islam, but since many Russians live in Kyrgyzstan, there is also a large Russian Orthodox community. The Bishkek Central Mosque is one of the largest in Central Asia. Bishkek is home to the Roman Catholic Apostolic Administration of Kyrgyzstan.
Sports
Bishkek is home to Dolen Omurzakov Stadium, the largest football stadium in Kyrgyzstan and the only one eligible to host international matches. Several Bishkek-based football teams play on this pitch, including six-time Kyrgyzstan League champions, Dordoi Bishkek. Others include Alga Bishkek, Ilbirs Bishkek, and RUOR-Guardia Bishkek.
Bishkek hosted the 2014 IIHF Challenge Cup of Asia – Division I.
Education
Educational institutions in Bishkek include:
APAP KR
American University of Central Asia
Arabaev Kyrgyz State University
Bishkek Humanities University
International Atatürk-Alatoo University
International University of Kyrgyzstan
Kyrgyz-Russian Slavic University
I.K. Akhunbaev Kyrgyz State Medical Academy
Kyrgyz State National University
Kyrgyz Technical University
Kyrgyz-Russian State University
Kyrgyz-Turkish Manas University
Kyrgyz Uzbek University
Plato University of Management and Design
University of Central Asia
In addition, the following international schools serve the expatriate community in Bishkek:
European School in Central Asia
Oxford International School Bishkek
Hope Academy of Bishkek
QSI International School of Bishkek
Silk Road International School
Transportation
Mass public transport
Public transportation includes buses, electric trolleybuses, and public vans (known in Russian as marshrutka). The first bus and trolley bus services in Bishkek were introduced in 1934 and 1951, respectively.
Taxi cabs can be found throughout the city.
The city is considering designing and building a light rail system.
Commuter and long-distance buses
There are two main bus stations in Bishkek. The smaller old Eastern Bus Station is primarily the terminal for minibusses to various destinations within or just beyond the eastern suburbs, such as Kant, Tokmok, Kemin, Issyk Ata, or the Korday border crossing.
Long-distance regular bus and minibus services to all parts of the country, as well as to Almaty (the largest city in neighbouring Kazakhstan) and Kashgar, China, run mostly from the newer grand Western Bus Station; only a smaller number run from the Eastern Station.
The Dordoy Bazaar on the north-eastern outskirts of the city also contains makeshift terminals for frequent minibusses to suburban towns in all directions (from Sokuluk in the west to Tokmak in the east) and to some buses taking traders to Kazakhstan and Siberia.
Rail
, the Bishkek-2 railway station sees only a few trains a day. It offers a popular three-day train service from Bishkek to Moscow.
There are also long-distance trains that leave for Siberia (Novosibirsk and Novokuznetsk), via Almaty, over the TurkSib route, and to Yekaterinburg (Sverdlovsk) in the Urals, via Astana. These services are remarkably slow (over 48 hours to Yekaterinburg), due to long stops at the border and the indirect route (the trains first have to go west for more than a before they enter the main TurkSib line and can continue to the east or north). For example, as of the fall of 2008, train No. 305 Bishkek-Yekaterinburg was scheduled to take 11 hours to reach the Shu junction—a distance of some by rail, and less than half of that by road.
Air
The city is served by Manas International Airport (IATA code FRU), located approximately north-west of the city centre.
In 2002, the United States obtained the right to use Manas International Airport as an air base for its military operations in Afghanistan and Iraq. Russia subsequently (2003) established an airbase of its own (Kant Air Base) near Kant, some east of Bishkek. It is based at a facility that used to be home to a major Soviet military pilot training school; one of its students, Hosni Mubarak, later became president of Egypt.
Notable people
Talant Dujshebaev (born 1968), handball coach and former handball player (voted 2nd IHF World Player of the Century)
Mikhail Frunze (1885–1925), after whom the city was named from 1926 to 1991
Nasirdin Isanov (1943–1991), first prime minister of Kyrgyzstan
Denis Ivanov (born 1983), former Russian professional football player
Sergei B. Korolev (born 1962), First Deputy Director of the Federal Security Service
Alexander Mashkevitch (born 1954), Kazakh-Israeli billionaire businessman and investor
Orzubek Nazarov (born 1966), former WBA lightweight boxing champion
Roza Isakovna Otunbayeva (born 1950), third president of Kyrgyzstan
Vladimir Perlin (born 1942), cellist
Denis Petrashov (born 2000), swimmer, Youth Games and Maccabiah Games medalist
Salizhan Sharipov (born 1964), first cosmonaut of the independent Kyrgyz Republic
Antonina Shevchenko (born 1984), kickboxer
Valentina Shevchenko (born 1988), kickboxer and UFC champion
Tugelbay Sydykbekov (1912–1997), writer
Natalya Tsyganova (born 1971), 800m medallist at the World and European championships, representing Russia
Twin towns – sister cities
Bishkek is twinned with:
Almaty, Kazakhstan (1994)
Ankara, Turkey (1992)
Ashgabat, Turkmenistan (2018)
Colorado Springs, United States (1994)
Doha, Qatar (2014)
Gumi, South Korea (1991)
İzmir, Turkey (1994)
Kyiv, Ukraine (1997)
Lianyungang, China (2015)
Astana, Kazakhstan (2011)
Qazvin, Iran (2003)
Samsun, Turkey
Shenzhen, China (2016)
Tashkent, Uzbekistan
Tehran, Iran (1994)
Trabzon, Turkey (2014)
Ufa, Russia (2017)
Ürümqi, China (1993)
Wuhan, China (2016)
Yinchuan, China (2000)
See also
List of monuments of Bishkek
Outline of Kyrgyzstan
References
Bibliography
External links
The Spektator – society, culture, and travel articles on Kyrgyzstan and Bishkek city guide (archived)
1825 establishments in Asia
Capitals in Asia
Cities in Central Asia
Populated places along the Silk Road
Populated places established in 1825
Populated places in Kyrgyzstan
Regions of Kyrgyzstan
Semirechye Oblast | 10 |
Braveheart is a 1995 American epic historical drama film directed by, produced by, and starring Mel Gibson. Gibson portrays Sir William Wallace, a late-13th century Scottish warrior who led the Scots in the First War of Scottish Independence against King Edward I of England. The film also stars Sophie Marceau, Patrick McGoohan and Catherine McCormack. The story is inspired by Blind Harry's 15th century epic poem The Actes and Deidis of the Illustre and Vallyeant Campioun Schir William Wallace and was adapted for the screen by Randall Wallace.
Development on the film initially started at Metro-Goldwyn-Mayer (MGM) when producer Alan Ladd Jr. picked up the project from Wallace, but when MGM was going through new management, Ladd left the studio and took the project with him. Despite initially declining, Gibson eventually decided to direct the film, as well as star as Wallace. Braveheart was filmed in Scotland and Ireland from June to October 1994. The film, which was produced by Gibson's Icon Productions and The Ladd Company, was distributed by Paramount Pictures in North America and by 20th Century Fox internationally.
Released on May 24, 1995, Braveheart was a critical and commercial success. The film received praise for its action, drama, and romance, though it was criticized for its historically inaccuracies. A legacy sequel, Robert the Bruce, was released on June 28, 2019, with Angus Macfadyen reprising his role.
Plot
In 1280, King Edward "Longshanks" invades and conquers Scotland following the death of the Scots king Alexander III, who left no heir to the throne. Young William Wallace witnesses Longshanks's execution of several Scottish nobles, suffers the deaths of his father and brother fighting against the English, and is taken abroad on a pilgrimage throughout Europe by his paternal uncle Argyle, who has Wallace educated.
Years later, Longshanks grants his noblemen land and privileges in Scotland, including ius primae noctis. Meanwhile, a grown Wallace returns to Scotland, rekindles the love with his childhood sweetheart Murron MacClannough, and the two marry in secret. Wallace rescues Murron from being raped by English soldiers, but as Wallace fights off the soldiers, Murron is captured and publicly executed. In retribution, Wallace leads his clan to fight the English garrison in his hometown and sends the surviving garrison back to England with a message of rebellion for Longshanks.
Longshanks orders his son Prince Edward to stop Wallace by any means necessary while he visits the French King to secure England's alliance with France. Alongside his friend Hamish, Wallace rebels against the English, and as his legend spreads, hundreds of Scots from the surrounding clans join him. Wallace leads his army to victory at the Battle of Stirling Bridge, where he decapitates the English commander Cheltham, and sacks York after Prince Edward fails to send reinforcements there, killing Longshanks's nephew whose severed head is sent to the king. Wallace seeks the assistance of Robert the Bruce, the son of nobleman Robert the Elder, a contender for the Scottish crown. Robert is dominated by his leper father, who wishes to secure the Scottish throne for his son by submitting to the English. Worried by the threat of the rebellion, Longshanks sends his son's wife Isabella of France to try to negotiate with Wallace as a distraction for the landing of another invasion force in Scotland.
After meeting him in person, Isabella becomes enamored with Wallace. She warns him of the coming invasion, and Wallace implores the Scottish nobility to take immediate action to counter the threat and take back their country, asking Robert the Bruce to lead. Leading the English army himself, Longshanks confronts the Scots at Falkirk. During the battle, Scottish noblemen Mornay and Lochlan, having been bribed by Longshanks, withdraw their men, resulting in Wallace's army being routed and the death of Hamish's father, Campbell. Wallace is further betrayed when he discovers Robert the Bruce was fighting alongside Longshanks; after the battle, seeing the damage he helped do to his countrymen, Robert reprimands his father and vows never to be on the wrong side again.
Wallace kills Lochlan and Mornay for their betrayal and wages a guerrilla war against the English, assisted by Isabella, with whom he eventually has an affair. Robert sets up a meeting with Wallace in Edinburgh, but Robert's father conspires with other nobles to capture and hand over Wallace to the English. Learning of his treachery, Robert disowns and banishes his father. Isabella exacts revenge on the now terminally ill Longshanks, who can no longer speak, by telling him that his bloodline will be destroyed upon his death as she is pregnant with Wallace's child and will ensure that Prince Edward spends as short a time as possible on the throne before Wallace's child replaces him.
In London, Wallace is brought before an English magistrate, tried for high treason, and condemned to public torture and beheading. Even whilst being disemboweled alive, Wallace refuses to submit to the king. The watching crowd, deeply moved by the Scotsman's valor, begin crying for mercy on Wallace's behalf. The magistrate offers him one final chance, asking him only to utter the word, "Mercy", and be granted a quick death. Wallace instead shouts, "Freedom!", and his cry rings through the square, the dying Longshanks hearing it at his final breath. Before being beheaded, Wallace sees a vision of Murron in the crowd, smiling at him.
In 1314, Robert, now Scotland's king, leads a Scottish army before a ceremonial line of English troops on the fields of Bannockburn, where he is supposed to formally accept English rule. Instead, he invokes Wallace's memory, imploring his men to fight with him as they did with Wallace. Hamish throws Wallace's sword point-down in front of the English army, and he and the Scots chant Wallace's name as Robert leads them into battle against the English, winning the Scots their freedom.
Cast
Mel Gibson as William Wallace
James Robinson as young William Wallace
Sophie Marceau as Princess Isabella of France
Angus Macfadyen as Robert the Bruce
Patrick McGoohan as King Edward "Longshanks"
Catherine McCormack as Murron MacClannough
Mhairi Calvey as young Murron MacClannough
Brendan Gleeson as Hamish
Andrew Weir as young Hamish
Peter Hanly as Prince Edward
James Cosmo as Campbell
David O'Hara as Stephen of Ireland
Ian Bannen as Bruce's father
Seán McGinley as MacClannough
Brian Cox as Argyle Wallace
Sean Lawlor as Malcolm Wallace
Sandy Nelson as John Wallace
Stephen Billington as Phillip
John Kavanagh as Craig
Alun Armstrong as Mornay
John Murtagh as Lochlan
Tommy Flanagan as Morrison
Donal Gibson as Stewart
Jeanne Marine as Nicolette
Michael Byrne as Smythe
Malcolm Tierney as Magistrate
Bernard Horsfall as Balliol
Peter Mullan as Veteran
Gerard McSorley as Cheltham
Richard Leaf as Governor of York
Mark Lees as Old Crippled Scotsman
Tam White as MacGregor
Jimmy Chisholm as Faudron
David Gant as the Royal Magistrate
Production
Producer Alan Ladd Jr. initially had the project at MGM-Pathé Communications when he picked up the script from Wallace. When MGM was going through new management in 1993, Ladd left the studio and took some of its top properties, including Braveheart. Gibson came across the script and even though he liked it, he initially passed on it. However, the thought of it kept coming back to him, and he ultimately decided to take on the project. Terry Gilliam was offered to direct the film, but he declined. Gibson was initially interested in directing only and considered Brad Pitt in the role of Sir William Wallace, but Gibson reluctantly agreed to play Wallace as well. Gibson also considered Jason Patric for William Wallace. Sean Connery was approached to play King Edward, but he declined due to other commitments. Gibson said that Connery's pronunciation of "Goulash" helped him for the scottish accent for the film.
Gibson and his production company, Icon Productions, had difficulty raising enough money for the film. Warner Bros. was willing to fund the project on the condition that Gibson sign for another Lethal Weapon sequel, which he refused. Gibson eventually gained enough financing for the film, with Paramount Pictures financing a third of the budget in exchange for North American distribution rights to the film, and 20th Century Fox putting up two-thirds of the budget in exchange for international distribution rights.
Principal photography on the film began on June 6, 1994. While the crew spent three weeks shooting on location in Scotland, the major battle scenes were shot in Ireland using members of the Irish Army Reserve as extras. To lower costs, Gibson had the same extras, up to 1,600 in some scenes, portray both armies. The reservists had been given permission to grow beards and swapped their military uniforms for medieval garb. Principal photography ended on October 28, 1994. The film was shot in the anamorphic format with Panavision C- and E-Series lenses.
Gibson had to tone down the film's battle scenes to avoid an NC-17 rating from the MPAA; the final version was rated R for "brutal medieval warfare". Gibson and editor Steven Rosenblum initially had a film at 195 minutes, but Sherry Lansing, who was the head of Paramount at the time, requested Gibson and Rosenblum to cut the film down to 177 minutes. According to Gibson in a 2016 interview with Collider, there is a four-hour version of the film, and he would be interested in reassembling it if both Paramount and Fox are interested.
Soundtrack
The score was composed and conducted by James Horner and performed by the London Symphony Orchestra. It is Horner's second of three collaborations with Mel Gibson as director. The score has gone on to be one of the most commercially successful soundtracks of all time. It received considerable acclaim from film critics and audiences and was nominated for a number of awards, including the Academy Award, Saturn Award, BAFTA Award, and Golden Globe Award.
Release and reception
Braveheart premiered at the Seattle International Film Festival on May 18, 1995, and received its wide release in U.S. cinemas six days later.
Box office
On its opening weekend, Braveheart grossed $9,938,276 in the United States and $75.6 million in its box office run in the U.S. and Canada. Worldwide, the film grossed $210,409,945 and was the thirteenth-highest-grossing film of 1995.
Critical response
On Rotten Tomatoes the film has an approval rating of 75% and an average score of 7.20/10 based on 125 reviews. The site's consensus states: "Distractingly violent and historically dodgy, Mel Gibson's Braveheart justifies its epic length by delivering enough sweeping action, drama, and romance to match its ambition." On Metacritic the film has a score of 68 out of 100 based on 20 critic reviews, indicating "generally favorable reviews". Audiences surveyed by CinemaScore gave the film a grade A- on scale of A to F.
Caryn James of The New York Times praised the film, calling it "one of the most spectacular entertainments in years." Roger Ebert gave the film three and a half out of four stars, calling it "An action epic with the spirit of the Hollywood swordplay classics and the grungy ferocity of The Road Warrior." In a positive review, Gene Siskel wrote that "in addition to staging battle scenes well, Gibson also manages to recreate the filth and mood of 700 years ago." Peter Travers of Rolling Stone felt that "though the film dawdles a bit with the shimmery, dappled love stuff involving Wallace with a Scottish peasant and a French princess, the action will pin you to your seat." The depiction of the Battle of Stirling Bridge was listed by CNN as one of the best battles in cinema history.
Not all reviews were positive, Richard Schickel of Time magazine argued that "everybody knows that a non-blubbering clause is standard in all movie stars' contracts. Too bad there isn't one banning self-indulgence when they direct." Peter Stack of San Francisco Chronicle felt "at times the film seems an obsessive ode to Mel Gibson machismo." In a 2005 poll by British film magazine Empire, Braveheart was No. 1 on their list of "The Top 10 Worst Pictures to Win Best Picture Oscar". Empire readers had previously voted Braveheart the best film of 1995.
Effect on tourism
The European premiere was on September 3, 1995, in Stirling.
In 1996, the year after the film was released, the annual three-day "Braveheart Conference" at Stirling Castle attracted fans of Braveheart, increasing the conference's attendance to 167,000 from 66,000 in the previous year. In the following year, research on visitors to the Stirling area indicated that 55% of the visitors had seen Braveheart. Of visitors from outside Scotland, 15% of those who saw Braveheart said it influenced their decision to visit the country. Of all visitors who saw Braveheart, 39% said the film influenced in part their decision to visit Stirling, and 19% said the film was one of the main reasons for their visit. In the same year, a tourism report said that the "Braveheart effect" earned Scotland £7 million to £15 million in tourist revenue, and the report led to various national organizations encouraging international film productions to take place in Scotland.
The film generated huge interest in Scotland and in Scottish history, not only around the world, but also in Scotland itself. At a Braveheart Convention in 1997, held in Stirling the day after the Scottish Devolution vote and attended by 200 delegates from around the world, Braveheart author Randall Wallace, Seoras Wallace of the Wallace Clan, Scottish historian David Ross and Bláithín FitzGerald from Ireland gave lectures on various aspects of the film. Several of the actors also attended including James Robinson (Young William), Andrew Weir (Young Hamish), Julie Austin (the young bride) and Mhairi Calvey (Young Murron).
Awards and honors
Braveheart was nominated for many awards during the 1995 awards season, though it was not viewed by many as a major contender such as Apollo 13, Il Postino: The Postman, Leaving Las Vegas, Sense and Sensibility, and The Usual Suspects. It wasn't until after the film won the Golden Globe Award for Best Director at the 53rd Golden Globe Awards that it was viewed as a serious Oscar contender.
When the nominations were announced for the 68th Academy Awards, Braveheart received ten Academy Award nominations, and a month later, won five including Best Picture, Best Director for Gibson, Best Cinematography, Best Sound Effects Editing, and Best Makeup. Braveheart became the ninth film to win Best Picture with no acting nominations and is one of only four films to win Best Picture without being nominated for the Screen Actors Guild Award for Outstanding Performance by a Cast in a Motion Picture, the others being The Shape of Water in 2017, Green Book in 2018, and Nomadland in 2020.
The film also won the Writers Guild of America Award for Best Original Screenplay. In 2010, the Independent Film & Television Alliance selected the film as one of the 30 Most Significant Independent Films of the last 30 years
American Film Institute lists
AFI's 100 Years ... 100 Movies – Nominated
AFI's 100 Years ... 100 Thrills – No. 91
AFI's 100 Years...100 Heroes & Villains:
William Wallace – Nominated Hero
AFI's 100 Years ... 100 Movie Quotes:
"They may take away our lives, but they'll never take our freedom!" – Nominated
AFI's 100 Years of Film Scores – Nominated
AFI's 100 Years...100 Cheers – No. 62
AFI's 100 Years ... 100 Movies (10th Anniversary Edition) – Nominated
AFI's 10 Top 10 – Nominated Epic Film
Cultural effects and accusations of Anglophobia
Lin Anderson, author of Braveheart: From Hollywood To Holyrood, credits the film with playing a significant role in affecting the Scottish political landscape in the mid-to-late 1990s. Peter Jackson cited Braveheart as an influence in making the Lord of the Rings film trilogy.
Sections of the English media accused the film of harbouring Anti-English sentiment. The Economist called it "xenophobic", and John Sutherland writing in The Guardian stated that: "Braveheart gave full rein to a toxic Anglophobia". In The Times, Colin McArthur said "the political effects are truly pernicious. It's a xenophobic film." Ian Burrell of The Independent has said, "The Braveheart phenomenon, a Hollywood-inspired rise in Scottish nationalism, has been linked to a rise in anti-English prejudice".
Wallace Monument
In 1997, a , sandstone statue depicting Mel Gibson as William Wallace in Braveheart was placed in the car park of the Wallace Monument near Stirling, Scotland. The statue, which was the work of Tom Church, a monumental mason from Brechin, included the word 'Braveheart' on Wallace's shield. The installation became the cause of much controversy; one local resident stated that it was wrong to "desecrate the main memorial to Wallace with a lump of crap".
In 1998, someone wielding a hammer vandalized the statue's face. After repairs were made, the statue was encased in a cage every night to prevent further vandalism. This only incited more calls for the statue to be removed, as it then appeared that the Gibson/Wallace figure was imprisoned. The statue was described as "among the most loathed pieces of public art in Scotland". In 2008, the statue was returned to its sculptor to make room for a new visitor centre being built at the foot of the Wallace Monument.
Historical inaccuracy
Randall Wallace, who wrote the screenplay, has acknowledged Blind Harry's 15th-century epic poem The Acts and Deeds of Sir William Wallace, Knight of Elderslie as a major inspiration for the film. In defending his script, Randall Wallace has said, "Is Blind Harry true? I don't know. I know that it spoke to my heart and that's what matters to me, that it spoke to my heart." Blind Harry's poem is not regarded as historically accurate, and although some incidents in the film that are not historically accurate are taken from Blind Harry (e.g. the hanging of Scottish nobles at the start), there are large parts that are based neither on history nor Blind Harry (e.g. Wallace's affair with Princess Isabella).
Elizabeth Ewan describes Braveheart as a film that "almost totally sacrifices historical accuracy for epic adventure". It has been described as one of the most historically inaccurate modern films.
Sharon Krossa noted that the film contains numerous historical inaccuracies, beginning with the wearing of belted plaid by Wallace and his men. In that period "no Scots [...] wore belted plaids (let alone kilts of any kind)." Moreover, when Highlanders finally did begin wearing the belted plaid, it was not "in the rather bizarre style depicted in the film". She compares the inaccuracy to "a film about Colonial America showing the colonial men wearing 20th century business suits, but with the jackets worn back-to-front instead of the right way around." In a previous essay about the film, she wrote, "The events aren't accurate, the dates aren't accurate, the characters aren't accurate, the names aren't accurate, the clothes aren't accurate—in short, just about nothing is accurate." The belted plaid (feileadh mór léine) was not introduced until the 16th century. Peter Traquair has referred to Wallace's "farcical representation as a wild and hairy highlander painted with woad (1,000 years too late) running amok in a tartan kilt (500 years too early)."
Caroline White of The Times described the film as being made up of a "litany of fibs."
Irish historian Seán Duffy remarked that "the battle of Stirling Bridge could have done with a bridge."
In 2009, the film was second on a list of "most historically inaccurate movies" in The Times. In the humorous non-fictional historiography An Utterly Impartial History of Britain (2007), author John O'Farrell claims that Braveheart could not have been more historically inaccurate, even if a Plasticine dog had been inserted in the film and the title changed to "William Wallace and Gromit".
In the DVD audio commentary of Braveheart, Mel Gibson acknowledges the historical inaccuracies but defends his choices as director, noting that the way events were portrayed in the film was much more "cinematically compelling" than the historical fact or conventional mythos.
Jus primae noctis
Edward Longshanks is shown invoking Jus primae noctis in the film, allowing the lord of a medieval estate to take the virginity of his serfs' maiden daughters on their wedding nights. Critical medieval scholarship regards this supposed right as a myth: "the simple reason why we are dealing with a myth here rests in the surprising fact that practically all writers who make any such claims have never been able or willing to cite any trustworthy source, if they have any."
Occupation and independence
The film suggests Scotland had been under English occupation for some time, at least during Wallace's childhood, and in the run-up to the Battle of Falkirk Wallace says to the younger Bruce, "[W]e'll have what none of us have ever had before, a country of our own." In fact, Scotland had been invaded by England only the year before Wallace's rebellion; prior to the death of King Alexander III it had been a fully separate kingdom.
Portrayal of William Wallace
As John Shelton Lawrence and Robert Jewett writes, "Because [William] Wallace is one of Scotland's most important national heroes and because he lived in the very distant past, much that is believed about him is probably the stuff of legend. But there is a factual strand that historians agree to", summarized from Scots scholar Matt Ewart:
A. E. Christa Canitz writes about the historical William Wallace further: "[He] was a younger son of the Scottish gentry, usually accompanied by his own chaplain, well-educated, and eventually, having been appointed Guardian of the Kingdom of Scotland, engaged in diplomatic correspondence with the Hanseatic cities of Lübeck and Hamburg". She finds that in Braveheart, "any hint of his descent from the lowland gentry (i.e., the lesser nobility) is erased, and he is presented as an economically and politically marginalized Highlander and 'a farmer'—as one with the common peasant, and with a strong spiritual connection to the land which he is destined to liberate."
Colin McArthur writes that Braveheart "constructs Wallace as a kind of modern, nationalist guerrilla leader in a period half a millennium before the appearance of nationalism on the historical stage as a concept under which disparate classes and interests might be mobilised within a nation state." Writing about Bravehearts "omissions of verified historical facts", McArthur notes that Wallace made "overtures to Edward I seeking less severe treatment after his defeat at Falkirk", as well as "the well-documented fact of Wallace's having resorted to conscription and his willingness to hang those who refused to serve." Canitz posits that depicting "such lack of class solidarity" as the conscriptions and related hangings "would contaminate the movie's image of Wallace as the morally irreproachable primus inter pares among his peasant fighters."
Portrayal of Isabella of France
Isabella of France is shown having an affair with Wallace after the Battle of Falkirk. She later tells Edward I she is pregnant, implying that her son, Edward III, was a product of the affair. In reality, Isabella was around three years old and living in France at the time of the Battle of Falkirk, was not married to Edward II until he was already king, and Edward III was born seven years after Wallace died. The breakdown of the couple's relationship over his liaisons, and the menacing suggestion to a dying Longshanks that she would overthrow and destroy Edward II mirror and foreshadow actual facts; although not until 1326, over 20 years after Wallace's death, Isabella, her son Edward, and her lover Roger Mortimer would invade England to depose - and later allegedly murder - Edward II.
Portrayal of Robert the Bruce
Robert the Bruce did change sides between the Scots loyalists and the English more than once in the earlier stages of the Wars of Scottish Independence, but he probably did not fight on the English side at the Battle of Falkirk (although this claim does appear in a few medieval sources). Later, the Battle of Bannockburn was not a spontaneous battle soon after Wallace's execution; he had already been fighting a guerrilla campaign against the English for eight years. His title before becoming king was Earl of Carrick, not Earl of Bruce. Bruce's father is portrayed as an infirm leper, although it was Bruce himself who allegedly suffered from leprosy in later life. The actual Bruce's machinations around Wallace, rather than the meek idealist in the film, suggests the father-son relationship represent different aspects of the historical Bruce's character. In the film, Bruce's father betrays Wallace to his son's disgust, acknowledging it as the price of his crown, although in real life Wallace was betrayed by the nobleman John de Menteith and delivered to the English.
Portrayal of Longshanks and Prince Edward
The actual Edward I was ruthless and temperamental, but the film exaggerates his negative aspects for effect. Edward enjoyed poetry and harp music, was a devoted and loving husband to his wife Eleanor of Castile, and as a religious man, he gave generously to charity. The film's scene where he scoffs cynically at Isabella for distributing gold to the poor after Wallace refuses it as a bribe would have been unlikely. Furthermore, Edward died on campaign two years after Wallace's execution, not in bed at his home.
The depiction of the future Edward II as an effeminate homosexual drew accusations of homophobia against Gibson.
Gibson defended his depiction of Prince Edward as weak and ineffectual, saying:
In response to Longshanks's murder of the Prince's male lover Phillip, Gibson replied: "The fact that King Edward throws this character out a window has nothing to do with him being gay ... He's terrible to his son, to everybody."
Gibson asserted that the reason Longshanks kills his son's lover is that the king is a "psychopath".
Wallace's military campaign
"MacGregors from the next glen" joining Wallace shortly after the action at Lanark is dubious, since it is questionable whether Clan Gregor existed at that stage, and when they did emerge their traditional home was Glen Orchy, some distance from Lanark.
Wallace did win an important victory at the Battle of Stirling Bridge, but the version in Braveheart is highly inaccurate, as it was filmed without a bridge (and without Andrew Moray, joint commander of the Scots army, who was fatally injured in the battle). Later, Wallace did carry out a large-scale raid into the north of England, but he did not get as far south as York, nor did he kill Longshanks's nephew.
The "Irish conscripts" at the Battle of Falkirk are unhistorical; there were no Irish troops at Falkirk (although many of the English army were, in fact, Welsh).
The two-handed long swords used by Gibson in the film were not in wide use in the period. A one-handed sword and shield would have been more accurate and more efficient, since in the enemy army there were a lot of archers.
The depiction of English cavalry and infantry soldiers using uniform dress and armor is historically inaccurate. In the feudal armies of the late 13th and early 14th century, cavalry would have been made up of nobility and knights all in their self-purchased armour and displaying their coats of arms on surcoats and shields. The armour depicted in the film, small metal plates sewn on a fabric, did not exist and would have been ineffective since it could have been easily pierced by swords, spears, arrows etc. Indeed, a knight of that time period would have worn mail chausses to protect his legs, a mail hauberk over a patted gambeson to protect his upper body and arms, as well as a mail coif and a great helm to protect his head. Another layer of protection, the coat-of-plates, would have been worn over the hauberk, but under the surcoat. Infantry would have looked very diverse, using any kind of armor they could obtain and afford.
The Scottish fighters would have been dressed and armed in the same way as their English opponents. Kilts appeared only in the 16th century, two centuries after the events in the film. Warpaint as seen in the film was used in Scotland, but only by Celtic tribes over a millennium before the events of the film, primarily the Picts. In the time period in which Braveheart is set, Scotland had already been Christianized many centuries before and most ancient Celtic pagan traditions had disappeared. Back scabbard swords were never used at any time in the Middle Ages, except by some Japanese Samurai and Chinese Soldiers, and in those rare cases the scabbards were always removed from the back before the swords were unsheathed. The only times scabbards were carried on the back were by Celtic tribes during antiquity, and they were short, lightweight swords. However, the cavalry charge depicted at the Battle of Stirling Bridge (which did not actually take place at this battle) is a rare correct cinematic depiction of knights charging their enemies with laid-in lances rather than drawn swords.
Home media
Braveheart was released on DVD on August 29, 2000. It was released on Blu-ray as part of the Paramount Sapphire Series on September 1, 2009. It was released on 4K UHD Blu-ray as part of the 4K upgrade of the Paramount Sapphire Series on May 15, 2018.
Sequel
A sequel, titled Robert the Bruce, was released in 2019. The film continues directly on from Braveheart and follows the widow Moira, portrayed by Anna Hutchison, and her family (portrayed by Gabriel Bateman and Talitha Bateman), who save Robert the Bruce, with Angus Macfadyen reprising his role from Braveheart.
The cast includes Jared Harris, Patrick Fugit, Zach McGowan, Emma Kenney, Diarmaid Murtagh, Seoras Wallace, Shane Coffey, Kevin McNally, and Melora Walters. Richard Gray directed the film, with Macfadyen and Eric Belgau writing the script. Helmer Gray, Macfadyen, Hutchison, Kim Barnard, Nick Farnell, Cameron Nuggent, and Andrew Curry produced the film.
Filming took place in 2019 and was completed with a limited cinematic release the same year.
See also
Outlaw King; although not a sequel, it depicts events that occurred immediately after the events in Braveheart
Rob Roy; a historical action drama film featuring Robert Roy MacGregor, an 18th-century Scottish clan chief, and released in the same year.
References
Notes
External links
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The Battle of Jutland (, the Battle of the Skagerrak) was a naval battle fought between Britain's Royal Navy Grand Fleet, under Admiral Sir John Jellicoe, and the Imperial German Navy's High Seas Fleet, under Vice-Admiral Reinhard Scheer, during the First World War. The battle unfolded in extensive manoeuvring and three main engagements (the battlecruiser action, the fleet action, and the night action), from 31 May to 1 June 1916, off the North Sea coast of Denmark's Jutland Peninsula. It was the largest naval battle and the only full-scale clash of battleships of the war. Jutland was the third fleet action between steel battleships, following the Battle of the Yellow Sea in 1904 and the Battle of Tsushima in 1905, during the Russo-Japanese War. Jutland was the last major battle in history fought primarily by battleships.
Germany's High Seas Fleet intended to lure out, trap, and destroy a portion of the British Grand Fleet, as the German naval force was insufficient to openly engage the entire British fleet. This formed part of a larger strategy to break the British blockade of Germany and to allow German naval vessels access to the Atlantic. Meanwhile, Great Britain's Royal Navy pursued a strategy of engaging and destroying the High Seas Fleet, thereby keeping German naval forces contained and away from Britain and her shipping lanes.
The Germans planned to use Vice-Admiral Franz Hipper's fast scouting group of five modern battlecruisers to lure Vice-Admiral Sir David Beatty's battlecruiser squadrons into the path of the main German fleet. They stationed submarines in advance across the likely routes of the British ships. However, the British learned from signal intercepts that a major fleet operation was likely, so on 30 May, Jellicoe sailed with the Grand Fleet to rendezvous with Beatty, passing over the locations of the German submarine picket lines while they were unprepared. The German plan had been delayed, causing further problems for their submarines, which had reached the limit of their endurance at sea.
On the afternoon of 31 May, Beatty encountered Hipper's battlecruiser force long before the Germans had expected. In a running battle, Hipper successfully drew the British vanguard into the path of the High Seas Fleet. By the time Beatty sighted the larger force and turned back towards the British main fleet, he had lost two battlecruisers from a force of six battlecruisers and four powerful battleships—though he had sped ahead of his battleships of 5th Battle Squadron earlier in the day, effectively losing them as an integral component for much of this opening action against the five ships commanded by Hipper. Beatty's withdrawal at the sight of the High Seas Fleet, which the British had not known were in the open sea, would reverse the course of the battle by drawing the German fleet in pursuit towards the British Grand Fleet. Between 18:30, when the sun was lowering on the western horizon, back-lighting the German forces, and nightfall at about 20:30, the two fleets—totalling 250 ships between them—directly engaged twice.
Fourteen British and eleven German ships sank, with a total of 9,823 casualties. After sunset, and throughout the night, Jellicoe manoeuvred to cut the Germans off from their base, hoping to continue the battle the next morning, but under the cover of darkness Scheer broke through the British light forces forming the rearguard of the Grand Fleet and returned to port.
Both sides claimed victory. The British lost more ships and twice as many sailors but succeeded in containing the German fleet. The British press criticised the Grand Fleet's failure to force a decisive outcome, while Scheer's plan of destroying a substantial portion of the British fleet also failed. The British strategy of denying Germany access to both the United Kingdom and the Atlantic did succeed, which was the British long-term goal. The Germans' "fleet in being" continued to pose a threat, requiring the British to keep their battleships concentrated in the North Sea, but the battle reinforced the German policy of avoiding all fleet-to-fleet contact. At the end of 1916, after further unsuccessful attempts to reduce the Royal Navy's numerical advantage, the German Navy accepted that its surface ships had been successfully contained, subsequently turning its efforts and resources to unrestricted submarine warfare and the destruction of Allied and neutral shipping, which—along with the Zimmermann Telegram—by April 1917 triggered the United States of America's declaration of war on Germany.
Subsequent reviews commissioned by the Royal Navy generated strong disagreement between supporters of Jellicoe and Beatty concerning the two admirals' performance in the battle. Debate over their performance and the significance of the battle continues to this day.
Background and planning
German planning
With 16 dreadnought-type battleships, compared with the Royal Navy's 28, the German High Seas Fleet stood little chance of winning a head-to-head clash. The Germans therefore adopted a divide-and-conquer strategy. They would stage raids into the North Sea and bombard the English coast, with the aim of luring out small British squadrons and pickets, which could then be destroyed by superior forces or submarines.
In January 1916, Admiral von Pohl, commander of the German fleet, fell ill. He was replaced by Scheer, who believed that the fleet had been used too defensively, had better ships and men than the British, and ought to take the war to them. According to Scheer, the German naval strategy should be:
On 25 April 1916, a decision was made by the German Imperial Admiralty to halt indiscriminate attacks by submarines on merchant shipping. This followed protests from neutral countries, notably the United States, that their nationals had been the victims of attacks. Germany agreed that future attacks would only take place in accord with internationally agreed prize rules, which required an attacker to give a warning and allow the crews of vessels time to escape, and not to attack neutral vessels at all. Scheer believed that it would not be possible to continue attacks on these terms, which took away the advantage of secret approach by submarines and left them vulnerable to even relatively small guns on the target ships. Instead, he set about deploying the submarine fleet against military vessels.
It was hoped that, following a successful German submarine attack, fast British escorts, such as destroyers, would be tied down by anti-submarine operations. If the Germans could catch the British in the expected locations, good prospects were thought to exist of at least partially redressing the balance of forces between the fleets. "After the British sortied in response to the raiding attack force", the Royal Navy's centuries-old instincts for aggressive action could be exploited to draw its weakened units towards the main German fleet under Scheer. The hope was that Scheer would thus be able to ambush a section of the British fleet and destroy it.
Submarine deployments
A plan was devised to station submarines offshore from British naval bases, and then stage some action that would draw out the British ships to the waiting submarines. The battlecruiser had been damaged in a previous engagement, but was due to be repaired by mid-May, so an operation was scheduled for 17 May 1916. At the start of May, difficulties with condensers were discovered on ships of the third battleship squadron, so the operation was put back to 23 May. Ten submarines—, , , , , , , , , and —were given orders first to patrol in the central North Sea between 17 and 22 May, and then to take up waiting positions. U-43 and U-44 were stationed in the Pentland Firth, which the Grand Fleet was likely to cross when leaving Scapa Flow, while the remainder proceeded to the Firth of Forth, awaiting battlecruisers departing Rosyth. Each boat had an allocated area, within which it could move around as necessary to avoid detection, but was instructed to keep within it. During the initial North Sea patrol the boats were instructed to sail only north–south so that any enemy who chanced to encounter one would believe it was departing or returning from operations on the west coast (which required them to pass around the north of Britain). Once at their final positions, the boats were under strict orders to avoid premature detection that might give away the operation. It was arranged that a coded signal would be transmitted to alert the submarines exactly when the operation commenced: "Take into account the enemy's forces may be putting to sea".
Additionally, UB-27 was sent out on 20 May with instructions to work its way into the Firth of Forth past May Island. U-46 was ordered to patrol the coast of Sunderland, which had been chosen for the diversionary attack, but because of engine problems it was unable to leave port and U-47 was diverted to this task. On 13 May, U-72 was sent to lay mines in the Firth of Forth; on the 23rd, U-74 departed to lay mines in the Moray Firth; and on the 24th, U-75 was dispatched similarly west of the Orkney Islands. UB-21 and UB-22 were sent to patrol the Humber, where (incorrect) reports had suggested the presence of British warships. U-22, U-46 and U-67 were positioned north of Terschelling to protect against intervention by British light forces stationed at Harwich.
On 22 May 1916, it was discovered that Seydlitz was still not watertight after repairs and would not now be ready until the 29th. The ambush submarines were now on station and experiencing difficulties of their own: visibility near the coast was frequently poor due to fog, and sea conditions were either so calm the slightest ripple, as from the periscope, could give away their position, or so rough as to make it very hard to keep the vessel at a steady depth. The British had become aware of unusual submarine activity, and had begun counter-patrols that forced the submarines out of position. UB-27 passed Bell Rock on the night of 23 May on its way into the Firth of Forth as planned, but was halted by engine trouble. After repairs it continued to approach, following behind merchant vessels, and reached Largo Bay on 25 May. There the boat became entangled in nets that fouled one of the propellers, forcing it to abandon the operation and return home. U-74 was detected by four armed trawlers on 27 May and sunk south-east of Peterhead. U-75 laid its mines off the Orkney Islands, which, although they played no part in the battle, were responsible later for sinking the cruiser carrying Lord Kitchener, the Secretary of State for War on 5 June, killing him and all but 12 of the crew. U-72 was forced to abandon its mission without laying any mines when an oil leak meant it was leaving a visible surface trail astern.
Zeppelins
The Germans maintained a fleet of Zeppelins that they used for aerial reconnaissance and occasional bombing raids. The planned raid on Sunderland intended to use Zeppelins to watch out for the British fleet approaching from the north, which might otherwise surprise the raiders.
By 28 May, strong north-easterly winds meant that it would not be possible to send out the Zeppelins, so the raid again had to be postponed. The submarines could only stay on station until 1 June before their supplies would be exhausted and they had to return, so a decision had to be made quickly about the raid.
It was decided to use an alternative plan, abandoning the attack on Sunderland but instead sending a patrol of battlecruisers to the Skagerrak, where it was likely they would encounter merchant ships carrying British cargo and British cruiser patrols. It was felt this could be done without air support, because the action would now be much closer to Germany, relying instead on cruiser and torpedo boat patrols for reconnaissance.
Orders for the alternative plan were issued on 28 May, although it was still hoped that last-minute improvements in the weather would allow the original plan to go ahead. The German fleet assembled in the Jade River and at Wilhelmshaven and was instructed to raise steam and be ready for action from midnight on 28 May.
By 14:00 on 30 May, the wind was still too strong and the final decision was made to use the alternative plan. The coded signal "31 May G.G.2490" was transmitted to the ships of the fleet to inform them the Skagerrak attack would start on 31 May. The pre-arranged signal to the waiting submarines was transmitted throughout the day from the E-Dienst radio station at Bruges, and the U-boat tender Arcona anchored at Emden. Only two of the waiting submarines, U-66 and U-32, received the order.
British response
Unfortunately for the German plan, the British had obtained a copy of the main German codebook from the light cruiser , which had been boarded by the Russian Navy after the ship ran aground in Russian territorial waters in 1914. German naval radio communications could therefore often be quickly deciphered, and the British Admiralty usually knew about German activities.
The British Admiralty's Room 40 maintained direction finding and interception of German naval signals. It had intercepted and decrypted a German signal on 28 May that provided "ample evidence that the German fleet was stirring in the North Sea". Further signals were intercepted, and although they were not decrypted it was clear that a major operation was likely. At 11:00 on 30 May, Jellicoe was warned that the German fleet seemed prepared to sail the following morning. By 17:00, the Admiralty had intercepted the signal from Scheer, "31 May G.G.2490", making it clear something significant was imminent.
Not knowing the Germans' objective, Jellicoe and his staff decided to position the fleet to head off any attempt by the Germans to enter the North Atlantic or the Baltic through the Skagerrak, by taking up a position off Norway where they could potentially cut off any German raid into the shipping lanes of the Atlantic or prevent the Germans from heading into the Baltic. A position further west was unnecessary, as that area of the North Sea could be patrolled by air using aircraft.
Consequently, Admiral Jellicoe led the sixteen dreadnought battleships of the 1st and 4th Battle Squadrons of the Grand Fleet and three battlecruisers of the 3rd Battlecruiser Squadron eastwards out of Scapa Flow at 22:30 on 30 May. He was to meet the 2nd Battle Squadron of eight dreadnought battleships commanded by Vice-Admiral Martyn Jerram coming from Cromarty. Beatty's force of six ships of the 1st and 2nd Battlecruiser Squadrons plus the 5th Battle Squadron of four fast battleships left the Firth of Forth at around the same time; Jellicoe intended to rendezvous with him west of the mouth of the Skagerrak off the coast of Jutland and wait for the Germans to appear or for their intentions to become clear. The planned position would give him the widest range of responses to likely German moves. Hipper's raiding force did not leave the Outer Jade Roads until 01:00 on 31 May, heading west of Heligoland Island following a cleared channel through the minefields, heading north at . The main German fleet of sixteen dreadnought battleships of 1st and 3rd Battle Squadrons left the Jade at 02:30, being joined off Heligoland at 04:00 by the six pre-dreadnoughts of the 2nd Battle Squadron coming from the Elbe River.
Naval tactics in 1916
The principle of concentration of force was fundamental to the fleet tactics of this time. As outlined by Captain Reginald Hall in 1914, tactical doctrine called for a fleet approaching battle to be in a compact formation of parallel columns, allowing relatively easy manoeuvring, and giving shortened sight lines within the formation, which simplified the passing of the signals necessary for command and control.
A fleet formed in several short columns could change its heading faster than one formed in a single long column. Since most command signals were made with flags or signal lamps between ships, the flagship was usually placed at the head of the centre column so that its signals might be more easily seen by the many ships of the formation. Wireless telegraphy was in use, though security (radio direction finding), encryption, and the limitation of the radio sets made their extensive use more problematic. Command and control of such huge fleets remained difficult.
Thus, it might take a very long time for a signal from the flagship to be relayed to the entire formation. It was usually necessary for a signal to be confirmed by each ship before it could be relayed to other ships, and an order for a fleet movement would have to be received and acknowledged by every ship before it could be executed. In a large single-column formation, a signal could take 10 minutes or more to be passed from one end of the line to the other, whereas in a formation of parallel columns, visibility across the diagonals was often better (and always shorter) than in a single long column, and the diagonals gave signal "redundancy", increasing the probability that a message would be quickly seen and correctly interpreted.
However, before battle was joined the heavy units of the fleet would, if possible, deploy into a single column. To form the battle line in the correct orientation relative to the enemy, the commanding admiral had to know the enemy fleet's distance, bearing, heading, and speed. It was the task of the scouting forces, consisting primarily of battlecruisers and cruisers, to find the enemy and report this information in sufficient time, and, if possible, to deny the enemy's scouting forces the opportunity of obtaining the equivalent information.
Ideally, the battle line would cross the intended path of the enemy column so that the maximum number of guns could be brought to bear, while the enemy could fire only with the forward guns of the leading ships, a manoeuvre known as "crossing the T". Admiral Tōgō, commander of the Japanese battleship fleet, had achieved this against Admiral Zinovy Rozhestvensky's Russian battleships in 1905 at the Battle of Tsushima, with devastating results. Jellicoe achieved this twice in one hour against the High Seas Fleet at Jutland, but on both occasions, Scheer managed to turn away and disengage, thereby avoiding a decisive action.
Ship design
Within the existing technological limits, a trade-off had to be made between the weight and size of guns, the weight of armour protecting the ship, and the maximum speed. Battleships sacrificed speed for armour and heavy naval guns ( or larger). British battlecruisers sacrificed weight of armour for greater speed, while their German counterparts were armed with lighter guns and heavier armour. These weight savings allowed them to escape danger or catch other ships. Generally, the larger guns mounted on British ships allowed an engagement at greater range. In theory, a lightly armoured ship could stay out of range of a slower opponent while still scoring hits. The fast pace of development in the pre-war years meant that every few years, a new generation of ships rendered its predecessors obsolete. Thus, fairly young ships could still be obsolete compared with the newest ships, and fare badly in an engagement against them.
Admiral John Fisher, responsible for reconstruction of the British fleet in the pre-war period, favoured large guns, oil fuel, and speed. Admiral Tirpitz, responsible for the German fleet, favoured ship survivability and chose to sacrifice some gun size for improved armour. The German battlecruiser had belt armour equivalent in thickness—though not as comprehensive—to the British battleship , significantly better than on the British battlecruisers such as Tiger. German ships had better internal subdivision and had fewer doors and other weak points in their bulkheads, but with the disadvantage that space for crew was greatly reduced. As they were designed only for sorties in the North Sea they did not need to be as habitable as the British vessels and their crews could live in barracks ashore when in harbour.
Order of battle
Warships of the period were armed with guns firing projectiles of varying weights, bearing high explosive warheads. The sum total of weight of all the projectiles fired by all the ship's broadside guns is referred to as "weight of broadside". At Jutland, the total of the British ships' weight of broadside was , while the German fleet's total was . This does not take into consideration the ability of some ships and their crews to fire more or less rapidly than others, which would increase or decrease amount of fire that one combatant was able to bring to bear on their opponent for any length of time.
Jellicoe's Grand Fleet was split into two sections. The dreadnought Battle Fleet, with which he sailed, formed the main force and was composed of 24 battleships and three battlecruisers. The battleships were formed into three squadrons of eight ships, further subdivided into divisions of four, each led by a flag officer. Accompanying them were eight armoured cruisers (classified by the Royal Navy since 1913 as "cruisers"), eight light cruisers, four scout cruisers, 51 destroyers, and one destroyer-minelayer.
The Grand Fleet sailed without three of its battleships: in refit at Invergordon, dry-docked at Rosyth and in refit at Devonport. The brand new was left behind; with only three weeks in service, her untrained crew was judged unready for battle. had been sunk by a German mine on 27 October 1914.
British reconnaissance was provided by the Battlecruiser Fleet under David Beatty: six battlecruisers, four fast s, 14 light cruisers and 27 destroyers. Air scouting was provided by the attachment of the seaplane tender , one of the first aircraft carriers in history to participate in a naval engagement.
The German High Seas Fleet under Scheer was also split into a main force and a separate reconnaissance force. Scheer's main battle fleet was composed of 16 battleships and six pre-dreadnought battleships arranged in an identical manner to the British. With them were six light cruisers and 31 torpedo-boats, (the latter being roughly equivalent to a British destroyer). The only German battleship missing was .
The German scouting force, commanded by Franz Hipper, consisted of five battlecruisers, five light cruisers and 30 torpedo-boats. The Germans had no equivalent to Engadine and no heavier-than-air aircraft to operate with the fleet but had the Imperial German Naval Airship Service's force of rigid airships available to patrol the North Sea.
All of the battleships and battlecruisers on both sides carried torpedoes of various sizes, as did the lighter craft. The British battleships carried three or four underwater torpedo tubes. The battlecruisers carried from two to five. All were either 18-inch or 21-inch diameter. The German battleships carried five or six underwater torpedo tubes in three sizes from 18 to 21 inch and the battlecruisers carried four or five tubes.
The German battle fleet was hampered by the slow speed and relatively poor armament of the six pre-dreadnoughts of II Squadron, which limited maximum fleet speed to , compared to maximum British fleet speed of . On the British side, the eight armoured cruisers were deficient in both speed and armour protection. Both of these obsolete squadrons were notably vulnerable to attacks by more modern enemy ships.
Battlecruiser action
The route of the British battlecruiser fleet took it through the patrol sector allocated to U-32. After receiving the order to commence the operation, the U-boat moved to a position east of the Isle of May at dawn on 31 May. At 03:40, it sighted the cruisers and leaving the Forth at . It launched one torpedo at the leading cruiser at a range of , but its periscope jammed 'up', giving away the position of the submarine as it manoeuvred to fire a second. The lead cruiser turned away to dodge the torpedo, while the second turned towards the submarine, attempting to ram. U-32 crash dived, and on raising its periscope at 04:10 saw two battlecruisers (the 2nd Battlecruiser Squadron) heading south-east. They were too far away to attack, but Kapitänleutnant von Spiegel reported the sighting of two battleships and two cruisers to Germany.
U-66 was also supposed to be patrolling off the Firth of Forth but had been forced north to a position off Peterhead by patrolling British vessels. This now brought it into contact with the 2nd Battle Squadron, coming from the Moray Firth. At 05:00, it had to crash dive when the cruiser appeared from the mist heading toward it. It was followed by another cruiser, , and eight battleships. U-66 got within of the battleships preparing to fire, but was forced to dive by an approaching destroyer and missed the opportunity. At 06:35, it reported eight battleships and cruisers heading north.
The courses reported by both submarines were incorrect, because they reflected one leg of a zigzag being used by British ships to avoid submarines. Taken with a wireless intercept of more ships leaving Scapa Flow earlier in the night, they created the impression in the German High Command that the British fleet, whatever it was doing, was split into separate sections moving apart, which was precisely as the Germans wished to meet it.
Jellicoe's ships proceeded to their rendezvous undamaged and undiscovered. However, he was now misled by an Admiralty intelligence report advising that the German main battle fleet was still in port. The Director of Operations Division, Rear Admiral Thomas Jackson, had asked the intelligence division, Room 40, for the current location of German call sign DK, used by Admiral Scheer. They had replied that it was currently transmitting from Wilhelmshaven. It was known to the intelligence staff that Scheer deliberately used a different call sign when at sea, but no one asked for this information or explained the reason behind the query—to locate the German fleet.
The German battlecruisers cleared the minefields surrounding the Amrum swept channel by 09:00. They then proceeded north-west, passing west of the Horn's Reef lightship heading for the Little Fisher Bank at the mouth of the Skagerrak. The High Seas Fleet followed some behind. The battlecruisers were in line ahead, with the four cruisers of the II scouting group plus supporting torpedo boats ranged in an arc ahead and to either side. The IX torpedo boat flotilla formed close support immediately surrounding the battlecruisers. The High Seas Fleet similarly adopted a line-ahead formation, with close screening by torpedo boats to either side and a further screen of five cruisers surrounding the column away. The wind had finally moderated so that Zeppelins could be used, and by 11:30 five had been sent out: L14 to the Skagerrak, L23 east of Noss Head in the Pentland Firth, L21 off Peterhead, L9 off Sunderland, and L16 east of Flamborough Head. Visibility, however, was still bad, with clouds down to .
Contact
By around 14:00, Beatty's ships were proceeding eastward at roughly the same latitude as Hipper's squadron, which was heading north. Had the courses remained unchanged, Beatty would have passed between the two German fleets, south of the battlecruisers and north of the High Seas Fleet at around 16:30, possibly trapping his ships just as the German plan envisioned. His orders were to stop his scouting patrol when he reached a point east of Britain and then turn north to meet Jellicoe, which he did at this time. Beatty's ships were divided into three columns, with the two battlecruiser squadrons leading in parallel lines apart. The 5th Battle Squadron was stationed to the north-west, on the side furthest away from any expected enemy contact, while a screen of cruisers and destroyers was spread south-east of the battlecruisers. After the turn, the 5th Battle Squadron was now leading the British ships in the westernmost column, and Beatty's squadron was centre and rearmost, with the 2nd BCS to the west.
At 14:20 on 31 May, despite heavy haze and scuds of fog giving poor visibility, scouts from Beatty's force reported enemy ships to the south-east; the British light units, investigating a neutral Danish steamer (N J Fjord), which was stopped between the two fleets, had found two German destroyers engaged on the same mission ( and ). The first shots of the battle were fired at 14:28 when Galatea and Phaeton of the British 1st Light Cruiser Squadron opened on the German torpedo boats, which withdrew toward their approaching light cruisers. At 14:36, the Germans scored the first hit of the battle when , of Rear-Admiral Friedrich Boedicker's Scouting Group II, hit her British counterpart Galatea at extreme range.
Beatty began to move his battlecruisers and supporting forces south-eastwards and then east to cut the German ships off from their base and ordered Engadine to launch a seaplane to try to get more information about the size and location of the German forces. This was the first time in history that a carrier-based aeroplane was used for reconnaissance in naval combat. Engadines aircraft did locate and report some German light cruisers just before 15:30 and came under anti-aircraft gunfire but attempts to relay reports from the aeroplane failed.
Unfortunately for Beatty, his initial course changes at 14:32 were not received by Sir Hugh Evan-Thomas's 5th Battle Squadron (the distance being too great to read his flags), because the battlecruiser —the last ship in his column—was no longer in a position where she could relay signals by searchlight to Evan-Thomas, as she had previously been ordered to do. Whereas before the north turn, Tiger had been the closest ship to Evan-Thomas, she was now further away than Beatty in Lion. Matters were aggravated because Evan-Thomas had not been briefed regarding standing orders within Beatty's squadron, as his squadron normally operated with the Grand Fleet. Fleet ships were expected to obey movement orders precisely and not deviate from them. Beatty's standing instructions expected his officers to use their initiative and keep station with the flagship. As a result, the four Queen Elizabeth-class battleships—which were the fastest and most heavily armed in the world at that time—remained on the previous course for several minutes, ending up behind rather than five. Beatty also had the opportunity during the previous hours to concentrate his forces, and no reason not to do so, whereas he steamed ahead at full speed, faster than the battleships could manage. Dividing the force had serious consequences for the British, costing them what would have been an overwhelming advantage in ships and firepower during the first half-hour of the coming battle.
With visibility favouring the Germans, Hipper's battlecruisers at 15:22, steaming approximately north-west, sighted Beatty's squadron at a range of about , while Beatty's forces did not identify Hipper's battlecruisers until 15:30. (position 1 on map). At 15:45, Hipper turned south-east to lead Beatty toward Scheer, who was south-east with the main force of the High Seas Fleet.
Run to the south
Beatty's conduct during the next 15 minutes has received a great deal of criticism, as his ships out-ranged and outnumbered the German squadron, yet he held his fire for over 10 minutes with the German ships in range. He also failed to use the time available to rearrange his battlecruisers into a fighting formation, with the result that they were still manoeuvring when the battle started.
At 15:48, with the opposing forces roughly parallel at , with the British to the south-west of the Germans (i.e., on the right side), Hipper opened fire, followed by the British ships as their guns came to bear upon targets (position 2). Thus began the opening phase of the battlecruiser action, known as the Run to the South, in which the British chased the Germans, and Hipper intentionally led Beatty toward Scheer. During the first minutes of the ensuing battle, all the British ships except Princess Royal fired far over their German opponents, due to adverse visibility conditions, before finally getting the range. Only Lion and Princess Royal had settled into formation, so the other four ships were hampered in aiming by their own turning. Beatty was to windward of Hipper, and therefore funnel and gun smoke from his own ships tended to obscure his targets, while Hipper's smoke blew clear. Also, the eastern sky was overcast and the grey German ships were indistinct and difficult to range.
Beatty had ordered his ships to engage in a line, one British ship engaging with one German and his flagship doubling on the German flagship . However, due to another mistake with signalling by flag, and possibly because Queen Mary and Tiger were unable to see the German lead ship because of smoke, the second German ship, Derfflinger, was left un-engaged and free to fire without disruption. drew fire from two of Beatty's battlecruisers, but still fired with great accuracy during this time, hitting Tiger 9 times in the first 12 minutes. The Germans drew first blood. Aided by superior visibility, Hipper's five battlecruisers quickly registered hits on three of the six British battlecruisers. Seven minutes passed before the British managed to score their first hit.
The first near-kill of the Run to the South occurred at 16:00, when a shell from Lützow wrecked the "Q" turret amidships on Beatty's flagship Lion. Dozens of crewmen were instantly killed, but far larger destruction was averted when the mortally wounded turret commander—Major Francis Harvey of the Royal Marines—promptly ordered the magazine doors shut and the magazine flooded. This prevented a magazine explosion at 16:28, when a flash fire ignited ready cordite charges beneath the turret and killed everyone in the chambers outside "Q" magazine. Lion was saved. was not so lucky; at 16:02, just 14 minutes into the gunnery exchange, she was hit aft by three shells from , causing damage sufficient to knock her out of line and detonating "X" magazine aft. Soon after, despite the near-maximum range, Von der Tann put another shell on Indefatigables "A" turret forward. The plunging shells probably pierced the thin upper armour, and seconds later Indefatigable was ripped apart by another magazine explosion, sinking immediately and leaving only two survivors from her crew of 1,019 officers and men. (position 3).
Hipper's position deteriorated somewhat by 16:15 as the 5th Battle Squadron finally came into range, so that he had to contend with gunfire from the four battleships astern as well as Beatty's five remaining battlecruisers to starboard. But he knew his baiting mission was close to completion, as his force was rapidly closing with Scheer's main body. At 16:08, the lead battleship of the 5th Battle Squadron, , caught up with Hipper and opened fire at extreme range, scoring a hit on Von der Tann within 60 seconds. Still, it was 16:15 before all the battleships of the 5th were able to fully engage at long range.
At 16:25, the battlecruiser action intensified again when was hit by what may have been a combined salvo from Derfflinger and Seydlitz; she disintegrated when both forward magazines exploded, sinking with all but nine of her 1,275 man crew lost. (position 4). Commander von Hase, the first gunnery officer aboard Derfflinger, noted:
During the Run to the South, from 15:48 to 16:54, the German battlecruisers made an estimated total of forty-two hits on the British battlecruisers (nine on Lion, six on Princess Royal, seven on Queen Mary, 14 on Tiger, one on New Zealand, five on Indefatigable), and two more on the battleship Barham, compared with only eleven hits by the British battlecruisers (four on Lützow, four on Seydlitz, two on Moltke, one on von der Tann), and six hits by the battleships (one on Seydlitz, four on Moltke, one on von der Tann).
Shortly after 16:26, a salvo struck on or around , which was obscured by spray and smoke from shell bursts. A signalman promptly leapt on to the bridge of Lion and announced "Princess Royals blown up, Sir." Beatty famously turned to his flag captain, saying "Chatfield, there seems to be something wrong with our bloody ships today." (In popular legend, Beatty also immediately ordered his ships to "turn two points to port", i.e., two points nearer the enemy, but there is no official record of any such command or course change.) Princess Royal, as it turned out, was still afloat after the spray cleared.
At 16:30, Scheer's leading battleships sighted the distant battlecruiser action; soon after, of Beatty's 2nd Light Cruiser Squadron led by Commodore William Goodenough sighted the main body of Scheer's High Seas Fleet, dodging numerous heavy-calibre salvos to report in detail the German strength: 16 dreadnoughts with six older battleships. This was the first news that Beatty and Jellicoe had that Scheer and his battle fleet were even at sea. Simultaneously, an all-out destroyer action raged in the space between the opposing battlecruiser forces, as British and German destroyers fought with each other and attempted to torpedo the larger enemy ships. Each side fired many torpedoes, but both battlecruiser forces turned away from the attacks and all escaped harm except Seydlitz, which was hit forward at 16:57 by a torpedo fired by the British destroyer . Though taking on water, Seydlitz maintained speed. The destroyer , under the command of Captain Barry Bingham, led the British attacks. The British disabled the German torpedo boat , which the Germans soon abandoned and sank, and Petard then torpedoed and sank , her second score of the day. and rescued the crews of their sunken sister ships. But Nestor and another British destroyer——were immobilised by shell hits, and were later sunk by Scheer's passing dreadnoughts. Bingham was rescued, and awarded the Victoria Cross for his leadership in the destroyer action.
Run to the north
As soon as he himself sighted the vanguard of Scheer's distant battleship line away, at 16:40, Beatty turned his battlecruiser force 180°, heading north to draw the Germans toward Jellicoe. (position 5). Beatty's withdrawal toward Jellicoe is called the "Run to the North", in which the tables turned and the Germans chased the British. Because Beatty once again failed to signal his intentions adequately, the battleships of the 5th Battle Squadron—which were too far behind to read his flags—found themselves passing the battlecruisers on an opposing course and heading directly toward the approaching main body of the High Seas Fleet. At 16:48, at extreme range, Scheer's leading battleships opened fire.
Meanwhile, at 16:47, having received Goodenough's signal and knowing that Beatty was now leading the German battle fleet north to him, Jellicoe signalled to his own forces that the fleet action they had waited so long for was finally imminent; at 16:51, by radio, he informed the Admiralty so in London.
The difficulties of the 5th Battle Squadron were compounded when Beatty gave the order to Evan-Thomas to "turn in succession" (rather than "turn together") at 16:48 as the battleships passed him. Evan-Thomas acknowledged the signal, but Lieutenant-Commander Ralph Seymour, Beatty's flag lieutenant, aggravated the situation when he did not haul down the flags (to execute the signal) for some minutes. At 16:55, when the 5BS had moved within range of the enemy battleships, Evan-Thomas issued his own flag command warning his squadron to expect sudden manoeuvres and to follow his lead, before starting to turn on his own initiative. The order to turn in succession would have resulted in all four ships turning in the same patch of sea as they reached it one by one, giving the High Seas Fleet repeated opportunity with ample time to find the proper range. However, the captain of the trailing ship () turned early, mitigating the adverse results.
For the next hour, the 5th Battle Squadron acted as Beatty's rearguard, drawing fire from all the German ships within range, while by 17:10 Beatty had deliberately eased his own squadron out of range of Hipper's now-superior battlecruiser force. Since visibility and firepower now favoured the Germans, there was no incentive for Beatty to risk further battlecruiser losses when his own gunnery could not be effective. Illustrating the imbalance, Beatty's battlecruisers did not score any hits on the Germans in this phase until 17:45, but they had rapidly received five more before he opened the range (four on Lion, of which three were by Lützow, and one on Tiger by Seydlitz). Now the only targets the Germans could reach, the ships of the 5th Battle Squadron, received simultaneous fire from Hipper's battlecruisers to the east (which HMS Barham and engaged) and Scheer's leading battleships to the south-east (which and Malaya engaged). Three took hits: Barham (four by Derfflinger), Warspite (two by Seydlitz), and Malaya (seven by the German battleships). Only Valiant was unscathed.
The four battleships were far better suited to take this sort of pounding than the battlecruisers, and none were lost, though Malaya suffered heavy damage, an ammunition fire, and heavy crew casualties. At the same time, the fire of the four British ships was accurate and effective. As the two British squadrons headed north at top speed, eagerly chased by the entire German fleet, the 5th Battle Squadron scored 13 hits on the enemy battlecruisers (four on Lützow, three on Derfflinger, six on Seydlitz) and five on battleships (although only one, on , did any serious damage). (position 6).
The fleets converge
Jellicoe was now aware that full fleet engagement was nearing, but had insufficient information on the position and course of the Germans. To assist Beatty, early in the battle at about 16:05, Jellicoe had ordered Rear-Admiral Horace Hood's 3rd Battlecruiser Squadron to speed ahead to find and support Beatty's force, and Hood was now racing SSE well in advance of Jellicoe's northern force. Rear-Admiral Arbuthnot's 1st Cruiser Squadron patrolled the van of Jellicoe's main battleship force as it advanced steadily to the south-east.
At 17:33, the armoured cruiser of Arbuthnot's squadron, on the far southwest flank of Jellicoe's force, came within view of , which was about ahead of Beatty with the 3rd Light Cruiser Squadron, establishing the first visual link between the converging bodies of the Grand Fleet. At 17:38, the scout cruiser , screening Hood's oncoming battlecruisers, was intercepted by the van of the German scouting forces under Rear-Admiral Boedicker.
Heavily outnumbered by Boedicker's four light cruisers, Chester was pounded before being relieved by Hood's heavy units, which swung westward for that purpose. Hood's flagship disabled the light cruiser shortly after 17:56. Wiesbaden became a sitting target for most of the British fleet during the next hour, but remained afloat and fired some torpedoes at the passing enemy battleships from long range. Meanwhile, Boedicker's other ships turned toward Hipper and Scheer in the mistaken belief that Hood was leading a larger force of British capital ships from the north and east. A chaotic destroyer action in mist and smoke ensued as German torpedo boats attempted to blunt the arrival of this new formation, but Hood's battlecruisers dodged all the torpedoes fired at them. In this action, after leading a torpedo counter-attack, the British destroyer was disabled, but continued to return fire at numerous passing enemy ships for the next hour.
Fleet action
Deployment
In the meantime, Beatty and Evan-Thomas had resumed their engagement with Hipper's battlecruisers, this time with the visual conditions to their advantage. With several of his ships damaged, Hipper turned back toward Scheer at around 18:00, just as Beatty's flagship Lion was finally sighted from Jellicoe's flagship Iron Duke. Jellicoe twice demanded the latest position of the German battlefleet from Beatty, who could not see the German battleships and failed to respond to the question until 18:14. Meanwhile, Jellicoe received confused sighting reports of varying accuracy and limited usefulness from light cruisers and battleships on the starboard (southern) flank of his force.
Jellicoe was in a worrying position. He needed to know the location of the German fleet to judge when and how to deploy his battleships from their cruising formation (six columns of four ships each) into a single battle line. The deployment could be on either the westernmost or the easternmost column, and had to be carried out before the Germans arrived; but early deployment could mean losing any chance of a decisive encounter. Deploying to the west would bring his fleet closer to Scheer, gaining valuable time as dusk approached, but the Germans might arrive before the manoeuvre was complete. Deploying to the east would take the force away from Scheer, but Jellicoe's ships might be able to cross the "T", and visibility would strongly favour British gunnery—Scheer's forces would be silhouetted against the setting sun to the west, while the Grand Fleet would be indistinct against the dark skies to the north and east, and would be hidden by reflection of the low sunlight off intervening haze and smoke. Deployment would take twenty irreplaceable minutes, and the fleets were closing at full speed. In one of the most critical and difficult tactical command decisions of the entire war, Jellicoe ordered deployment to the east at 18:15.
Windy Corner
Meanwhile, Hipper had rejoined Scheer, and the combined High Seas Fleet was heading north, directly toward Jellicoe. Scheer had no indication that Jellicoe was at sea, let alone that he was bearing down from the north-west, and was distracted by the intervention of Hood's ships to his north and east. Beatty's four surviving battlecruisers were now crossing the van of the British dreadnoughts to join Hood's three battlecruisers; at this time, Arbuthnot's flagship, the armoured cruiser , and her squadron-mate both charged across Beatty's bows, and Lion narrowly avoided a collision with Warrior. Nearby, numerous British light cruisers and destroyers on the south-western flank of the deploying battleships were also crossing each other's courses in attempts to reach their proper stations, often barely escaping collisions, and under fire from some of the approaching German ships. This period of peril and heavy traffic attending the merger and deployment of the British forces later became known as "Windy Corner".
Arbuthnot was attracted by the drifting hull of the crippled Wiesbaden. With Warrior, Defence closed in for the kill, only to blunder right into the gun sights of Hipper's and Scheer's oncoming capital ships. Defence was deluged by heavy-calibre gunfire from many German battleships, which detonated her magazines in a spectacular explosion viewed by most of the deploying Grand Fleet. She sank with all hands (903 officers and men). Warrior was also hit badly, but was spared destruction by a mishap to the nearby battleship Warspite. Warspite had her steering gear overheat and jam under heavy load at high speed as the 5th Battle Squadron made a turn to the north at 18:19. Steaming at top speed in wide circles, Warspite attracted the attention of German dreadnoughts and took 13 hits, inadvertently drawing fire away from the hapless Warrior. Warspite was brought back under control and survived the onslaught, but was badly damaged, had to reduce speed, and withdrew northward; later (at 21:07), she was ordered back to port by Evan-Thomas. Warspite went on to a long and illustrious career, serving also in World War II. Warrior, on the other hand, was abandoned and sank the next day after her crew was taken off at 08:25 on 1 June by Engadine, which towed the sinking armoured cruiser during the night.
As Defence sank and Warspite circled, at about 18:19, Hipper moved within range of Hood's 3rd Battlecruiser Squadron, but was still also within range of Beatty's ships. At first, visibility favoured the British: hit Derfflinger three times and Seydlitz once, while Lützow quickly took 10 hits from Lion, and Invincible, including two below-waterline hits forward by Invincible that would ultimately doom Hipper's flagship. But at 18:30, Invincible abruptly appeared as a clear target before Lützow and Derfflinger. The two German ships then fired three salvoes each at Invincible, and sank her in 90 seconds. A shell from the third salvo struck Invincibles Q-turret amidships, detonating the magazines below and causing her to blow up and sink. All but six of her crew of 1,032 officers and men, including Rear-Admiral Hood, were killed. Of the remaining British battlecruisers, only Princess Royal received heavy-calibre hits at this time (two by the battleship Markgraf). Lützow, flooding forward and unable to communicate by radio, was now out of action and began to attempt to withdraw; therefore Hipper left his flagship and transferred to the torpedo boat , hoping to board one of the other battlecruisers later.
Crossing the T
By 18:30, the main battle fleet action was joined for the first time, with Jellicoe effectively "crossing Scheer's T". The officers on the lead German battleships, and Scheer himself, were taken completely by surprise when they emerged from drifting clouds of smoky mist to suddenly find themselves facing the massed firepower of the entire Grand Fleet main battle line, which they did not know was even at sea. Jellicoe's flagship Iron Duke quickly scored seven hits on the lead German dreadnought, , but in this brief exchange, which lasted only minutes, as few as 10 of the Grand Fleet's 24 dreadnoughts actually opened fire. The Germans were hampered by poor visibility, in addition to being in an unfavourable tactical position, just as Jellicoe had intended. Realising he was heading into a death trap, Scheer ordered his fleet to turn and disengage at 18:33. Under a pall of smoke and mist, Scheer's forces succeeded in disengaging by an expertly executed 180° turn in unison ("battle about turn to starboard", German Gefechtskehrtwendung nach Steuerbord), which was a well-practised emergency manoeuvre of the High Seas Fleet. Scheer declared:
Conscious of the risks to his capital ships posed by torpedoes, Jellicoe did not chase directly but headed south, determined to keep the High Seas Fleet west of him. Starting at 18:40, battleships at the rear of Jellicoe's line were in fact sighting and avoiding torpedoes, and at 18:54 was hit by a torpedo (probably from the disabled Wiesbaden), which reduced her speed to . Meanwhile, Scheer, knowing that it was not yet dark enough to escape and that his fleet would suffer terribly in a stern chase, doubled back to the east at 18:55. In his memoirs he wrote, "the manoeuvre would be bound to surprise the enemy, to upset his plans for the rest of the day, and if the blow fell heavily it would facilitate the breaking loose at night." But the turn to the east took his ships, again, directly towards Jellicoe's fully deployed battle line.
Simultaneously, the disabled British destroyer HMS Shark fought desperately against a group of four German torpedo boats and disabled with gunfire, but was eventually torpedoed and sunk at 19:02 by the German destroyer . Sharks Captain Loftus Jones was awarded the Victoria Cross for his heroism in continuing to fight against all odds.
Turn Of The Battle
Commodore Goodenough's 2nd Light Cruiser Squadron dodged the fire of German battleships for a second time to re-establish contact with the High Seas Fleet shortly after 19:00. By 19:15, Jellicoe had crossed Scheer's "T" again. This time his arc of fire was tighter and deadlier, causing severe damage to the German battleships, particularly Rear-Admiral Behncke's leading 3rd Squadron (SMS König, , Markgraf, and all being hit, along with of the 1st Squadron), while on the British side, only the battleship was hit (twice, by Seydlitz but with little damage done).
At 19:17, for the second time in less than an hour, Scheer turned his outnumbered and out-gunned fleet to the west using the "battle about turn" (German: Gefechtskehrtwendung), but this time it was executed only with difficulty, as the High Seas Fleet's lead squadrons began to lose formation under concentrated gunfire. To deter a British chase, Scheer ordered a major torpedo attack by his destroyers and a potentially sacrificial charge by Scouting Group I's four remaining battlecruisers. Hipper was still aboard the torpedo boat G39 and was unable to command his squadron for this attack. Therefore, Derfflinger, under Captain Hartog, led the already badly damaged German battlecruisers directly into "the greatest concentration of naval gunfire any fleet commander had ever faced", at ranges down to .
In what became known as the "death ride", all the battlecruisers except Moltke were hit and further damaged, as 18 of the British battleships fired at them simultaneously. Derfflinger had two main gun turrets destroyed. The crews of Scouting Group I suffered heavy casualties, but survived the pounding and veered away with the other battlecruisers once Scheer was out of trouble and the German destroyers were moving in to attack. In this brief but intense portion of the engagement, from about 19:05 to about 19:30, the Germans sustained a total of 37 heavy hits while inflicting only two; Derfflinger alone received 14.
While his battlecruisers drew the fire of the British fleet, Scheer slipped away, laying smoke screens. Meanwhile, from about 19:16 to about 19:40, the British battleships were also engaging Scheer's torpedo boats, which executed several waves of torpedo attacks to cover his withdrawal. Jellicoe's ships turned away from the attacks and successfully evaded all 31 of the torpedoes launched at them—though, in several cases, only barely—and sank the German destroyer S35, attributed to a salvo from Iron Duke. British light forces also sank V48, which had previously been disabled by HMS Shark. This action, and the turn away, cost the British critical time and range in the last hour of daylight—as Scheer intended, allowing him to get his heavy ships out of immediate danger.
The last major exchanges between capital ships in this battle—and in the war—took place just after sunset, from about 20:19 to about 20:35, as the surviving British battlecruisers caught up with their German counterparts, which were briefly relieved by Rear-Admiral Mauve's obsolete pre-dreadnoughts (the German 2nd Squadron). The British received one heavy hit on Princess Royal but scored five more on Seydlitz and three on other German ships. As twilight faded to night, exchanged a few final shots with .
Night action and German withdrawal
At 21:00, Jellicoe, conscious of the Grand Fleet's deficiencies in night fighting, decided to try to avoid a major engagement until early dawn. He placed a screen of cruisers and destroyers behind his battle fleet to patrol the rear as he headed south to guard Scheer's expected escape route. In reality, Scheer opted to cross Jellicoe's wake and escape via Horns Reef. Luckily for Scheer, most of the light forces in Jellicoe's rearguard failed to report the seven separate encounters with the German fleet during the night; the very few radio reports that were sent to the British flagship were never received, possibly because the Germans were jamming British frequencies. Many of the destroyers failed to make the most of their opportunities to attack discovered ships, despite Jellicoe's expectations that the destroyer forces would, if necessary, be able to block the path of the German fleet.
Jellicoe and his commanders did not understand that the furious gunfire and explosions to the north (seen and heard for hours by all the British battleships) indicated that the German heavy ships were breaking through the screen astern of the British fleet. Instead, it was believed that the fighting was the result of night attacks by German destroyers. The most powerful British ships of all (the 15-inch-guns of the 5th Battle Squadron) directly observed German battleships crossing astern of them in action with British light forces, at ranges of or less, and gunners on HMS Malaya made ready to fire, but her captain declined, deferring to the authority of Rear-Admiral Evan-Thomas—and neither commander reported the sightings to Jellicoe, assuming that he could see for himself and that revealing the fleet's position by radio signals or gunfire was unwise.
While the nature of Scheer's escape, and Jellicoe's inaction, indicate the overall German superiority in night fighting, the results of the night action were no more clear-cut than were those of the battle as a whole. In the first of many surprise encounters by darkened ships at point-blank range, Southampton, Commodore Goodenough's flagship, which had scouted so proficiently, was heavily damaged in action with a German Scouting Group composed of light cruisers, but managed to torpedo , which went down at 22:23 with all but 9 hands (320 officers and men).
From 23:20 to approximately 02:15, several British destroyer flotillas launched torpedo attacks on the German battle fleet in a series of violent and chaotic engagements at extremely short range (often under ). At the cost of five destroyers sunk and some others damaged, they managed to torpedo the light cruiser , which sank several hours later, and the pre-dreadnought , which blew up and sank with all hands (839 officers and men) at 03:10 during the last wave of attacks before dawn. Three of the British destroyers collided in the chaos, and the German battleship rammed the British destroyer , blowing away most of the British ship's superstructure merely with the muzzle blast of its big guns, which could not be aimed low enough to hit the ship. Nassau was left with an hole in her side, reducing her maximum speed to , while the removed plating was left lying on Spitfires deck. Spitfire survived and made it back to port. Another German cruiser, Elbing, was accidentally rammed by the dreadnought and abandoned, sinking early the next day. Of the British destroyers, , , , and were lost during the night fighting.
Just after midnight on 1 June, and other German battleships sank Black Prince of the ill-fated 1st Cruiser Squadron, which had blundered into the German battle line. Deployed as part of a screening force several miles ahead of the main force of the Grand Fleet, Black Prince had lost contact in the darkness and took a position near what she thought was the British line. The Germans soon identified the new addition to their line and opened fire. Overwhelmed by point-blank gunfire, Black Prince blew up (all 857 officers and men were lost), as her squadron leader Defence had done hours earlier. Lost in the darkness, the battlecruisers Moltke and Seydlitz had similar point-blank encounters with the British battle line and were recognised, but were spared the fate of Black Prince when the captains of the British ships, again, declined to open fire, reluctant to reveal their fleet's position.
At 01:45, the sinking battlecruiser Lützow – fatally damaged by Invincible during the main action – was torpedoed by the destroyer on orders of Lützows Captain Viktor von Harder after the surviving crew of 1,150 transferred to destroyers that came alongside. At 02:15, the German torpedo boat suddenly had its bow blown off; V2 and V6 came alongside and took off the remaining crew, and the V2 then sank the hulk. Since there was no enemy nearby, it was assumed that she had hit a mine or had been torpedoed by a submarine.
At 02:15, five British ships of the 13th Destroyer Flotilla under Captain James Uchtred Farie regrouped and headed south. At 02:25, they sighted the rear of the German line. inquired of the leader as to whether he thought they were British or German ships. Answering that he thought they were German, Farie then veered off to the east and away from the German line. All but Moresby in the rear followed, as through the gloom she sighted what she thought were four pre-dreadnought battleships away. She hoisted a flag signal indicating that the enemy was to the west and then closed to firing range, letting off a torpedo set for high running at 02:37, then veering off to rejoin her flotilla. The four pre-dreadnought battleships were in fact two pre-dreadnoughts, Schleswig-Holstein and , and the battlecruisers Von der Tann and Derfflinger. Von der Tann sighted the torpedo and was forced to steer sharply to starboard to avoid it as it passed close to her bows. Moresby rejoined Champion convinced she had scored a hit.
Finally, at 05:20, as Scheer's fleet was safely on its way home, the battleship struck a British mine on her starboard side, killing one man and wounding ten, but was able to make port. Seydlitz, critically damaged and very nearly sinking, barely survived the return voyage: after grounding and taking on even more water on the evening of 1 June, she had to be assisted stern first into port, where she dropped anchor at 07:30 on the morning of 2 June.
The Germans were helped in their escape by the failure of the British Admiralty in London to pass on seven critical radio intercepts obtained by naval intelligence indicating the true position, course and intentions of the High Seas Fleet during the night. One message was transmitted to Jellicoe at 23:15 that accurately reported the German fleet's course and speed as of 21:14. However, the erroneous signal from earlier in the day that reported the German fleet still in port, and an intelligence signal received at 22:45 giving another unlikely position for the German fleet, had reduced his confidence in intelligence reports. Had the other messages been forwarded, which confirmed the information received at 23:15, or had British ships reported accurately sightings and engagements with German destroyers, cruisers and battleships, then Jellicoe could have altered course to intercept Scheer at the Horns Reef. The unsent intercepted messages had been duly filed by the junior officer left on duty that night, who failed to appreciate their significance. By the time Jellicoe finally learned of Scheer's whereabouts at 04:15, the German fleet was too far away to catch and it was clear that the battle could no longer be resumed.
Outcome
As both the Grand Fleet and the High Seas Fleet could claim to have at least partially satisfied their objectives, both Britain and Germany have at various points claimed victory in the Battle of Jutland. There is no consensus over which nation was victorious, or if there was a victor at all.
Reporting
At midday on 2 June, German authorities released a press statement claiming a victory, including the destruction of a battleship, two battlecruisers, two armoured cruisers, a light cruiser, a submarine and several destroyers, for the loss of Pommern and Wiesbaden. News that Lützow, Elbing and Rostock had been scuttled was withheld, on the grounds this information would not be known to the enemy. The victory of the Skagerrak was celebrated in the press, children were given a holiday and the nation celebrated. The Kaiser announced a new chapter in world history. Post-war, the official German history hailed the battle as a victory and it continued to be celebrated until after World War II.
In Britain, the first official news came from German wireless broadcasts. Ships began to arrive in port, their crews sending messages to friends and relatives both of their survival and the loss of some 6,000 others. The authorities considered suppressing the news, but it had already spread widely. Some crews coming ashore found rumours had already reported them dead to relatives, while others were jeered for the defeat they had suffered. At 19:00 on 2 June, the Admiralty released a statement based on information from Jellicoe containing the bare news of losses on each side. The following day British newspapers reported a German victory. The Daily Mirror described the German Director of the Naval Department telling the Reichstag: "The result of the fighting is a significant success for our forces against a much stronger adversary". The British population was shocked that the long anticipated battle had been a victory for Germany. On 3 June, the Admiralty issued a further statement expanding on German losses, and another the following day with exaggerated claims. However, on 7 June the German admission of the losses of Lützow and Rostock started to redress the sense of the battle as a loss. International perception of the battle began to change towards a qualified British victory, the German attempt to change the balance of power in the North Sea having been repulsed. In July, bad news from the Somme campaign swept concern over Jutland from the British consciousness.
Assessments
At Jutland, the Germans, with a 99-strong fleet, sank of British ships, while a 151-strong British fleet sank of German ships. The British lost 6,094 seamen; the Germans 2,551. Several other ships were badly damaged, such as Lion and Seydlitz.
As of the summer of 1916, the High Seas Fleet's strategy was to whittle away the numerical advantage of the Royal Navy by bringing its full strength to bear against isolated squadrons of enemy capital ships whilst declining to be drawn into a general fleet battle until it had achieved something resembling parity in heavy ships. In tactical terms, the High Seas Fleet had clearly inflicted significantly greater losses on the Grand Fleet than it had suffered itself at Jutland, and the Germans never had any intention of attempting to hold the site of the battle, so some historians support the German claim of victory at Jutland. The Germans declared a great victory immediately afterwards, while the British by contrast had only reported short and simple results. In response to public outrage, the First Lord of the Admiralty Arthur Balfour asked Winston Churchill to write a second report that was more positive and detailed.
However, Scheer seems to have quickly realised that further battles with a similar rate of attrition would exhaust the High Seas Fleet long before they reduced the Grand Fleet. Further, after the 19 August advance was nearly intercepted by the Grand Fleet, he no longer believed that it would be possible to trap a single squadron of Royal Navy warships without having the Grand Fleet intervene before he could return to port. Therefore, the High Seas Fleet abandoned its forays into the North Sea and turned its attention to the Baltic for most of 1917 whilst Scheer switched tactics against Britain to unrestricted submarine warfare in the Atlantic.
At a strategic level, the outcome has been the subject of a huge amount of literature with no clear consensus. The battle was widely viewed as indecisive in the immediate aftermath, and this view remains influential.
Despite numerical superiority, the British had been disappointed in their hopes for a decisive battle comparable to Trafalgar and the objective of the influential strategic doctrines of Alfred Mahan. The High Seas Fleet survived as a fleet in being. Most of its losses were made good within a month—even Seydlitz, the most badly damaged ship to survive the battle, was repaired by October and officially back in service by November. However, the Germans had failed in their objective of destroying a substantial portion of the British Fleet, and no progress had been made towards the goal of allowing the High Seas Fleet to operate in the Atlantic Ocean.
Subsequently, there has been considerable support for the view of Jutland as a strategic victory for the British. While the British had not destroyed the German fleet and had lost more ships and lives than their enemy, the Germans had retreated to harbour; at the end of the battle, the British were in command of the area. Britain enforced the blockade, reducing Germany's vital imports to 55%, affecting the ability of Germany to fight the war.
The German fleet would only sortie into the North Sea thrice more, with a raid on 19 August, one in October 1916, and another in April 1918. All three were unopposed by capital ships and quickly aborted as neither side was prepared to take the risks of mines and submarines.
Apart from these three abortive operations the High Seas Fleet—unwilling to risk another encounter with the British fleet—confined its activities to the Baltic Sea for the remainder of the war. Jellicoe issued an order prohibiting the Grand Fleet from steaming south of the line of Horns Reef owing to the threat of mines and U-boats. A German naval expert, writing publicly about Jutland in November 1918, commented, "Our Fleet losses were severe. On 1 June 1916, it was clear to every thinking person that this battle must, and would be, the last one".
At the end of the battle, the British had maintained their numerical superiority and had 23 dreadnoughts ready and four battlecruisers still able to fight, while the Germans had only 10 dreadnoughts. One month after the battle, the Grand Fleet was stronger than it had been before sailing to Jutland. Warspite was dry-docked at Rosyth, returning to the fleet on 22 July, while Malaya was repaired in the floating dock at Invergordon, returning to duty on 11 July. Barham was docked for a month at Devonport before undergoing speed trials and returning to Scapa Flow on 8 July. Princess Royal stayed initially at Rosyth but transferred to dry dock at Portsmouth before returning to duty at Rosyth 21 July. Tiger was dry-docked at Rosyth and ready for service 2 July. Queen Elizabeth, Emperor of India and , which had been undergoing maintenance at the time of the battle, returned to the fleet immediately, followed shortly after by Resolution and Ramillies. Lion initially remained ready for sea duty despite the damaged turret, then underwent a month's repairs in July when Q turret was removed temporarily and replaced in September.
A third view, presented in a number of recent evaluations, is that Jutland, the last major fleet action between battleships, illustrated the irrelevance of battleship fleets following the development of the submarine, mine and torpedo. In this view, the most important consequence of Jutland was the decision of the Germans to engage in unrestricted submarine warfare. Although large numbers of battleships were constructed in the decades between the wars, it has been argued that this outcome reflected the social dominance among naval decision-makers of battleship advocates who constrained technological choices to fit traditional paradigms of fleet action. Battleships played a relatively minor role in World War II, in which the submarine and aircraft carrier emerged as the dominant offensive weapons of naval warfare.
British self-critique
The official British Admiralty examination of the Grand Fleet's performance recognised two main problems:
British armour-piercing shells exploded outside the German armour rather than penetrating and exploding within. As a result, some German ships with only -thick armour survived hits from projectiles. Had these shells penetrated the armour and then exploded, German losses would probably have been far greater.
Communication between ships and the British commander-in-chief was comparatively poor. For most of the battle, Jellicoe had no idea where the German ships were, even though British ships were in contact. They failed to report enemy positions, contrary to the Grand Fleet's Battle Plan. Some of the most important signalling was carried out solely by flag instead of wireless or using redundant methods to ensure communications—a questionable procedure, given the mixture of haze and smoke that obscured the battlefield, and a foreshadowing of similar failures by habit-bound and conservatively minded professional officers of rank to take advantage of new technology in World War II.
Shell performance
German armour-piercing shells were far more effective than the British ones, which often failed to penetrate heavy armour. The issue particularly concerned shells striking at oblique angles, which became increasingly the case at long range. Germany had adopted trinitrotoluene (TNT) as the explosive filler for artillery shells in 1902, while the United Kingdom was still using a picric acid mixture (Lyddite). The shock of impact of a shell against armour often prematurely detonated Lyddite in advance of fuze function while TNT detonation could be delayed until after the shell had penetrated and the fuze had functioned in the vulnerable area behind the armour plate. Some 17 British shells hit the side armour of the German dreadnoughts or battlecruisers. Of these, four would not have penetrated under any circumstances. Of the remaining 13, one penetrated the armour and exploded inside. This showed a 7.5% chance of proper shell function on the British side, a result of overly brittle shells and Lyddite exploding too soon.
The issue of poorly performing shells had been known to Jellicoe, who as Third Sea Lord from 1908 to 1910 had ordered new shells to be designed. However, the matter had not been followed through after his posting to sea and new shells had never been thoroughly tested. Beatty discovered the problem at a party aboard Lion a short time after the battle, when a Swedish Naval officer was present. He had recently visited Berlin, where the German navy had scoffed at how British shells had broken up on their ships' armour. The question of shell effectiveness had also been raised after the Battle of Dogger Bank, but no action had been taken. Hipper later commented, "It was nothing but the poor quality of their bursting charges which saved us from disaster."
Admiral Dreyer, writing later about the battle, during which he had been captain of the British flagship Iron Duke, estimated that effective shells as later introduced would have led to the sinking of six more German capital ships, based upon the actual number of hits achieved in the battle. The system of testing shells, which remained in use up to 1944, meant that, statistically, a batch of shells of which 70% were faulty stood an even chance of being accepted. Indeed, even shells that failed this relatively mild test had still been issued to ships. Analysis of the test results afterwards by the Ordnance Board suggested the likelihood that 30–70% of shells would not have passed the standard penetration test specified by the Admiralty.
Efforts to replace the shells were initially resisted by the Admiralty, and action was not taken until Jellicoe became First Sea Lord in December 1916. As an initial response, the worst of the existing shells were withdrawn from ships in early 1917 and replaced from reserve supplies. New shells were designed, but did not arrive until April 1918, and were never used in action.
Battlecruiser losses
British battlecruisers were designed to chase and destroy enemy cruisers from out of the range of those ships. They were not designed to be ships of the line and exchange broadsides with the enemy. One German and three British battlecruisers were sunk—but none were destroyed by enemy shells penetrating the belt armour and detonating the magazines. Each of the British battlecruisers was penetrated through a turret roof and their magazines ignited by flash fires passing through the turret and shell-handling rooms. Lützow sustained 24 hits and her flooding could not be contained. She was eventually sunk by her escorts' torpedoes after most of her crew had been safely removed (though six trapped stokers died when the ship was scuttled). Derfflinger and Seydlitz sustained 22 hits each but reached port (although in Seydlitzs case only just).
Jellicoe and Beatty, as well as other senior officers, gave an impression that the loss of the battlecruisers was caused by weak armour, despite reports by two committees and earlier statements by Jellicoe and other senior officers that Cordite and its management were to blame. This led to calls for armour to be increased, and an additional was placed over the relatively thin decks above magazines. To compensate for the increase in weight, ships had to carry correspondingly less fuel, water and other supplies. Whether or not thin deck armour was a potential weakness of British ships, the battle provided no evidence that it was the case. At least amongst the surviving ships, no enemy shell was found to have penetrated deck armour anywhere. The design of the new battlecruiser (which was being built at the time of the battle) was altered to give her of additional armour.
Ammunition handling
British and German propellant charges differed in packaging, handling, and chemistry. The British propellant was of two types, MK1 and MD. The Mark 1 cordite had a formula of 37% nitrocellulose, 58% nitroglycerine, and 5% petroleum jelly. It was a good propellant but burned hot and caused an erosion problem in gun barrels. The petroleum jelly served as both a lubricant and a stabiliser. Cordite MD was developed to reduce barrel wear, its formula being 65% nitrocellulose, 30% nitroglycerine, and 5% petroleum jelly. While cordite MD solved the gun-barrel erosion issue, it did nothing to improve its storage properties, which were poor. Cordite was very sensitive to variations of temperature, and acid propagation/cordite deterioration would take place at a very rapid rate. Cordite MD also shed micro-dust particles of nitrocellulose and iron pyrite. While cordite propellant was manageable, it required a vigilant gunnery officer, strict cordite lot control, and frequent testing of the cordite lots in the ships' magazines.
British cordite propellant (when uncased and exposed in the silk bag) tended to burn violently, causing uncontrollable "flash fires" when ignited by nearby shell hits. In 1945, a test was conducted by the U.S.N. Bureau of Ordnance (Bulletin of Ordnance Information, No. 245, pp. 54–60) testing the sensitivity of cordite to then-current U.S. Naval propellant powders against a measurable and repeatable flash source. It found that cordite would ignite at from the flash, the current U.S. powder at , and the U.S. flashless powder at .
This meant that about 75 times the propellant would immediately ignite when exposed to flash, as compared to the U.S. powder. British ships had inadequate protection against these flash fires. German propellant (RP C/12, handled in brass cartridge cases and used in German artillery because their sliding wedge breeches were hard to obturate with smokeless powder, ) was less vulnerable and less volatile in composition. German propellants were not that different in composition from cordite—with one major exception: centralite. This was symmetrical diethyl diphenyl urea, which served as a stabiliser that was superior to the petroleum jelly used in British practice. It stored better and burned but did not explode. Stored and used in brass cases, it proved much less sensitive to flash. RP C/12 was composed of 64.13% nitrocellulose, 29.77% nitroglycerine, 5.75% centralite, 0.25% magnesium oxide and 0.10% graphite.
The Royal Navy Battle Cruiser Fleet had also emphasised speed in ammunition handling over established safety protocol. In practice drills, cordite could not be supplied to the guns rapidly enough through the hoists and hatches. To bring up the propellant in good time to load for the next broadside, many safety doors were kept open that should have been shut to safeguard against flash fires. Bags of cordite were also stocked and kept locally, creating a total breakdown of safety design features. By staging charges in the chambers between the gun turret and magazine, the Royal Navy enhanced their rate of fire but left their ships vulnerable to chain reaction ammunition fires and magazine explosions.Campbell, pp. 371–372. This 'bad safety habit' carried over into real battle practices. Furthermore, the doctrine of a high rate of fire also led to the decision in 1913 to increase the supply of shells and cordite held on the British ships by 50%, for fear of running out of ammunition. When this exceeded the capacity of the ships' magazines, cordite was stored in insecure places.
The British cordite charges were stored two silk bags to a metal cylindrical container, with a 16-oz gunpowder igniter charge, which was covered with a thick paper wad, four charges being used on each projectile. The gun crews were removing the charges from their containers and removing the paper covering over the gunpowder igniter charges. The effect of having eight loads at the ready was to have of exposed explosive, with each charge leaking small amounts of gunpowder from the igniter bags. In effect, the gun crews had laid an explosive train from the turret to the magazines, and one shell hit to a battlecruiser turret was enough to end a ship.
A diving expedition during the summer of 2003 provided corroboration of this practice. It examined the wrecks of Invincible, Queen Mary, Defence, and Lützow to investigate the cause of the British ships' tendency to suffer from internal explosions. From this evidence, a major part of the blame may be laid on lax handling of the cordite propellant for the shells of the main guns. The wreck of the Queen Mary revealed cordite containers stacked in the working chamber of the X turret instead of the magazine.
There was a further difference in the propellant itself. While the German RP C/12 burned when exposed to fire, it did not explode, as opposed to cordite. RP C/12 was extensively studied by the British and, after World War I, would form the basis of the later Cordite SC.
The memoirs of Alexander Grant, Gunner on Lion, suggest that some British officers were aware of the dangers of careless handling of cordite:
Grant had already introduced measures onboard Lion to limit the number of cartridges kept outside the magazine and to ensure doors were kept closed, probably contributing to her survival.
On 5 June 1916, the First Lord of the Admiralty advised Cabinet Members that the three battlecruisers had been lost due to unsafe cordite management.
After the battle, the B.C.F. Gunnery Committee issued a report (at the command of Admiral David Beatty) advocating immediate changes in flash protection and charge handling. It reported, among other things, that:
Some vent plates in magazines allowed flash into the magazines and should be retro-fitted to a new standard.
Bulkheads in HMS Lions magazine showed buckling from fire under pressure (overpressure)—despite being flooded and therefore supported by water pressure—and must be made stronger.
Doors opening inward to magazines were an extreme danger.
Current designs of turrets could not eliminate flash from shell bursts in the turret from reaching the handling rooms.
Ignition pads must not be attached to charges but instead be placed just before ramming.
Better methods must be found for safe storage of ready charges than the current method.
Some method for rapidly drowning charges already in the handling path must be devised.
Handling scuttles (special flash-proof fittings for moving propellant charges through ship's bulkheads), designed to handle overpressure, must be fitted.
Gunnery
British gunnery control systems, based on Dreyer tables, were well in advance of the German ones, as demonstrated by the proportion of main calibre hits made on the German fleet. Because of its demonstrated advantages, it was installed on ships progressively as the war went on, had been fitted to a majority of British capital ships by May 1916, and had been installed on the main guns of all but two of the Grand Fleet's capital ships. The Royal Navy used centralised fire-control systems on their capital ships, directed from a point high up on the ship where the fall of shells could best be seen, utilising a director sight for both training and elevating the guns. In contrast, the German battlecruisers controlled the fire of turrets using a training-only director, which also did not fire the guns at once. The rest of the German capital ships were without even this innovation. German range-finding equipment was generally superior to the British FT24, as its operators were trained to a higher standard due to the complexity of the Zeiss range finders. Their stereoscopic design meant that in certain conditions they could range on a target enshrouded by smoke. The German equipment was not superior in range to the British Barr & Stroud rangefinder found in the newest British capital ships, and, unlike the British range finders, the German range takers had to be replaced as often as every thirty minutes, as their eyesight became impaired, affecting the ranges provided to their gunnery equipment.
The results of the battle confirmed the value of firing guns by centralised director. The battle prompted the Royal Navy to install director firing systems in cruisers and destroyers, where it had not thus far been used, and for secondary armament on battleships.
German ships were considered to have been quicker in determining the correct range to targets, thus obtaining an early advantage. The British used a 'bracket system', whereby a salvo was fired at the best-guess range and, depending where it landed, the range was progressively corrected up or down until successive shots were landing in front of and behind the enemy. The Germans used a 'ladder system', whereby an initial volley of three shots at different ranges was used, with the centre shot at the best-guess range. The ladder system allowed the gunners to get ranging information from the three shots more quickly than the bracket system, which required waiting between shots to see how the last had landed. British ships adopted the German system.
It was determined that range finders of the sort issued to most British ships were not adequate at long range and did not perform as well as the range finders on some of the most modern ships. In 1917, range finders of base lengths of were introduced on the battleships to improve accuracy.
Signalling
Throughout the battle, British ships experienced difficulties with communications, whereas the Germans did not suffer such problems. The British preferred signalling using ship-to-ship flag and lamp signals, avoiding wireless, whereas the Germans used wireless successfully. One conclusion drawn was that flag signals were not a satisfactory way to control the fleet. Experience using lamps, particularly at night when issuing challenges to other ships, demonstrated this was an excellent way to advertise your precise location to an enemy, inviting a reply by gunfire. Recognition signals by lamp, once seen, could also easily be copied in future engagements.
British ships both failed to report engagements with the enemy but also, in the case of cruisers and destroyers, failed to actively seek out the enemy. A culture had arisen within the fleet of not acting without orders, which could prove fatal when any circumstances prevented orders being sent or received. Commanders failed to engage the enemy because they believed other, more senior officers must also be aware of the enemy nearby, and would have given orders to act if this was expected. Wireless, the most direct way to pass messages across the fleet (although it was being jammed by German ships), was avoided either for perceived reasons of not giving away the presence of ships or for fear of cluttering up the airwaves with unnecessary reports.
Fleet Standing Orders
Naval operations were governed by standing orders issued to all the ships. These attempted to set out what ships should do in all circumstances, particularly in situations where ships would have to react without referring to higher authority, or when communications failed. A number of changes were introduced as a result of experience gained in the battle.
A new signal was introduced instructing squadron commanders to act independently as they thought best while still supporting the main fleet, particularly for use when circumstances would make it difficult to send detailed orders. The description stressed that this was not intended to be the only time commanders might take independent action, but was intended to make plain times when they definitely should. Similarly, instructions on what to do if the fleet was instructed to take evasive action against torpedoes were amended. Commanders were given discretion that if their part of the fleet was not under immediate attack, they should continue engaging the enemy rather than turning away with the rest of the fleet. In this battle, when the fleet turned away from Scheer's destroyer attack covering his retreat, not all the British ships had been affected, and could have continued to engage the enemy.
A number of opportunities to attack enemy ships by torpedo had presented themselves but had been missed. All ships, not just the destroyers armed principally with torpedoes but also battleships, were reminded that they carried torpedoes intended to be used whenever an opportunity arose. Destroyers were instructed to close the enemy fleet to fire torpedoes as soon as engagements between the main ships on either side would keep enemy guns busy directed at larger targets. Destroyers should also be ready to immediately engage enemy destroyers if they should launch an attack, endeavouring to disrupt their chances of launching torpedoes and keep them away from the main fleet.
To add some flexibility when deploying for attack, a new signal was provided for deploying the fleet to the centre, rather than as previously only either to left or right of the standard closed-up formation for travelling. The fast and powerful 5th Battle Squadron was moved to the front of the cruising formation so it would have the option of deploying left or right depending upon the enemy position. In the event of engagements at night, although the fleet still preferred to avoid night fighting, a destroyer and cruiser squadron would be specifically detailed to seek out the enemy and launch destroyer attacks.
Controversy
At the time, Jellicoe was criticised for his caution and for allowing Scheer to escape. Beatty, in particular, was convinced that Jellicoe had missed a tremendous opportunity to annihilate the High Seas Fleet and win what would amount to another Trafalgar. Jellicoe was promoted away from active command to become First Sea Lord, the professional head of the Royal Navy, while Beatty replaced him as commander of the Grand Fleet.
The controversy raged within the navy and in public for about a decade after the war. Criticism focused on Jellicoe's decision at 19:15. Scheer had ordered his cruisers and destroyers forward in a torpedo attack to cover the turning away of his battleships. Jellicoe chose to turn to the south-east, and so keep out of range of the torpedoes. Supporters of Jellicoe, including the historian Cyril Falls, pointed to the folly of risking defeat in battle when one already has command of the sea. Jellicoe himself, in a letter to the Admiralty seventeen months before the battle, said that he intended to turn his fleet away from any mass torpedo attack (that being the universally accepted proper tactical response to such attacks, practised by all the major navies of the world). He said that, in the event of a fleet engagement in which the enemy turned away, he would assume they intended to draw him over mines or submarines, and he would decline to be so drawn. The Admiralty approved this plan and expressed full confidence in Jellicoe at the time (October 1914).
The stakes were high, the pressure on Jellicoe immense, and his caution certainly understandable. His judgement might have been that even 90% odds in favour were not good enough to bet the British Empire. Churchill said of the battle that Jellicoe "was the only man on either side who could have lost the war in an afternoon."
The criticism of Jellicoe also fails to sufficiently credit Scheer, who was determined to preserve his fleet by avoiding the full British battle line, and who showed great skill in effecting his escape.
Beatty's actions
On the other hand, some of Jellicoe's supporters condemned the actions of Beatty for the British failure to achieve a complete victory. Although Beatty was undeniably brave, his mismanagement of the initial encounter with Hipper's squadron and the High Seas Fleet cost him a considerable advantage in the first hours of the battle. His most glaring failure was in not providing Jellicoe with periodic information on the position, course, and speed of the High Seas Fleet. Beatty, aboard the battlecruiser Lion, left behind the four fast battleships of the 5th Battle Squadron—the most powerful warships in the world at the time—engaging with six ships when better control would have given him 10 against Hipper's five. Though Beatty's larger guns out-ranged Hipper's guns by thousands of yards, Beatty held his fire for 10 minutes and closed the German squadron until within range of the Germans' superior gunnery, under lighting conditions that favoured the Germans. Most of the British losses in tonnage occurred in Beatty's force.
Death toll
The total loss of life on both sides was 9,823 personnel: the British losses numbered 6,784 and the German 3,039. Counted among the British losses were two members of the Royal Australian Navy and one member of the Royal Canadian Navy. Six Australian nationals serving in the Royal Navy were also killed.
British
113,300 tons sunk:
Battlecruisers , ,
Armoured cruisers , ,
Flotilla leader
Destroyers , , , , , ,
German
62,300 tons sunk:
Battlecruiser
Pre-dreadnought
Light cruisers , , ,
Destroyers (Heavy torpedo-boats) , , , ,
Selected honours
The Victoria Cross is the highest military decoration awarded for valour "in the face of the enemy" to members of the British Empire armed forces. The Ordre pour le Mérite was the Kingdom of Prussia and consequently the German Empire's highest military order until the end of the First World War.
Pour le Mérite
Franz Hipper ()
Reinhard Scheer ()
Victoria Cross
The Hon. Edward Barry Stewart Bingham ()
John Travers Cornwell ()
Francis John William Harvey ()
Loftus William Jones ()
Status of the survivors and wrecks
In the years following the battle the wrecks were slowly discovered. Invincible was found by the Royal Navy minesweeper in 1919. After the Second World War some of the wrecks seem to have been commercially salvaged. For instance, the Hydrographic Office record for SMS Lützow (No. 32344) shows that salvage operations were taking place on the wreck in 1960.
During 2000–2016 a series of diving and marine survey expeditions involving veteran shipwreck historian and archaeologist Innes McCartney located all of the wrecks sunk in the battle. It was discovered that over 60 per cent of them had suffered from metal theft. In 2003 McCartney led a detailed survey of the wrecks for the Channel 4 documentary "Clash of the Dreadnoughts". The film examined the last minutes of the lost ships and revealed for the first time how both 'P' and 'Q' turrets of Invincible had been blasted out of the ship and tossed into the sea before she broke in half. This was followed by the Channel 4 documentary "Jutland: WWI's Greatest Sea Battle", broadcast in May 2016, which showed how several of the major losses at Jutland had actually occurred and just how accurate the "Harper Record" actually was.
On the 90th anniversary of the battle, in 2006, the UK Ministry of Defence belatedly announced that the 14 British vessels lost in the battle were being designated as protected places under the Protection of Military Remains Act 1986. This legislation only affects British ships and citizens and in practical terms offers no real protection from non-British salvors of the wreck sites. In May 2016 a number of British newspapers named the Dutch salvage company "Friendship Offshore" as one of the main salvors of the Jutland wrecks in recent years and depicted leaked photographs revealing the extent of their activities on the wreck of Queen Mary.
The last surviving veteran of the battle, Henry Allingham, a British RAF (originally RNAS) airman, died on 18 July 2009, aged 113, by which time he was the oldest documented man in the world and one of the last surviving veterans of the whole war. Also among the combatants was the then 20-year-old Prince Albert, serving as a junior officer aboard . He was second in the line to the throne, but would become king as George VI following his brother Edward's abdication in 1936.
One ship from the battle survives and is still (in 2023) afloat: the light cruiser . Decommissioned in 2011, she is docked at the Alexandra Graving Dock in Belfast, Northern Ireland and is a museum ship.
Remembrance
The Battle of Jutland was annually celebrated as a great victory by the right wing in Weimar Germany. This victory was used to repress the memory of the German navy's initiation of the German Revolution of 1918–1919, as well as the memory of the defeat in World War I in general. (The celebrations of the Battle of Tannenberg played a similar role.) This is especially true for the city of Wilhelmshaven, where wreath-laying ceremonies and torch-lit parades were performed until the end of the 1960s.
In 1916 Contreadmiral Friedrich von Kühlwetter (1865–1931) wrote a detailed analysis of the battle and published it in a book under the title Skagerrak (first anonymously published), which was reprinted in large numbers until after WWII and had a huge influence in keeping the battle in public memory amongst Germans as it was not tainted by the ideology of the Third Reich. Kühlwetter built the School for Naval Officers at Mürwik near Flensburg, where he is still remembered.
In May 2016, the 100th-anniversary commemoration of the Battle of Jutland was held. On 29 May, a commemorative service was held at St Mary's Church, Wimbledon, where the ensign from HMS Inflexible is on permanent display. On 31 May, the main service was held at St Magnus Cathedral in Orkney, attended by the British prime minister, David Cameron, and the German president, Joachim Gauck, along with Princess Anne and Vice Admiral Sir Tim Laurence. A centennial exposition was held at the Deutsches Marinemuseum in Wilhemshaven from 29 May 2016 to 28 February 2017.
Film
Wrath of the Seas (Die versunkene Flotte), 1926, director Manfred Noa
See also
List of the largest artificial non-nuclear explosions
Sea War Museum Jutland
Naval warfare of World War I
Notes
Citations
Bibliography
Black, Jeremy. "Jutland's Place in History," Naval History (June 2016) 30#3, pp. 16–21.
Corbett, Sir Julian. (2015) Maritime Operations In The Russo-Japanese War 1904–1905. Vol. 1, originally published Jan 1914. Naval Institute Press;
Corbett, Sir Julian. (2015) Maritime Operations In The Russo-Japanese War 1904–1905. Vol. 2, originally published Oct 1915. Naval Institute Press;
Costello, John (1976) Jutland 1916 with Terry Hughes
Friedman, Norman. (2013) Naval Firepower, Battleship Guns And Gunnery In The Dreadnaught Era. Seaforth Publishing;
Further reading
H.W. Fawcett & G.W.W. Hooper, RN (editors), The fighting at Jutland (abridged edition); the personal experiences of forty-five officers and men of the British Fleet London: MacMillan & Co, 1921
Lambert, Andrew. "Writing Writing the Battle: Jutland in Sir Julian Corbett's Naval Operations," Mariner's Mirror 103#2 (2017) 175–95, Historiography..
External links
WW1 Centenary News – Battle of Jutland
Jutland Centenary Initiative
Jutland Commemoration Exhibition
Beatty's official report
Jellicoe's official despatch
Jellicoe, extract from The Grand Fleet, published 1919
World War I Naval Combat – Despatches
Scheer, Germany's High Seas Fleet in the World War , published 1920
Henry Allingham Last known survivor of the Battle of Jutland
Table of Jutland Casualties Listed by Ship
germannavalwarfare.info Some Original Documents from the British Admiralty, Room 40, regarding the Battle of Jutland: Photocopies from The National Archives, Kew, Richmond, UK.
Sailors, with biographies, plotted on the Jutland Interactive Map of the NMRN
Battle of Jutland Crew Lists Project
Battle of Jutland Crew Lists Project Wiki
Memorial park for the Battle of Jutland
Battle-of-Jutland.com The website owner has a package of original documents
Transcript of post-battle correspondence between the Grand Fleet and the Admiralty concerning the loss of the battlecruisers.
Notable accounts
by Rudyard Kipling Retrieved 2009-10-31.
by Alexander Grant, a gunner aboard HMS Lion
A North Sea diary, 1914–1918, by Stephen King-Hall, a junior officer on the light cruiser
by Paul Berryman, a junior officer on
by Moritz von Egidy, captain of SMS Seydlitz
by Richard Foerster, gunnery officer on Seydlitz
by Georg von Hase, gunnery officer on Derfflinger
(Note:' Due to the time difference, entries in some of the German accounts are one hour ahead of the times in this article.)
Conflicts in 1916
1916 in Denmark
1916 in Germany
1916 in the United Kingdom
Naval battles of World War I involving Australia
Naval battles of World War I involving Germany
Naval battles of World War I involving the United Kingdom
North Sea operations of World War I
Protected Wrecks of the United Kingdom
Military history of the North Sea
May 1916 events
June 1916 events
Germany–United Kingdom military relations | 19 |
Baku (, ; ) is the capital and largest city of Azerbaijan, as well as the largest city on the Caspian Sea and in the Caucasus region. Baku is below sea level, which makes it the lowest lying national capital in the world and also the largest city in the world below sea level. Baku lies on the southern shore of the Absheron Peninsula, on the Bay of Baku. Baku's urban population was estimated at two million people as of 2009. Baku is the primate city of Azerbaijan—it is the sole metropolis in the country, and about 25% of all inhabitants of the country live in Baku's metropolitan area.
Baku is divided into twelve administrative raions and 48 townships. Among these are the townships on the islands of the Baku Archipelago, as well as the industrial settlement of Neft Daşları built on oil rigs away from Baku city in the Caspian Sea. The Old City, containing the Palace of the Shirvanshahs and the Maiden Tower, was designated as a UNESCO World Heritage Site in 2000.
The city is the scientific, cultural, and industrial centre of Azerbaijan. Many sizeable Azerbaijani institutions have their headquarters there. In the 2010s, Baku became a venue for major international events. It hosted the 57th Eurovision Song Contest in 2012, the 2015 European Games, 4th Islamic Solidarity Games, the European Grand Prix in 2016, the Azerbaijan Grand Prix since 2017, the final of the 2018–19 UEFA Europa League, and was one of the host cities for UEFA Euro 2020. The Baku International Sea Trade Port is capable of handling two million tonnes of general and dry bulk cargoes per year. Baku is renowned for its harsh winds, reflected in its nickname, the "City of Winds".
Etymology
Baku is long attested under the Perso-Arabic name باکو (Bākū). Early Arabic sources also refer to the city as Bākuh and Bākuya, all of which seem to come from a Persian name. The further etymology is unclear.
A popular etymology in the 19th century considered it to be derived from Persian بادکوبه (Bâd-kube, meaning "wind-pounded city", a compound of bād, "wind", and kube, which is rooted in the verb کوبیدن kubidan, "to pound", thus referring to a place where wind would be strong and pounding, as is the case of Baku, which is known to experience fierce winter snow storms and harsh winds). This popular name (Badkubə in modern Azerbaijani script) gained currency as a nickname for the city by the 19th century (e.g., it is used in Akinchi, volume 1, issue 1, p. 1), and is also reflected in the city's modern nickname as the "City of Winds" (). Another and even less probable folk etymology explains the name as deriving from Baghkuy, meaning "God's town". Baga (now بغ bagh) and kuy are the Old Persian words for "god" and "town" respectively; the name Baghkuy may be compared with Baghdād ("God-given") in which dād is the Old Persian word for "give".
During Soviet rule, the city was spelled in Cyrillic as "Бакы" in Azerbaijani (while the Russian spelling was and still is "Баку", ). The modern Azerbaijani spelling, which has been using the Latin alphabet since 1991, is ; the shift from the Perso-Arabic letter و (ū) to Cyrillic "ы" and, later, Latin "ı" may be compared to that in other Azerbaijani words (e.g. compare qāpū in old Perso-Arabic spelling with modern Azerbaijani , "door") or in suffixes, as و was often used to transcribe the vowel harmony in Azerbaijani (which was also the practice in Ottoman Turkish). (See also Azerbaijani alphabet.)
History
Antiquity
Traces of human settlement in the region of present-day Baku date back to the Stone Age. Bronze-Age rock carvings have been discovered near Bayil, and a bronze figure of a small fish in the territory of the Old City. These have led some to suggest the existence of a Bronze-Age settlement within the city's territory. Near Nardaran, a place called Umid Gaya features a prehistoric observatory, where images of the sun and of various constellations are carved into rock together with a primitive astronomic table. Further archeological excavations have revealed various prehistoric settlements, native temples, statues and other artifacts within the territory of the modern city and around it.
In the 1st century AD, the Romans organised two Caucasian campaigns and reached what is today Baku. Near the city, in what is today Gobustan, Roman inscriptions dating from AD 84 to 96 survive – some of the earliest written evidences for a city there.
Rise of the Shirvanshahs and the Safavid era
Baku was the realm of the Shirvanshahs during the 8th century AD. The city frequently came under assault from the Khazars and (starting from the 10th century) from the Rus'. Shirvanshah Akhsitan I built a navy in Baku and successfully repelled a Rus' assault in 1170. After a devastating earthquake struck Shamakhi, the capital of Shirvan, Shirvanshah's court moved to Baku in 1191.
The Shirvan era greatly influenced Baku and the remainder of present-day Azerbaijan. Between the 12th and 14th centuries, massive fortifications were built in Baku and the surrounding towns. The Maiden Tower, the Ramana Tower, the Nardaran Fortress, the Shagan Castle, the Mardakan Castle, the Round Castle and also the famous Sabayil Castle on the island of the Bay of Baku date from this period. The city walls of Baku were also rebuilt and strengthened.
By the early 16th century Baku's wealth and strategic position attracted the attention of its larger neighbours; in the previous two centuries, it was under the rule of the Iran-centred Kara Koyunlu and Ak Koyunlu. The fall of the Ak Koyunlu brought the city immediately into the sphere of the newly formed Iranian Safavid dynasty, led by king (shah) Ismail I (). Ismail I laid siege to Baku in 1501 and captured it; he allowed the Shirvanshahs to remain in power, under Safavid suzerainty. His successor, king Tahmasp I (), completely removed the Shirvanshahs from power and made Baku a part of the Shirvan province. Baku remained as an integral part of his empire and of successive Iranian dynasties for the next centuries, until ceded to the Russian Empire through the 1813 Treaty of Gulistan. The House of Shirvan, which had ruled Baku since the 9th century, was extinguished in the course of Safavid rule.
At this time the city was enclosed within lines of strong walls, which were washed by the sea on one side and protected by a wide trench on land. The Ottomans briefly gained control over Baku as a result of the Ottoman-Safavid War of 1578–1590; by 1607, it came under Iranian control again. In 1604 Shah Abbas I () destroyed Baku fortress.
Baku had a reputation as a focal point for traders from all across the world during the Early modern period; commerce was active and the area prospered. Notably, traders from the Indian subcontinent established themselves in the region. These Indian traders built the Ateshgah of Baku during 17th–18th centuries; the temple was used as a Hindu, Sikh, and Zoroastrian place of worship.
Downfall of the Safavids and the Khanate of Baku
The Safavids temporarily lost power in Iran in 1722; Emperor Peter the Great of Russia took advantage of the situation and invaded. As a result of the Russo-Persian War of 1722–1723, the Safavids were forced to cede Baku to Russia. By 1730 the situation had deteriorated for the Russians; the successes of Nader Shah () led them to sign the Treaty of Ganja near Ganja on 10 March 1735, ceding the city and all other conquered territories in the Caucasus back to Iran.
The eruption of instability following Nader Shah's death in 1747 gave rise to the various Caucasian khanates. The semi-autonomous Persian-ruled Baku Khanate (1747–1806) was one of these. Initially ruled by Mirza Muhammed Khan (), it soon became a dependency of the much stronger Quba Khanate. During this time, the population of Baku remained small (approximately 5,000), and the economy suffered as a result of constant warfare.
Russo-Persian Wars and Iran's forced cession
From the late 18th century, Imperial Russia switched to a more aggressive geopolitical stance towards its two neighbours and rivals to the south, namely Iran and the Ottoman Empire. In the spring of 1796, by Catherine II's order, General Valerian Zubov's troops started a large campaign against Qajar Persia. Zubov had sent 13,000 men to capture Baku, and it was overrun subsequently without any resistance. On 13 June 1796, a Russian flotilla entered Baku Bay, and a garrison of Russian troops was stationed inside the city. Later, however, Emperor Paul I of Russia ordered the cessation of the campaign and the withdrawal of Russian forces following the death of his predecessor, Catherine the Great. In March 1797 the tsarist troops left Baku and the city became part of Qajar Iran again.
In 1813, following the Russo-Persian War of 1804–1813, Qajar Iran had to sign the Treaty of Gulistan with Russia this provided for the cession of Baku and of most of Iran's territories in the North Caucasus and South Caucasus to Russia. During the next and final bout of hostilities between the two, the Russo-Persian War of 1826–1828, the Iranians briefly recaptured Baku. However, the militarily superior Russians ended this war with a victory as well, and the resulting Treaty of Turkmenchay (1828) made Baku's inclusion in the Russian Empire definite. When Baku was occupied by the Russian troops during the war of 1804–13, nearly the entire population of some 8,000 people was ethnic Tat. Baku within Russia was the administrative center of the Baku Uyezd, Baku Governorate, and the Baku Gradonachalstvo.
Discovery of oil
The Russians built the first oil-distilling factory in Balaxani in 1837. The first person to drill oil in Baku was an ethnic Armenian Ivan Mirzoev, who is also known as a 'founding father of Baku's oil industry.' Digging for oil began in the 1840s, with the first oil well drilled in the Bibi-Heybat suburb of Baku in 1846. It was mechanically drilled, though a number of hand-dug wells pre-dated it. Large-scale oil exploration started in 1872 when Russian imperial authorities auctioned parcels of oil-rich land around Baku to private investors. The pioneer of oil extracting from the bottom of the sea was the Polish geologist Witold Zglenicki. Soon after, investors appeared in Baku, including the Nobel Brothers in 1873 and the Rothschilds in 1882. An industrial area of oil refineries, better known as Black Town (), developed near Baku by the early 1880s.
Professor A. V. Williams Jackson of Columbia University wrote in his work From Constantinople to the Home of Omar Khayyam (1911):
By the beginning of the 20th century, half of the oil sold in international markets was extracted in Baku. The oil boom contributed to the massive growth of Baku. Between 1856 and 1910 Baku's population grew at a faster rate than that of London, Paris or New York.
Unrest at the time of the 1905 Revolution resulted in massacres among the population and the destruction of many oil facilities.
World War I
In 1917, after the October Revolution and amidst the turmoil of World War I and the breakup of the Russian Empire, Baku came under the control of the Baku Commune, led by the veteran Bolshevik Stepan Shahumyan. Seeking to capitalize on the existing ethnic conflicts, by spring 1918, Bolsheviks inspired and condoned civil war in and around Baku. During the famous March Days of 1918, Bolsheviks and Dashnaks, seeking to establish control over Baku streets, faced armed Azerbaijani groups. The Azerbaijanis suffered defeat from the united forces of the Baku Soviet and were massacred by Dashnak teams in what was called the March Days. An estimated 3,000–12,000 Azerbaijanis were killed in their own capital. After the massacre, on 28 May 1918, the Azerbaijani faction of the Transcaucasian Sejm proclaimed the independence of the Azerbaijan Democratic Republic (ADR) in Ganja, thereby founding the first Muslim-majority democratic and secular republic. The newly independent Azerbaijani republic, being unable to defend the independence of the country on their own, asked the Ottoman Empire for military support in accordance with clause 4 of the treaty between the two countries. Shortly after, Azerbaijani forces, with support of the Ottoman Army of Islam led by Nuru Pasha, started their advance on Baku, eventually capturing the city from the loose coalition of Bolsheviks, SRs, Dashnaks, Mensheviks and British forces under the command of General Lionel Dunsterville on 15 September 1918.
After the Battle of Baku of August–September 1918, the Azerbaijani irregular troops, with the tacit support of the Turkish command, conducted four days of pillaging and killing 10,000–30,000 Armenians of Baku. This pogrom became known as the "September Days". Shortly after this, Baku was proclaimed the new capital of the Azerbaijan Democratic Republic.
The Ottoman Empire, recognising defeat in World War I by October 1918, signed the Armistice of Mudros with the British (30 October 1918); this meant the evacuation of Turkish forces from Baku. Headed by General William Thomson, some 5,000 British troops, including parts of the former Dunsterforce, arrived in Baku on 17 November. Thomson declared himself military governor of Baku and implemented martial law in the city until "the civil power would be strong enough to release the forces from the responsibility to maintain the public order". British forces left before the end of 1919.
Soviet period
The independence of the Azerbaijani republic was a significant but short-lived chapter in Baku's history. On 28 April 1920, the 11th Red Army invaded Baku and reinstalled the Bolsheviks, making Baku the capital of the Azerbaijan Soviet Socialist Republic.
The city underwent many major changes. As a result, Baku played a great role in many branches of Soviet life. Baku was the major oil city of the Soviet Union. From about 1921 the city was headed by the Baku City Executive Committee, commonly known in Russian as Bakgorispolkom. Together with Baku Party Committee (known as the Baksovet), it developed the economic significance of the Caspian metropolis. From 1922 to 1930 Baku became the venue for one of the major trade fairs of the Soviet Union, serving as a commercial bridgehead to Iran and the Middle East.
World War II
The major powers continued to note Baku's growing importance as a major energy hub. During World War II (1939–1945) and particularly during the 1942 Nazi German invasion of the southwestern Soviet Union, Baku became of vital strategic importance to the Axis powers. In fact, capturing the oil fields of Baku was a primary goal of the Wehrmacht's Operation Edelweiss, carried out between May and November 1942. However, the German Army reached only a point some northwest of Baku in November 1942, falling far short of the city's capture before being driven back during the Soviet Operation Little Saturn in mid-December 1942.
Fall of the Soviet Union and later
After the 1991 dissolution of the Soviet Union, Baku embarked on a process of restructuring on a scale unseen in its history. Thousands of buildings from the Soviet period were demolished to make way for a green belt on its shores; parks and gardens were built on the land reclaimed by filling up the beaches of the Baku Bay. Improvements were made in general cleaning, maintenance, and garbage collection to bring these services up to Western European standards. The city is growing dynamically and developing at full speed on an east–west axis along the shores of the Caspian Sea. Sustainability has become a key factor in future urban development.
Geography
Baku is situated on the western coast of Caspian Sea. In the vicinity of the city there are a number of mud volcanoes (Keyraki, Bogkh-bogkha, Lokbatan and others) and salt lakes (Boyukshor, Khodasan and so on).
Climate
Baku has a cold semi-arid climate (Köppen climate classification: BSk) with hot and humid summers, cool and occasionally wet winters, and strong winds all year long. However, unlike many other cities with such climate features, Baku does not see extremely hot summers and substantial sunshine hours. This is largely because of its northerly latitude and the fact that it is located on a peninsula on the shore of the Caspian Sea.
Baku, and the Absheron Peninsula on which it is situated, is the most arid part of Azerbaijan (precipitation here is around or less than a year). This is largely due to the rain shadow effect from the Caucasian Mountains, with corresponding latitudes on the Black Sea on average receiving or more. The majority of the light annual precipitation occurs in seasons other than summer, but none of these seasons is particularly wet.
During Soviet times, Baku, with its long hours of sunshine and dry healthy climate, was a vacation destination where citizens could enjoy beaches or relax in now-dilapidated spa complexes overlooking the Caspian Sea. The city's past as a Soviet industrial centre left it one of the most polluted cities in the world, .
At the same time Baku is noted as a very windy city throughout the year, hence the city's nickname the "City of Winds", and gale-force winds, the cold northern wind khazri and the warm southern wind gilavar are typical here in all seasons. Indeed, the city is renowned for its fierce winter snow storms and harsh winds.
The speed of the khazri sometimes reaches 144 km/h (89 mph), which can cause damage to crops, trees and roof tiles.
The daily mean temperature in July and August averages , and there is very little rainfall during that season. During summer the khazri sweeps through, bringing desired coolness. Winter is cool and occasionally wet, with the daily mean temperature in January and February averaging . During winter the khazri sweeps through, driven by polar air masses; temperatures on the coast frequently drop below freezing and make it feel bitterly cold. Winter snow storms are occasional; snow usually melts within a few days after each snowfall.
Administrative divisions
Baku is divided into 12 rayonlar (sub-rayons) (administrative districts) and 5 settlements of city type.
Binagadi (Binəqədi) raion
Garadagh (Qaradağ) raion
Khatai (Xətai) raion
Khazar (Xəzər) raion
Narimanov (Nərimanov) raion
Nasimi (Nəsimi) raion
Nizami raion
Pirallahi (Pirallahı) raion
Sabail (Səbail) raion
Sabunchu (Sabunçu) raion
Surakhani (Suraxanı) raion
Yasamal raion
Demographics
Until 1988, Baku had very large Russian, Armenian, and Jewish populations which contributed to cultural diversity and added in various ways (music, literature, architecture and progressive outlook) to Baku's history. With the onset of the First Nagorno-Karabakh War and the pogrom against Armenians starting in January 1990, the city's large Armenian population was expelled.
Under Communism, the Soviets took over the majority of Jewish property in Baku and Kuba. After the collapse of the Soviet Union, Azerbaijani President Heydar Aliyev returned several synagogues and a Jewish college, nationalised by the Soviets, to the Jewish community; he encouraged the restoration of these buildings. Seven of the original 11 synagogues, including the Gilah synagogue, built in 1896, and the large Kruei Synagogue, were renovated.
Ethnic groups
Today, the vast majority of Baku's population is made up of ethnic Azerbaijanis, and the rest are Talysh, Russians, Lezgi and others. The intensive growth of the population started in the middle of the 19th century when Baku was a small town with a population of about 7,000 people. The population increased again from about 13,000 in the 1860s to 112,000 in 1897 and 215,000 in 1913, making Baku the largest city in the Caucasus region.
Baku has been a cosmopolitan city at certain times during its history, meaning ethnic Azerbaijanis did not constitute the majority of population. It was only in the 1970s that ethnic Azerbaijanis achieved demographic dominance in Baku. In 2003 Baku additionally had 153,400 internally displaced persons and 93,400 refugees.
Religion
The religion with the largest community of followers is Islam. The majority of the Muslims are Shia Muslims, and the Republic of Azerbaijan has the second highest Shia population percentage in the world after Iran. The city's notable mosques include Juma Mosque, Bibi-Heybat Mosque, Muhammad Mosque and Taza Pir Mosque.
There are some other faiths practised among the different ethnic groups within the country. By article 48 of its Constitution, Azerbaijan is a secular state and ensures religious freedom. Religious minorities include Russian Orthodox Christians, Catholic Levantines, Georgian Orthodox Christians, Albanian-Udi Apostolic Christians, Lutherans, Ashkenazi Jews, and Sufi Muslims. Baku is the seat of the Catholic Apostolic Prefecture of Azerbaijan.
Zoroastrianism, although extinct in the city as well as in the rest of the country by the present time, had a long history in Azerbaijan and the Zoroastrian New Year (Nowruz) continues to be the main holiday in the city as well as in the rest of Azerbaijan.
Economy
Baku's largest industry is petroleum, and its petroleum exports make it a large contributor to Azerbaijan's balance of payments. The existence of petroleum has been known since the 8th century. In the 10th century, the Arabian traveler, Marudee, reported that both white and black oil were being extracted naturally from Baku. By the 15th century, oil for lamps was obtained from hand-dug surface wells.
Commercial exploitation began in 1872, and by the beginning of the 20th century the Baku oil fields were the largest in the world. Towards the end of the 20th century, much of the onshore petroleum had been exhausted, and drilling had extended into the sea offshore. By the end of the 19th century skilled workers and specialists flocked to Baku. By 1900 the city had more than 3,000 oil wells, of which 2,000 were producing oil at industrial levels. Baku ranked as one of the largest centres for the production of oil industry equipment before World War II. The World War II Battle of Stalingrad was fought to determine who would have control of Baku oil fields. Fifty years before the battle, Baku produced half of the world's oil supply.
The oil economy of Baku is undergoing a resurgence, with the development of the massive Azeri-Chirag-Guneshli field (Shallow water Gunashli by SOCAR, deeper areas by a consortium led by BP), development of the Shah Deniz gas field, the expansion of the Sangachal Terminal and the construction of the BTC Pipeline.
The Baku Stock Exchange is Azerbaijan's largest stock exchange, and largest in the Caucasian region by market capitalization. A relatively large number of transnational companies are headquartered in Baku. One of the more prominent institutions headquartered in Baku is the International Bank of Azerbaijan, which employs over 1,000 people. International banks with branches in Baku include HSBC, Société Générale and Credit Suisse.
Tourism and shopping
Baku is one of the most important tourist destinations in the Caucasus, with hotels in the city earning 7 million euros in 2009. Many sizable world hotel chains have a presence in the city. Baku has many popular tourist and entertainment spots, such as the downtown Fountains Square, the One and Thousand Nights Beach, Shikhov Beach and Oil Rocks. Baku's vicinities feature Yanar Dag, an ever-blazing spot of natural gas. On 2 September 2010 with the inauguration of National Flag Square, Baku set the world record for tallest flagpole; on 24 May 2011, the city of Dushanbe in Tajikistan set a new record with a -higher flagpole. A few years later, the Flag Pole was dismantled and the National Flag Square was closed off with fences.
Baku has several shopping malls; the most famous city centre malls are Port Baku, Park Bulvar, Ganjlik Mall, Metro Park, 28 MALL, Aygun city and AF MALL. The retail areas contain shops from chain stores up to high-end boutiques.
The city is listed 48th in the 2011 list of the most expensive cities in the world conducted by the Mercer Human Resource Consulting. Its Nizami Street and also the Neftchilar Avenue are among the most expensive streets in the world.
Culture
In 2007 the Heydar Aliyev Cultural Centre, designed by Pritzker Prize-winning architect Zaha Hadid, was opened. Baku also has many museums such as Baku Museum of Modern Art and Azerbaijan State Museum of History, most notably featuring historical artifacts and art. Many of the city's cultural sites were celebrated in 2009 when Baku was designated an Islamic Culture Capital. Baku was chosen to host the Eurovision Dance Contest 2010. It has also become the first city hosting the first European Games in 2015.
Theatres
Azerbaijan State Academic Opera and Ballet Theatre
Azerbaijan State Academic Drama Theatre
Azerbaijan State Russian Drama Theatre named after Samad Vurgun
Baku Puppet Theatre (formally Azerbaijan State Puppet Theatre named after Abdulla Shaig)
Azerbaijan State Theatre of Young Spectators
Azerbaijan State Theatre of Musical Comedy
Baku State Circus
"Oda" Theatre
Baku Marionette Theatre
Baku Municipal Theatre
Azerbaijan State Pantomime Theatre
Mugham Azerbaijan National Music Theatre
Azerbaijan State Theatre of Song named after Rashid Behbudov
"UNS" Theatre
"Yugh" Theatre
Among Baku's cultural venues are Azerbaijan State Philharmonic Hall, Azerbaijan State Academic Opera and Ballet Theatre. The main movie theatre is Azerbaijan Cinema. Festivals include Baku International Film Festival, Baku International Jazz Festival, Novruz Festival, Gül Bayramı (Flower Festival) and the National Theater Festival. International and local exhibitions are presented at the Baku Expo Centre.
, the city along with Ganja and Lankaran participates in Earth Hour movement.
Museums
The Museum Centre
Museum of Archaeology and Ethnography
Azerbaijan State Carpet Museum
Azerbaijan Museum of Geology
Libraries
National Library of Azerbaijan
ANAS Central Library of Science
Presidential Library (former Library of the Armenian Philanthropic Society)
Architecture
Baku has wildly varying architecture, ranging from the Old City core to modern buildings and the spacious layout of Baku port. Many of the city's landmarks were built during the early 20th century, when architectural elements of the European styles were combined in eclectic style. Baku has an original and unique appearance, earning it a reputation as the 'Paris of the East'. Baku joined UNESCO's Network of Creative Cities as a Design City on 31 October 2019 on the occasion of World Cities' Day.
Hamams
There are a number of ancient hamams in Baku dating back to the 12th, 14th and 18th centuries. Hamams play a very important role in the architectural appearance of Baku.
Teze Bey Hamam
Teze Bey is the most popular hamam (traditional bath) in Baku. It was built in 1886 in the centre of Baku and in 2003 it was fully restored and modernised. Along with its modern amenities, Teze Bey features a swimming pool and architectural details inspired by Oriental, Russian and Finnish baths.
Gum Hamam
Gum Hamam was discovered during archaeological excavations underneath the sand; hence the name: Gum hamam (sand bath). It was built sometime during the 12th–14th centuries.
Bairamali hamam
In ancient times Bairamali Hamam was called "Bey Hamam". The original structure was built sometime during the 12th–14th centuries and was reconstructed in 1881.
Agha Mikayil Hamam
Agha Mikayil Hamam was constructed in the 18th century by Haji Agha Mikayil on Kichik Gala Street in the Old City (Icherisheher). It is still operating in its ancient setting. The Hamam is open to women on Mondays and Fridays and to men on the other days of the week.
Modern architecture
Late modern and postmodern architecture began to appear in the early 2000s. With economic development, old buildings such as Atlant House were razed to make way for new ones. Buildings with all-glass shells have appeared around the city, the most prominent examples being the International Mugham Center, Azerbaijan Tower, Heydar Aliyev Cultural Centre, Flame Towers, Baku Crystal Hall, Baku White City, SOCAR Tower and DENIZ Mall. These projects also caught the attention of international media as notable programmes such as Discovery Channel's Extreme Engineering did pieces focusing in on changes to the city.
The Old City of Baku, also known as the Walled City of Baku, refers to the ancient Baku settlement. Most of the walls and towers, strengthened after the Russian conquest in 1806, survived. This section is picturesque, with its maze of narrow alleys and ancient buildings: the cobbled streets past the Palace of the Shirvanshahs, two caravansaries, the baths and the Juma Mosque (which used to house the Azerbaijan National Carpet and Arts Museum but is now a mosque again). The old town core also has dozens of small mosques, often without any particular sign to distinguish them as such.
In 2003, UNESCO placed the Inner City on the List of World Heritage in Danger, citing damage from a November 2000 earthquake, poor conservation as well as "dubious" restoration efforts. In 2009 the Inner City was removed from the List of World Heritage in Danger.
Visual arts
The three main institutions for exhibiting modern and contemporary art in Baku are:
Baku Museum of Modern Art
Heydar Aliyev Centre
Yarat Contemporary Art Space ()
Music and media
The music scene in Baku can be traced back to ancient times and villages of Baku, generally revered as the fountainhead of meykhana and mugham in the Azerbaijan.
In recent years, the success of Azerbaijani performers such as AySel, Farid Mammadov, Sabina Babayeva, Safura and Elnur Hüseynov in the Eurovision Song Contest has boosted the profile of Baku's music scene, prompting international attention. Following the victory of Azerbaijan's representative Eldar & Nigar at the Eurovision Song Contest 2011, Baku hosted the Eurovision Song Contest 2012.
2005 was a landmark in the development of Azerbaijani jazz in the city. It has been home to legendary jazz musicians like Vagif Mustafazadeh, Aziza Mustafa Zadeh, Rafig Babayev and Rain Sultanov. Among Baku's prominent annual fairs and festivals is Baku International Jazz Festival, which features some of the world's most identifiable jazz names.
Baku also has a thriving International Centre of Mugham, which is located in Baku Boulevard, Gulustan Palace and Buta Palace, one of the principal performing arts centres and music venues in the city.
The majority of Azerbaijan's media companies (including television, newspaper and radio, such as, Azad Azerbaijan TV, Ictimai TV, Lider TV and Region TV) are headquartered in Baku. The films The World Is Not Enough and The Diamond Arm are set in the city, while Amphibian Man includes several scenes filmed in Old City.
The city's radio stations include: Ictimai Radio, Radio Antenn, Burc FM, Avto FM, ASAN Radio and Lider FM Jazz
Some of Baku's newspapers include the daily Azadliq, Zaman (The Time), Bakinskiy Rabochiy (Baku Worker), Echo and the English-language Baku Today.
Baku is also featured in the video game Battlefield 4.
Nightlife
Many clubs that are open until dawn can be found throughout the city. Clubs with an eastern flavour provide special treats from the cuisine of Azerbaijan along with local music. Western-style clubs target younger, more energetic crowds. Most of the public houses and bars are located near Fountains Square and are usually open until the early hours of the morning.
Baku is home to restaurants catering to every cuisine and occasion. Restaurants range from luxurious and expensive to ordinary and affordable.
Parks and gardens
Baku has large sections of greenery either preserved by the National Government or designated as green zones. The city, however, continues to lack a green belt development as economic activity pours into the capital, resulting in massive housing projects along the suburbs.
Baku Boulevard is a pedestrian promenade that runs parallel to Baku's seafront. The boulevard contains an amusement park, yacht club, musical fountain, statues and monuments. The park is popular with dog-walkers and joggers and is convenient for tourists. It is adjacent to the newly built International Centre of Mugham and the musical fountain.
Other parks and gardens include Heydar Aliyev Park, Samad Vurgun Park, Narimanov Park, Alley of Honor and the Fountains Square. The Martyrs' Lane, formerly the Kirov Park, is dedicated to the memory of those who died during the Nagorno-Karabakh conflict and also to the 137 people killed on Black January.
Sports
Baku hosts a Formula One race on the Baku City Circuit. The first was the 2016 European Grand Prix, with the track going around the old city. The track measures 6.003 km (3.735 mi), and it has been on the Formula One calendar since its 2016 debut.
The city also hosted three group games and one quarter-final of the UEFA Euro 2020 European Football Championship.
Since 2002, Baku has hosted 36 major sporting events and selected to host the 2015 European Games. Baku is also to host the fourth edition of the Islamic Solidarity Games in 2017.
Baku is also one of world's leading chess centres, having produced famous grandmasters like Teimour Radjabov, Vugar Gashimov, Garry Kasparov, Shahriyar Mammadyarov and Rauf Mammadov, as well as the arbiter Faik Hasanov. The city also annually hosts the international tournaments such as Baku Chess Grand Prix, President's Cup, Baku Open and bidding to host 42nd Chess Olympiad in 2014.
First class sporting facilities were built for the indoor games, including the Palace of Hand Games and Heydar Aliyev Sports and Exhibition Complex. It hosted many sporting events, including FIFA U-17 Women's World Cup, Rhythmic Gymnastics European Championships in 2007 and 2009, 2005 World Rhythmic Gymnastics Championships, 2007 FILA Wrestling World Championships and 2010 European Wrestling Championships, 2011 World Amateur Boxing Championships, 2009 Women's Challenge Cup and European Taekwondo Championships in 2007. Since 2011 the city annually hosts WTA tennis event called Baku Cup.
The Synergy Baku Cycling Project participates in the Tour d'Azerbaïdjan a 2.2 multi-stage bicycle race on the UCI Europe Tour.
Baku made a bid to host the 2016 Summer Olympics and 2020 Summer Olympics, but failed to become a Candidate City both times.
The largest sports hub in the city is Baku Olympic Stadium with 69,870 seating capacity whose construction was completed in 2015. UEFA Europa League Final 2019 was played at the Olympic Stadium in Baku on 29 May 2019 between English sides Chelsea and Arsenal. The city's main football clubs is Neftçi Baku of who first has nine Premier League titles making Neftchi the most successful Azerbaijani football club. Baku also has several football clubs in the premier and regional leagues, including AZAL and Ravan in Premier League. The city's second largest stadium, Tofiq Bahramov Stadium hosts a number of domestic and international competitions and was the main sports centre of the city for a long period until the construction of Baku Olympic Stadium.
In the Azerbaijan Women's Volleyball Super League, Baku is represented by Rabita Baku, Azerrail Baku, Lokomotiv Baku and Azeryol Baku.
Transport
Throughout history the transport system of Baku used the now-defunct horsecars, trams and narrow gauge railways. , 1,000 black cabs are ordered by Baku Taxi Company, and as part of a programme originally announced by the Transport Ministry of Azerbaijan, there is a plan to introduce London cabs into Baku. The move was part of £16 million agreement between Manganese Bronze subsidiary LTI Limited and Baku Taxi Company.
Local rail transport includes the Baku Funicular and the Baku Metro, a rapid-transit system notable for its art, murals, mosaics and ornate chandeliers. Baku Metro was opened in November 1967 and includes 3 lines and 25 stations at present; 170 million people used Baku Metro over the past five years. In 2008, the Chief of Baku Metro, Taghi Ahmadov, announced plans to construct 41 new stations over the next 17 years. These will serve the new bus complex as well as the international airport. In 2019, the Baku suburban railway opened.
BakuCard is a single Smart Card for payment on all types of city transport. The intercity buses and metro use this type of card-based fare-payment system.
Baku Railway Station is the terminus for national and international rail links to the city. The Kars–Tbilisi–Baku railway, which directly connects Turkey, Georgia and Azerbaijan, began to be constructed in 2007 and opened in 2017. The completed branch will connect Baku with Tbilisi in Georgia, and from there trains will continue to Akhalkalaki, and Kars in Turkey.
Sea transport is vital for Baku, as the city is practically surrounded by the Caspian Sea to the east. Shipping services operate regularly from Baku across the Caspian Sea to Turkmenbashi (formerly Krasnovodsk) in Turkmenistan and to Bandar Anzali and Bandar Nowshar in Iran. The commuter ferries, along with the high-speed catamaran Seabus (Deniz Avtobusu), also form the main connection between the city and the Absheron peninsula.
Baku Port was founded in 1902 and claims to be the largest Caspian Sea port. It has six facilities: the main cargo terminal, the container terminal, the ferry terminal, the oil terminal, the passenger terminal and the port fleet terminal. The port's throughput capacity reaches 15 million tonnes of liquid bulk and up to 10 million tons of dry cargoes. In 2010, the Baku International Sea Trade Port began to be reconstructed. The construction was planned to take place in three stages and to be completed by 2016. The estimated costs were US$400 million. From April to November Baku Port is accessible to ships loading cargoes for direct voyages from Western European and Mediterranean ports. The State Road M-1 and the European route E60 are the two main motorway connections between Europe and Azerbaijan. The motorway network around Baku is well developed and is constantly being extended.
The Heydar Aliyev International Airport is the only commercial airport serving Baku. The new Baku Cargo Terminal was officially opened in March 2005. It was constructed to be a major cargo hub in the CIS countries and is actually now one of the biggest and most technically advanced in the region. There are also several smaller military airbases near Baku, such as Baku Kala Air Base, intended for private aircraft, helicopters and charters.
Education
Baku State University, the first established university in Azerbaijan was opened in 1919 by the government of the Azerbaijan Democratic Republic. In the early years of the Soviet era, Baku already had Azerbaijan State Oil Academy, Azerbaijan Medical University and Azerbaijan State Economic University. In the post-WWII period, a few more universities were established such as Azerbaijan Technical University, Azerbaijan University of Languages and the Azerbaijan Architecture and Construction University. After 1991 when Azerbaijan gained independence from the Soviet Union, the fall of communism led to the development of a number of private institutions, including Qafqaz University and Khazar University which are considered the most prestigious academic institutions. Apart from the private universities, the government established the Academy of Public Administration, the Azerbaijan Diplomatic Academy and various military academies. The largest universities according to the student population are Baku State University and Azerbaijan State Economic University. In addition, there are the Baku Music Academy and the Azerbaijan National Conservatoire in Baku established in the early 1920s. Publicly run kindergartens and elementary schools (years 1 through 11) are operated by local wards or municipal offices.
The Azerbaijan National Academy of Sciences, the main state research organisation in Azerbaijan is locating in Baku as well. Moreover, Baku has numerous libraries, many of which contain vast collections of historic documents from the Roman, Byzantine, Ottoman and Soviet periods, as well as from other civilisations of the past. The most important libraries in terms of historic document collections include the Nizami Museum of Azerbaijan Literature, the National Library of Azerbaijan, the Mirza Alakbar Central Library, the Samad Vurgun Library and Baku Presidential Library.
Secondary schools
Elite Gymnasium
Health care
According to the Ministry of Healthcare, healthcare facilities in Baku are "highly developed compared with the regions and doctors are waiting to work there. The regions, meanwhile, lack both doctors and clinics providing specialized medical treatment." Resulting in citizens travelling for many hours to Baku to receive adequate medical treatment.
Notable residents
International relations
Twin towns and sister cities
Baku is twinned with:[in chronological order]
Partner cities
Mainz, Germany
Paris, France
Vienna, Austria
Tbilisi, Georgia
Astana, Kazakhstan
Minsk, Belarus
Moscow, Russia
Volgograd, Russia
Kizlyar, Russia
Tashkent, Uzbekistan
Chengdu, China
See also
Baku Gradonachalstvo
1920 Baku Congress
Alexander III visit to Baku
Administrative divisions of Azerbaijan
List of cities in Azerbaijan
Mingachevir
Nakhchivan
Sumgait
Notes
References
External links
Baku's profile at the Organization of World Heritage Cities website
UNESCO World Heritage Site listing Walled City of Baku
Capitals in Asia
Cities and towns in Azerbaijan
Populated coastal places in Azerbaijan
Districts of Azerbaijan
Port cities in Azerbaijan
Port cities and towns of the Caspian Sea
World Heritage Sites in Azerbaijan
Weather extremes of Earth
Populated places along the Silk Road | 11 |
Edward Teach (alternatively spelled Edward Thatch, – 22 November 1718), better known as Blackbeard, was an English pirate who operated around the West Indies and the eastern coast of Britain's North American colonies. Little is known about his early life, but he may have been a sailor on privateer ships during Queen Anne's War before he settled on the Bahamian island of New Providence, a base for Captain Benjamin Hornigold, whose crew Teach joined around 1716. Hornigold placed him in command of a sloop that he had captured, and the two engaged in numerous acts of piracy. Their numbers were boosted by the addition to their fleet of two more ships, one of which was commanded by Stede Bonnet, but Hornigold retired from piracy toward the end of 1717, taking two vessels with him.
Teach captured a French slave ship known as , renamed her Queen Anne's Revenge, equipped her with 40 guns, and crewed her with over 300 men. He became a renowned pirate. His nickname derived from his thick black beard and fearsome appearance. He was reported to have tied lit fuses (slow matches) under his hat to frighten his enemies. He formed an alliance of pirates and blockaded the port of Charles Town, South Carolina, ransoming the port's inhabitants. He then ran Queen Anne's Revenge aground on a sandbar near Beaufort, North Carolina. He parted company with Stede Bonnet and settled in Bath, North Carolina, also known as Bath Town, where he accepted a royal pardon. However, he was soon back at sea, where he attracted the attention of Alexander Spotswood, the governor of Virginia. Spotswood arranged for a party of soldiers and sailors to capture him. On 22 November 1718, following a ferocious battle, Teach and several of his crew were killed by a small force of sailors led by Lieutenant Robert Maynard.
Teach was a shrewd and calculating leader who spurned the use of violence, relying instead on his fearsome image to elicit the response that he desired from those whom he robbed. He was romanticized after his death and became the inspiration for an archetypal pirate in works of fiction across many genres.
Early life
Little is known about Blackbeard's early life. It is commonly believed that at the time of his death he was between 35 and 40 years old and thus born in about 1680. In contemporary records his name is most often given as Blackbeard, Edward Thatch or Edward Teach. The latter is most often used. Several spellings of his surname exist: Thatch, Thach, Thache, Thack, Tack, Thatche, and Theach. One source claims that his surname was Drummond, but the lack of any supporting documentation makes this unlikely. Pirates habitually used fictitious surnames while engaged in piracy so as not to tarnish the family name, which makes it unlikely that Teach's real name will ever be known.
The 17th-century rise of Britain's American colonies and the rapid 18th-century expansion of the Atlantic slave trade had made Bristol an important international sea port, and Teach was most likely raised in what was then the second-largest city in England. He could almost certainly read and write. He communicated with merchants and when killed had in his possession a letter addressed to him by the Chief Justice and Secretary of the Province of Carolina, Tobias Knight. Author Robert Lee speculated that Teach may therefore have been born into a respectable, wealthy family. He may have arrived in the Caribbean in the last years of the 17th century, on a merchant vessel (possibly a slave ship). The 18th-century author Charles Johnson claimed that Teach was for some time a sailor operating from Jamaica on privateer ships during the War of the Spanish Succession, and that "he had often distinguished himself for his uncommon boldness and personal courage." It is unknown at what point during the war Teach joined the fighting, as with the record of most of his life before he became a pirate.
Life as a pirate
New Providence
With its history of colonialism, trade and piracy, the West Indies was the setting for many 17th- and 18th-century maritime incidents. The privateer-turned-pirate Henry Jennings and his followers decided, early in the 18th century, to use the uninhabited island of New Providence as a base for their operations since it was within easy reach of the Florida Strait and its busy shipping lanes, which were filled with European vessels crossing the Atlantic. New Providence's harbour could easily accommodate hundreds of ships but was too shallow for the Royal Navy's larger vessels. The author George Woodbury described New Providence as "no city of homes. It was a place of temporary sojourn and refreshment for a literally floating population," continuing, "The only permanent residents were the piratical camp followers, the traders, and the hangers-on. All others were transient." In New Providence, pirates found a welcome respite from the law.
Teach was one of those who came to enjoy the island's benefits. Probably shortly after the signing of the Treaty of Utrecht, he moved there from Jamaica, and, along with most privateers once involved in the war, became involved in piracy. Possibly about 1716, he joined the crew of Captain Benjamin Hornigold, a renowned pirate who operated from New Providence's safe waters. In 1716, Hornigold placed Teach in charge of a sloop he had taken as a prize. In early 1717, Hornigold and Teach, each captaining a sloop, set out for the mainland. They captured a boat carrying 120 barrels of flour out of Havana, and shortly thereafter took 100 barrels of wine from a sloop out of Bermuda. A few days later they stopped a vessel sailing from Madeira to Charles Town, South Carolina. Teach and his quartermaster, William Howard, may at this time have struggled to control their crews. By then they had probably developed a taste for Madeira wine, and on 29 September near Cape Charles all they took from the Betty of Virginia was her cargo of Madeira, before they scuttled her with the remaining cargo.
It was during this cruise with Hornigold that the earliest known report of Teach was made, in which he is recorded as a pirate in his own right, in command of a large crew. In a report made by a Captain Mathew Munthe on an anti-piracy patrol for North Carolina, "Thatch" was described as operating "a sloop 6 and about 70 men." In September, Teach and Hornigold encountered Stede Bonnet, a landowner and military officer from a wealthy family who had turned to piracy earlier that year. Bonnet's crew of about 70 were reportedly dissatisfied with his command, so with Bonnet's permission, Teach took control of his ship, Revenge. The pirates' flotilla now consisted of three ships: Teach on Revenge, Teach's old sloop, and Hornigold's Ranger. By October, another vessel had been captured and added to the small fleet. The sloops Robert of Philadelphia and Good Intent of Dublin were stopped on 22 October 1717 and their cargo holds emptied.
As a former British privateer, Hornigold attacked only his old enemies, but for his crew, the sight of British vessels filled with valuable cargo passing by unharmed became too much, and at some point toward the end of 1717 he was demoted. Whether Teach had any involvement in this decision is unknown, but Hornigold quickly retired from piracy. He took Ranger and one of the sloops, leaving Teach with Revenge and the remaining sloop. The two never met again and, as did many other occupants of New Providence, Hornigold accepted the King's pardon.
Blackbeard
On 28 November 1717 Teach's two ships attacked a French merchant vessel off the coast of Saint Vincent. They each fired a broadside across its bulwarks, killing several of its crew, and forcing its captain to surrender. The ship was , a large French Guineaman registered in Saint-Malo and carrying a cargo of slaves. This ship had originally been the English merchantman Concord, captured in 1711 by a French squadron, and then changed hands several times by 1717. Teach and his crews sailed the vessel south along Saint Vincent and the Grenadines to Bequia, where they disembarked her crew and cargo, and converted the ship for their own use. The crew of were given the smaller of Teach's two sloops, which they renamed ("Bad Meeting"), and sailed for Martinique. Teach may have recruited some of their slaves, but the remainder were left on the island and were later recaptured by the returning crew of .
Teach immediately renamed as Queen Anne's Revenge and equipped her with 40 guns. By this time Teach had placed his lieutenant Richards in command of Bonnet's Revenge. In late November, near Saint Vincent, he attacked the Great Allen. After a lengthy engagement, he forced the large and well-armed merchant ship to surrender. He ordered her to move closer to the shore, disembarked her crew and emptied her cargo holds, and then burned and sank the vessel. The incident was chronicled in the Boston News-Letter, which called Teach the commander of a "French ship of 32 Guns, a Briganteen of 10 guns and a Sloop of 12 guns." It is not known when or where Teach collected the ten-gun briganteen, but by that time he may have been in command of at least 150 men split among three vessels.
On 5 December 1717 Teach stopped the merchant sloop Margaret off the coast of Crab Island, near Anguilla. Her captain, Henry Bostock, and crew, remained Teach's prisoners for about eight hours, and were forced to watch as their sloop was ransacked. Bostock, who had been held aboard Queen Anne's Revenge, was returned unharmed to Margaret and was allowed to leave with his crew. He returned to his base of operations on Saint Christopher Island and reported the matter to Governor Walter Hamilton, who requested that he sign an affidavit about the encounter. Bostock's deposition details Teach's command of two vessels: a sloop and a large French guineaman, Dutch-built, with 36 cannons and a crew of 300 men. The captain believed that the larger ship carried valuable gold dust, silver plate, and "a very fine cup" supposedly taken from the commander of Great Allen. Teach's crew had apparently informed Bostock that they had destroyed several other vessels, and that they intended to sail to Hispaniola and lie in wait for an expected Spanish armada, supposedly laden with money to pay the garrisons. Bostock also claimed that Teach had questioned him about the movements of local ships, but also that he had seemed unsurprised when Bostock told him of an expected royal pardon from London for all pirates.
Bostock's deposition describes Teach as a "tall spare man with a very black beard which he wore very long". It is the first recorded account of Teach's appearance and is the source of his cognomen, Blackbeard. Later descriptions mention that his thick black beard was braided into pigtails, sometimes tied in with small coloured ribbons. Johnson (1724) described him as "such a figure that imagination cannot form an idea of a fury from hell to look more frightful." Whether Johnson's description was entirely truthful or embellished is unclear, but it seems likely that Teach understood the value of appearances; better to strike fear into the heart of one's enemies than rely on bluster alone. Teach was tall, with broad shoulders. He wore knee-length boots and dark clothing, topped with a wide hat and sometimes a long coat of brightly coloured silk or velvet. Johnson also described Teach in times of battle as wearing "a sling over his shoulders, with three brace of pistols, hanging in holsters like bandoliers; and stuck lighted slow matches under his hat", the latter apparently to emphasise the fearsome appearance he wished to present to his enemies. Despite his ferocious reputation, there are no verified accounts of his ever having murdered or harmed those he held captive. Teach may have used other aliases; on 30 November, the Monserrat Merchant encountered two ships and a sloop, commanded by a Captain Kentish and Captain Edwards (the latter a known alias of Stede Bonnet).
Enlargement of Teach's fleet
Teach's movements between late 1717 and early 1718 are not known. He and Bonnet were probably responsible for an attack off Sint Eustatius in December 1717. Henry Bostock claimed to have heard the pirates say they would head toward the Spanish-controlled Samaná Bay in Hispaniola, but a cursory search revealed no pirate activity. Captain Hume of reported on 6 February that a "Pyrate Ship of 36 Guns and 250 men, and a Sloop of 10 Guns and 100 men were Said to be Cruizing amongst the Leeward Islands". Hume reinforced his crew with soldiers armed with muskets, and joined up with to track the two ships, to no avail, though they discovered that the two ships had sunk a French vessel off St Christopher Island, and reported also that they had last been seen "gone down the North side of Hispaniola". Although no confirmation exists that these two ships were controlled by Teach and Bonnet, author Angus Konstam believes it very likely they were.
In March 1718, while taking on water at Turneffe Island east of Belize, both ships spotted the Jamaican logwood-cutting sloop Adventure making for the harbour. She was stopped and her captain, Harriot, invited to join the pirates. Harriot and his crew accepted the invitation, and Teach sent over a crew to sail Adventure making Israel Hands the captain. They sailed for the Bay of Honduras, where they added another ship and four sloops to their flotilla. On 9 April Teach's enlarged fleet of ships looted and burnt Protestant Caesar. His fleet then sailed to Grand Cayman where they captured a "small turtler". Teach probably sailed toward Havana, where he may have captured a small Spanish vessel that had left the Cuban port. They then sailed to the wrecks of the 1715 Spanish fleet, off the eastern coast of Florida. There Teach disembarked the crew of the captured Spanish sloop, before proceeding north to the port of Charles Town, South Carolina, attacking three vessels along the way.
Blockade of Charles Town
By May 1718, Teach had awarded himself the rank of Commodore and was at the height of his power. Late that month his flotilla blockaded the port of Charles Town in the Province of South Carolina. All vessels entering or leaving the port were stopped, and as the town had no guard ship, its pilot boat was the first to be captured. Over the next five or six days about nine vessels were stopped and ransacked as they attempted to sail past Charles Town Bar, where Teach's fleet was anchored. One such ship, headed for London with a group of prominent Charles Town citizens which included Samuel Wragg (a member of the Council of the Province of Carolina), was the Crowley. Her passengers were questioned about the vessels still in port and then locked below decks for about half a day. Teach informed the prisoners that his fleet required medical supplies from the colonial government of South Carolina, and that if none were forthcoming, all prisoners would be executed, their heads sent to the Governor and all captured ships burnt.
Wragg agreed to Teach's demands, and a Mr. Marks and two pirates were given two days to collect the drugs. Teach moved his fleet, and the captured ships, to within about five or six leagues from land. Three days later a messenger, sent by Marks, returned to the fleet; Marks's boat had capsized and delayed their arrival in Charles Town. Teach granted a reprieve of two days, but still the party did not return. He then called a meeting of his fellow sailors and moved eight ships into the harbour, causing panic within the town. When Marks finally returned to the fleet, he explained what had happened. On his arrival he had presented the pirates' demands to the Governor and the drugs had been quickly gathered, but the two pirates sent to escort him had proved difficult to find; they had been busy drinking with friends and were finally discovered, drunk.
Teach kept to his side of the bargain and released the captured ships and his prisoners—albeit relieved of their valuables, including the fine clothing some had worn.
Beaufort Inlet
Whilst at Charles Town, Teach learned that Woodes Rogers had left England with several men-of-war, with orders to purge the West Indies of pirates. Teach's flotilla sailed northward along the Atlantic coast and into Topsail Inlet (commonly known as Beaufort Inlet), off the coast of North Carolina. There they intended to careen their ships to scrape their hulls, but on 10 June 1718 the Queen Anne's Revenge ran aground on a sandbar, cracking her main-mast and severely damaging many of her timbers. Teach ordered several sloops to throw ropes across the flagship in an attempt to free her. A sloop commanded by Israel Hands of Adventure also ran aground, and both vessels appeared to be damaged beyond repair, leaving only Revenge and the captured Spanish sloop.
Pardon
Teach had at some stage learnt of the offer of a royal pardon and probably confided in Bonnet his willingness to accept it. The pardon was open to all pirates who surrendered on or before 5 September 1718, but contained a caveat stipulating that immunity was offered only against crimes committed before 5 January. Although in theory this left Bonnet and Teach at risk of being hanged for their actions at Charles Town Bar, most authorities could waive such conditions. Teach thought that Governor Charles Eden was a man he could trust, but to make sure, he waited to see what would happen to another captain. Bonnet left immediately on a small sailing boat for Bath Town, where he surrendered to Governor Eden, and received his pardon. He then travelled back to Beaufort Inlet to collect the Revenge and the remainder of his crew, intending to sail to Saint Thomas Island to receive a commission. Unfortunately for him, Teach had stripped the vessel of its valuables and provisions, and had marooned its crew; Bonnet set out for revenge, but was unable to find him. He and his crew returned to piracy and were captured on 27 September 1718 at the mouth of the Cape Fear River. All but four were tried and hanged in Charles Town.
The author Robert Lee surmised that Teach and Hands intentionally ran the ships aground to reduce the fleet's crew complement, increasing their share of the spoils. During the trial of Bonnet's crew, Revenges boatswain Ignatius Pell testified that "the ship was run ashore and lost, which Thatch [Teach] caused to be done." Lee considers it plausible that Teach let Bonnet in on his plan to accept a pardon from Governor Eden. He suggested that Bonnet do the same, and as war between the Quadruple Alliance of 1718 and Spain was threatening, to consider taking a privateer's commission from England. Lee suggests that Teach also offered Bonnet the return of his ship Revenge. Konstam (2007) proposes a similar idea, explaining that Teach began to see Queen Anne's Revenge as something of a liability; while a pirate fleet was anchored, news of this was sent to neighbouring towns and colonies, and any vessels nearby would delay sailing. It was prudent therefore for Teach not to linger for too long, although wrecking the ship was a somewhat extreme measure.
Before sailing northward on his remaining sloop to Ocracoke Inlet, Teach marooned about 25 men on a small sandy island about a league from the mainland. He may have done this to stifle any protest they made, if they guessed their captain's plans. Bonnet rescued them two days later. Teach continued on to Bath, where in June 1718—only days after Bonnet had departed with his pardon—he and his much-reduced crew received their pardon from Governor Eden.
He settled in Bath, on the eastern side of Bath Creek at Plum Point, near Eden's home. During July and August he travelled between his base in the town and his sloop off Ocracoke. Johnson's account states that he married the daughter of a local plantation owner, although there is no supporting evidence for this. Eden gave Teach permission to sail to St Thomas to seek a commission as a privateer (a useful way of removing bored and troublesome pirates from the small settlement), and Teach was given official title to his remaining sloop, which he renamed Adventure. By the end of August he had returned to piracy, and in the same month the governor of Pennsylvania issued a warrant for his arrest, but by then Teach was probably operating in Delaware Bay, some distance away. He took two French ships leaving the Caribbean, moved one crew across to the other, and sailed the remaining ship back to Ocracoke. In September he told Eden that he had found the French ship at sea, deserted. A Vice Admiralty Court was quickly convened, presided over by Tobias Knight and the Collector of Customs. The ship was judged as a derelict found at sea, and of its cargo twenty hogsheads of sugar were awarded to Knight and sixty to Eden; Teach and his crew were given what remained in the vessel's hold.
Ocracoke Inlet was Teach's favourite anchorage. It was a perfect vantage point from which to view ships travelling between the various settlements of northeast Carolina, and it was from there that Teach first spotted the approaching ship of Charles Vane, another English pirate. Several months earlier Vane had rejected the pardon brought by Woodes Rogers and escaped the men-of-war the English captain brought with him to Nassau. He had also been pursued by Teach's old commander, Benjamin Hornigold, who was by then a pirate hunter. Teach and Vane spent several nights on the southern tip of Ocracoke Island, accompanied by such notorious figures as Israel Hands, Robert Deal and Calico Jack.
Alexander Spotswood
As it spread throughout the neighbouring colonies, the news of Teach and Vane's impromptu party worried the governor of Pennsylvania enough to send out two sloops to capture the pirates. They were unsuccessful, but Governor of Virginia Alexander Spotswood was also concerned that the supposedly retired freebooter and his crew were living in nearby North Carolina. Some of Teach's former crew had already moved into several Virginian seaport towns, prompting Spotswood to issue a proclamation on 10 July, requiring all former pirates to make themselves known to the authorities, to give up their arms and to not travel in groups larger than three. As head of a Crown colony, Spotswood viewed the proprietary colony of North Carolina with contempt; he had little faith in the ability of the Carolinians to control the pirates, who he suspected would be back to their old ways, disrupting Virginian commerce, as soon as their money ran out.
Spotswood learned that William Howard, the former quartermaster of Queen Anne's Revenge, was in the area, and believing that he might know of Teach's whereabouts had him and his two slaves arrested. Spotswood had no legal authority to have pirates tried, and as a result, Howard's attorney, John Holloway, brought charges against Captain Brand of , where Howard was imprisoned. He also sued on Howard's behalf for damages of £500, claiming wrongful arrest.
Spotswood's council claimed that under a statute of William III the governor was entitled to try pirates without a jury in times of crisis and that Teach's presence was a crisis. The charges against Howard referred to several acts of piracy supposedly committed after the pardon's cut-off date, in "a sloop belonging to ye subjects of the King of Spain", but ignored the fact that they took place outside Spotswood's jurisdiction and in a vessel then legally owned. Another charge cited two attacks, one of which was the capture of a slave ship off Charles Town Bar, from which one of Howard's slaves was presumed to have come. Howard was sent to await trial before a Court of Vice-Admiralty, on the charge of piracy, but Brand and his colleague, Captain Gordon (of ) refused to serve with Holloway present. Incensed, Holloway had no option but to stand down, and was replaced by the Attorney General of Virginia, John Clayton, whom Spotswood described as "an honester man [than Holloway]". Howard was found guilty and sentenced to be hanged, but was saved by a commission from London, which directed Spotswood to pardon all acts of piracy committed by surrendering pirates before 18 August 1718.
Spotswood had obtained from Howard valuable information on Teach's whereabouts, and he planned to send his forces across the border into North Carolina to capture him. He gained the support of two men keen to discredit North Carolina's governor—Edward Moseley and Colonel Maurice Moore. He also wrote to the Lords of Trade, suggesting that the Crown might benefit financially from Teach's capture. Spotswood personally financed the operation, possibly believing that Teach had fabulous treasures hidden away. He ordered Captains Gordon and Brand of HMS Pearl and HMS Lyme to travel overland to Bath. Lieutenant Robert Maynard of HMS Pearl was given command of two commandeered sloops, to approach the town from the sea. An extra incentive for Teach's capture was the offer of a reward from the Assembly of Virginia, over and above any that might be received from the Crown.
Maynard took command of the two armed sloops on 17 November. He was given 57 men—33 from HMS Pearl and 24 from HMS Lyme. Maynard and the detachment from HMS Pearl took the larger of the two vessels and named her Jane; the rest took Ranger, commanded by one of Maynard's officers, a Mister Hyde. Some from the two ships' civilian crews remained aboard. They sailed from Kecoughtan, along the James River, on 17 November. The two sloops moved slowly, giving Brand's force time to reach Bath. Brand set out for North Carolina six days later, arriving within three miles of Bath on 23 November. Included in Brand's force were several North Carolinians, including Colonel Moore and Captain Jeremiah Vail, sent to counter any local objection to the presence of foreign soldiers. Moore went into the town to see if Teach was there, reporting back that he was not, but that he was expected at "every minute." Brand then went to Governor Eden's home and informed him of his purpose. The next day, Brand sent two canoes down Pamlico River to Ocracoke Inlet, to see if Teach could be seen. They returned two days later and reported on what eventually transpired.
Last battle
Maynard found the pirates anchored on the inner side of Ocracoke Island, on the evening of 21 November. He had ascertained their position from ships he had stopped along his journey, but being unfamiliar with the local channels and shoals he decided to wait until the following morning to make his attack. He stopped all traffic from entering the inlet—preventing any warning of his presence—and posted a lookout on both sloops to ensure that Teach could not escape to sea. On the other side of the island, Teach was busy entertaining guests and had not set a lookout. With Israel Hands ashore in Bath with about 24 of Adventures sailors, he also had a much-reduced crew. Johnson (1724) reported Teach had "no more than twenty-five men on board" and that he "gave out to all the vessels that he spoke with that he had forty". "Thirteen white and six Negroes", was the number later reported by Brand to the Admiralty.
At daybreak, preceded by a small boat taking soundings, Maynard's two sloops entered the channel. The small craft was quickly spotted by Adventure and fired at as soon as it was within range of her guns. While the boat made a quick retreat to the Jane, Teach cut the Adventures anchor cable. His crew hoisted the sails and the Adventure manoeuvred to point her starboard guns toward Maynard's sloops, which were slowly closing the gap. Hyde moved Ranger to the port side of Jane and the Union flag was unfurled on each ship. Adventure then turned toward the beach of Ocracoke Island, heading for a narrow channel. What happened next is uncertain. Johnson claimed that there was an exchange of small arms fire following which Adventure ran aground on a sandbar, and Maynard anchored and then lightened his ship to pass over the obstacle. Another version claimed that Jane and Ranger ran aground, although Maynard made no mention of this in his log.
The Adventure eventually turned her guns on the two ships and fired. The broadside was devastating; in an instant, Maynard had lost as much as a third of his forces. About 20 on Jane were either wounded or killed and 9 on Ranger. Hyde was dead and his second and third officers either dead or seriously injured. His sloop was so badly damaged that it played no further role in the attack. Contemporary accounts of what happened next are confused, but small-arms fire from Jane may have cut Adventures jib sheet, causing her to lose control and run onto the sandbar. In the aftermath of Teach's overwhelming attack, Jane and Ranger may also have been grounded; the battle would have become a race to see who could float their ship first.
Maynard had kept many of his men below deck, and in anticipation of being boarded told them to prepare for close fighting. Teach watched as the gap between the vessels closed, and ordered his men to be ready. The two vessels contacted one another as the Adventures grappling hooks hit their target and several grenades, made from powder and shot-filled bottles and ignited by fuses, broke across the sloop's deck. As the smoke cleared, Teach led his men aboard, buoyant at the sight of Maynard's apparently empty ship, his men firing at the small group of men with Maynard at the stern.
The rest of Maynard's men then burst from the hold, shouting and firing. The plan to surprise Teach and his crew worked; the pirates were apparently taken aback at the assault. Teach rallied his men and the two groups fought across the deck, which was already slick with blood from those killed or injured by Teach's broadside. Maynard and Teach fired their flintlocks at each other. Maynard managed to hit Teach, while Teach missed. Both then threw their flintlocks away and drew their cutlasses. Teach broke Maynard's cutlass at the hilt. Against superior training and a slight advantage in numbers, the pirates were pushed back toward the bow, allowing the Janes crew to surround Maynard and Teach, who was by then completely isolated. Teach pressed onward and was about to deliver a killing blow, but was slashed across the neck by one of Maynard's men. This redirected Teach's cutlass to strike Maynard's knuckles instead of killing him. Badly wounded, Teach was then attacked and killed by several more of Maynard's crew. The remaining pirates quickly surrendered. Those left on the Adventure were captured by the Rangers crew, including one who planned to set fire to the powder room and blow up the ship. Varying accounts exist of the battle's list of casualties; Maynard reported that 8 of his men and 12 pirates were killed. Brand reported that 10 pirates and 11 of Maynard's men were killed. Spotswood claimed ten pirates and ten of the King's men dead.
Maynard later examined Teach's body, noting that it had been shot five times and cut about twenty. He also found several items of correspondence, including a letter from Tobias Knight. Teach's corpse was thrown into the inlet and his head was suspended from the bowsprit of Maynard's sloop so that the reward could be collected. On their return to Virginia, Teach's head was placed on a pole at the entrance to the Chesapeake Bay as a warning to other pirates and a greeting to other ships, and it stood there for several years.
Legacy
Lieutenant Maynard remained at Ocracoke for several more days, making repairs and burying the dead. Teach's loot—sugar, cocoa, indigo and cotton—found "in pirate sloops and ashore in a tent where the sloops lay", was sold at auction along with sugar and cotton found in Tobias Knight's barn, for £2,238. Governor Spotswood used a portion of this to pay for the entire operation. The prize money for capturing Teach was to have been about £400 (£ in ), but it was split between the crews of HMS Lyme and HMS Pearl. As Captain Brand and his troops had not been the ones fighting for their lives, Maynard thought this extremely unfair. He lost much of any support he may have had though when it was discovered that he and his crew had helped themselves to about £90 of Teach's booty. The two companies did not receive their prize money for another four years, and despite his bravery Maynard was not promoted, and faded into obscurity.
The remainder of Teach's crew and former associates were found by Brand, in Bath, and were transported to Williamsburg, Virginia, where they were jailed on charges of piracy. Several were black, prompting Spotswood to ask his council what could be done about "the Circumstances of these Negroes to exempt them from undergoing the same Tryal as other pirates." Regardless, the men were tried with their comrades in Williamsburg's Capitol building, under admiralty law, on 12 March 1719. No records of the day's proceedings remain, but 14 of the 16 accused were found guilty. Of the remaining two, one proved that he had partaken of the fight out of necessity, having been on Teach's ship only as a guest at a drinking party the night before, and not as a pirate. The other, Israel Hands, was not present at the fight. He claimed that during a drinking session Teach had shot him in the knee, and that he was still covered by the royal pardon. The remaining pirates were hanged, then left to rot in gibbets along Williamsburg's Capitol Landing Road (known for some time after as "Gallows Road").
Governor Eden was certainly embarrassed by Spotswood's invasion of North Carolina, and Spotswood disavowed himself of any part of the seizure. He defended his actions, writing to Lord Carteret, a shareholder of the Province of Carolina, that he might benefit from the sale of the seized property and reminding the Earl of the number of Virginians who had died to protect his interests. He argued for the secrecy of the operation by suggesting that Eden "could contribute nothing to the Success of the Design", and told Eden that his authority to capture the pirates came from the king. Eden was heavily criticised for his involvement with Teach and was accused of being his accomplice. By criticising Eden, Spotswood intended to bolster the legitimacy of his invasion. Lee (1974) concludes that although Spotswood may have thought that the ends justified the means, he had no legal authority to invade North Carolina, to capture the pirates and to seize and auction their goods. Eden doubtless shared the same view. As Spotswood had also accused Tobias Knight of being in league with Teach, on 4 April 1719, Eden had Knight brought in for questioning. Israel Hands had, weeks earlier, testified that Knight had been on board the Adventure in August 1718, shortly after Teach had brought a French ship to North Carolina as a prize. Four pirates had testified that with Teach they had visited Knight's home to give him presents. This testimony and the letter found on Teach's body by Maynard appeared compelling, but Knight conducted his defence with competence. Despite being very sick and close to death, he questioned the reliability of Spotswood's witnesses. He claimed that Israel Hands had talked under duress, and that under North Carolinian law the other witness, an African, was unable to testify. The sugar, he argued, was stored at his house legally, and Teach had visited him only on business, in his official capacity. The board found Knight innocent of all charges. He died later that year.
Eden was annoyed that the accusations against Knight arose during a trial in which he played no part. The goods which Brand seized were officially North Carolinian property and Eden considered him a thief. The argument raged back and forth between the colonies until Eden's death on 17 March 1722. His will named one of Spotswood's opponents, John Holloway, a beneficiary. In the same year, Spotswood, who for years had fought his enemies in the House of Burgesses and the Council, was replaced by Hugh Drysdale, once Robert Walpole was convinced to act.
Modern view
Official views on pirates were sometimes quite different from those held by contemporary authors, who often described their subjects as despicable rogues of the sea. Privateers who became pirates were generally considered by the English government to be reserve naval forces, and were sometimes given active encouragement; as far back as 1581 Francis Drake was knighted by Queen Elizabeth, when he returned to England from a round-the-world expedition with plunder worth an estimated £1,500,000. Royal pardons were regularly issued, usually when England was on the verge of war, and the public's opinion of pirates was often favourable, some considering them akin to patrons. Economist Peter Leeson believes that pirates were generally shrewd businessmen, far removed from the modern, romanticised view of them as barbarians. After Woodes Rogers' 1718 landing at New Providence and his ending of the pirate republic, piracy in the West Indies fell into terminal decline. With no easily accessible outlet to fence their stolen goods, pirates were reduced to a subsistence livelihood, and following almost a century of naval warfare between the British, French and Spanish—during which sailors could find easy employment—lone privateers found themselves outnumbered by the powerful ships employed by the British Empire to defend its merchant fleets. The popularity of the slave trade helped bring to an end the frontier condition of the West Indies, and in these circumstances, piracy was no longer able to flourish as it once did.
Since the end of the Golden Age of Piracy, Teach and his exploits have become the stuff of lore, inspiring books, films and even amusement park rides. Much of what is known about him can be sourced to Charles Johnson's A General Historie of the Robberies and Murders of the Most Notorious Pyrates, published in Britain in 1724. A recognised authority on the pirates of his time, Johnson's descriptions of such figures as Anne Bonny and Mary Read were for years required reading for those interested in the subject. Readers were titillated by his stories and a second edition was quickly published, though author Angus Konstam suspects that Johnson's entry on Blackbeard was "coloured a little to make a more sensational story." A General Historie, though, is generally considered to be a reliable source. Johnson may have been an assumed alias. As Johnson's accounts have been corroborated in personal and official dispatches, Lee (1974) considers that whoever he was, he had some access to official correspondence. Konstam speculates further, suggesting that Johnson may have been the English playwright Charles Johnson, the British publisher Charles Rivington, or the writer Daniel Defoe. In his 1951 work The Great Days of Piracy, author George Woodbury wrote that Johnson is "obviously a pseudonym", continuing "one cannot help suspecting that he may have been a pirate himself."
Despite his infamy, Teach was not the most successful of pirates. Henry Every retired a rich man, and Bartholomew Roberts took an estimated five times the amount Teach stole. Treasure hunters have long busied themselves searching for any trace of his rumoured hoard of gold and silver, but nothing found in the numerous sites explored along the east coast of the US has ever been connected to him. Some tales suggest that pirates often killed a prisoner on the spot where they buried their loot, and Teach is no exception in these stories, but that no finds have come to light is not exceptional; buried pirate treasure is often considered a modern myth for which almost no supporting evidence exists. The available records include nothing to suggest that the burial of treasure was a common practice, except in the imaginations of the writers of fictional accounts such as Treasure Island. Such hoards would necessitate a wealthy owner, and their supposed existence ignores the command structure of a pirate vessel, in which the crew served for a share of the profit. The only pirate ever known to bury treasure was William Kidd; the only treasure so far recovered from Teach's exploits is that taken from the wreckage of what is presumed to be the Queen Anne's Revenge, which was found in 1996. As of 2009 more than 250,000 artefacts had been recovered. A selection is on public display at the North Carolina Maritime Museum.
Various superstitious tales exist of Teach's ghost. Unexplained lights at sea are often referred to as "Teach's light", and some recitals claim that the notorious pirate now roams the afterlife searching for his head, for fear that his friends, and the Devil, will not recognise him. A North Carolinian tale holds that Teach's skull was used as the basis for a silver drinking chalice; a local judge even claimed to have drunk from it one night in the 1930s.
The name of Blackbeard has been attached to many local attractions, such as Charleston's Blackbeard's Cove. His name and persona have also featured heavily in literature. He is the main subject of Matilda Douglas's fictional 1835 work Blackbeard: A page from the colonial history of Philadelphia.
Film renditions of his life include Blackbeard the Pirate (1952) starring West Country native Robert Newton whose exaggerated West Country accent is credited with popularising the stereotypical "pirate voice", Blackbeard's Ghost (1968), Blackbeard: Terror at Sea (2005) and the 2006 Hallmark Channel miniseries Blackbeard. Parallels have also been drawn between Johnson's Blackbeard and the character of Captain Jack Sparrow in the 2003 adventure film Pirates of the Caribbean: The Curse of the Black Pearl. Blackbeard is also portrayed as a central character in three TV series: by John Malkovich in Crossbones (2014), by Ray Stevenson in seasons three and four of Black Sails (2016–2017), and by Taika Waititi in Our Flag Means Death (2022).
In 2013 and 2015, the state government of North Carolina uploaded Nautilus Productions videos of the wreck of the Queen Anne's Revenge to its website without permission. As a result Nautilus Productions, the company documenting the recovery since 1998, filed suit in federal court over copyright violations and the passage of "Blackbeard's Law" by the North Carolina General Assembly. Before posting the videos the General Assembly passed "Blackbeard's Law", N.C. Gen Stat §121-25(b), which stated, "All photographs, video recordings, or other documentary materials of a derelict vessel or shipwreck or its contents, relics, artifacts, or historic materials in the custody of any agency of North Carolina government or its subdivisions shall be a public record pursuant to Chapter 132 of the General Statutes." On 5 November 2019, the U.S. Supreme Court heard oral arguments in Allen v. Cooper. The Supreme Court subsequently ruled in the state's favor, and struck down the Copyright Remedy Clarification Act, which Congress passed in 1989 to attempt to curb such infringements of copyright by states.
As a result of the ruling Nautilus filed a motion for reconsideration in the United States District Court for the Eastern District of North Carolina. On August 18, 2021 Judge Terrence Boyle granted the motion for reconsideration which North Carolina promptly appealed to the United States Court of Appeals for the Fourth Circuit. The 4th Circuit denied the state's motion on October 14, 2022. Nautilus then filed their second amended complaint on February 8, 2023 alleging 5th and 14th Amendment violations of Nautilus' constitutional rights, additional copyright violations, and claiming that North Carolina's "Blackbeard's Law" represents a Bill of Attainder. Eight years after the passage of Blackbeard's Law, on June 30, 2023, North Carolina Gov. Roy Cooper signed a bill repealing the law.
References
Notes
Citations
Bibliography
2006 edition ()
1974 edition ()
Further reading
External links
N.C Supreme Court revives lawsuit over Blackbeard’s ship and lost Spanish treasure ship, Fayetteville Observer
BBC Video about the potential discovery of Teach's ship
Images of artefacts recovered from the shipwreck thought to be the Queen Anne's Revenge
Out to Sea Elite Magazine
Blackbeard's Ship Confirmed off North Carolina National Geographic News
Blackbeard's Shipwreck National Geographic
Blackbeard's Lost Ship Documentary produced by the PBS Series Secrets of the Dead
Blackbeard: American Patriot? Military.com
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Pardoned pirates
Recipients of British royal pardons
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British military personnel of the War of the Spanish Succession | 6 |
Bugzilla is a web-based general-purpose bug tracking system and testing tool originally developed and used by the Mozilla project, and licensed under the Mozilla Public License.
Released as open-source software by Netscape Communications in 1998, it has been adopted by a variety of organizations for use as a bug tracking system for both free and open-source software and proprietary projects and products. Bugzilla is used, among others, by the Mozilla Foundation, WebKit, Linux kernel, FreeBSD, KDE, Apache, Eclipse and LibreOffice. Red Hat uses it, but is gradually migrating its product to use Jira. It is also self-hosting.
History
Bugzilla was originally devised by Terry Weissman in 1998 for the nascent Mozilla.org project, as an open source application to replace the in-house system then in use at Netscape Communications for tracking defects in the Netscape Communicator suite. Bugzilla was originally written in Tcl, but Weissman decided to port it to Perl before its release as part of Netscape's early open-source code drops, in the hope that more people would be able to contribute to it, given that Perl seemed to be a more popular language at the time.
Bugzilla 2.0 was the result of that port to Perl, and the first version was released to the public via anonymous CVS. In April 2000, Weissman handed over control of the Bugzilla project to Tara Hernandez. Under her leadership, some of the regular contributors were coerced into taking more responsibility, and Bugzilla development became more community-driven. In July 2001, facing distraction from her other responsibilities in Netscape, Hernandez handed control to Dave Miller, who was still in charge .
Bugzilla 3.0 was released on May 10, 2007 and brought a refreshed UI, an XML-RPC interface, custom fields and resolutions, mod_perl support, shared saved searches, and improved UTF-8 support, along with other changes.
Bugzilla 4.0 was released on February 15, 2011 and Bugzilla 5.0 was released in July 2015.
Timeline
Bugzilla's release timeline:
Requirements
Bugzilla's system requirements include:
A compatible database management system
A suitable release of Perl 5
An assortment of Perl modules
A compatible web server
A suitable mail transfer agent, or any SMTP server
Currently supported database systems are MySQL, PostgreSQL, Oracle, and SQLite. Bugzilla is usually installed on Linux using the Apache HTTP Server, but any web server that supports CGI such as Lighttpd, Hiawatha, Cherokee can be used. Bugzilla's installation process is command line driven and runs through a series of stages where system requirements and software capabilities are checked.
Design
While the potential exists in the code to turn Bugzilla into a technical support ticket system, task management tool, or project management tool, Bugzilla's developers have chosen to focus on the task of designing a system to track software defects.
Zarro Boogs
Bugzilla returns the string "zarro boogs found" instead of "0 bugs found" when a search for bugs returns no results. "Zarro Boogs" is intended as a 'buggy' statement itself (a misspelling of "zero bugs") and is thus a meta-statement about the nature of software debugging, implying that even when no bugs have been identified, some may exist.
The following comment is provided in the Bugzilla source code to developers who may be confused by this behaviour:
Zarro Boogs Found
This is just a goofy way of saying that there were no bugs found matching your query. When asked to explain this message, Terry Weissman (an early Bugzilla developer) had the following to say:
I've been asked to explain this ... way back when, when Netscape released version 4.0 of its browser, we had a release party. Naturally, there had been a big push to try and fix every known bug before the release. Naturally, that hadn't actually happened. (This is not unique to Netscape or to 4.0; the same thing has happened with every software project I've ever seen.) Anyway, at the release party, T-shirts were handed out that said something like "Netscape 4.0: Zarro Boogs". Just like the software, the T-shirt had no known bugs. Uh-huh. So, when you query for a list of bugs, and it gets no results, you can think of this as a friendly reminder. Of *course* there are bugs matching your query, they just aren't in the bugsystem yet...
— Terry Weissman
From The Bugzilla Guide – 2.16.10 Release: Glossary
WONTFIX
WONTFIX is used as a label on issues in Bugzilla and other systems. It indicates that a verified issue will not be addressed for one of several possible reasons including fixing would be too expensive, complicated or risky.
See also
Comparison of issue-tracking systems
List of computing mascots
:Category:Computing mascots
References
External links
Articles which contain graphical timelines
Bug and issue tracking software
Cross-platform free software
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Mozilla
Software using the Mozilla license | 6 |
A ballad is a form of verse, often a narrative set to music. Ballads derive from the medieval French chanson balladée or ballade, which were originally "dance songs". Ballads were particularly characteristic of the popular poetry and song of Britain and Ireland from the Late Middle Ages until the 19th century. They were widely used across Europe, and later in Australia, North Africa, North America and South America.
While ballads have no prescribed structure and may vary in their number of lines and stanzas, many ballads employ quatrains with ABCB or ABAB rhyme schemes, the key being a rhymed second and fourth line. Contrary to a popular conception, it is rare if not unheard-of for a ballad to contain exactly 13 lines. Additionally, couplets rarely appear in ballads.
Many ballads were written and sold as single-sheet broadsides. The form was often used by poets and composers from the 18th century onwards to produce lyrical ballads. In the later 19th century, the term took on the meaning of a slow form of popular love song and is often used for any love song, particularly the sentimental ballad of pop or rock music, although the term is also associated with the concept of a stylized storytelling song or poem, particularly when used as a title for other media such as a film.
Origins
A ballad is a form of verse, often a narrative set to music. Ballads derive from the medieval French chanson balladée or ballade, which were originally "dancing songs" (L: ballare, to dance), yet becoming "stylized forms of solo song" before being adopted in England. As a narrative song, their theme and function may originate from Scandinavian and Germanic traditions of storytelling that can be seen in poems such as Beowulf. Musically they were influenced by the Minnelieder of the Minnesang tradition. The earliest example of a recognizable ballad in form in England is "Judas" in a 13th-century manuscript.
Ballad form
Ballads were originally written to accompany dances, and so were composed in couplets with refrains in alternate lines. These refrains would have been sung by the dancers in time with the dance. Most northern and west European ballads are written in ballad stanzas or quatrains (four-line stanzas) of alternating lines of iambic (an unstressed followed by a stressed syllable) tetrameter (eight syllables) and iambic trimeter (six syllables), known as ballad meter. Usually, only the second and fourth line of a quatrain are rhymed (in the scheme a, b, c, b), which has been taken to suggest that, originally, ballads consisted of couplets (two lines) of rhymed verse, each of 14 syllables. This can be seen in this stanza from "Lord Thomas and Fair Annet":
The horse | fair Ann | et rode | upon |
He amb | led like | the wind |,
With sil | ver he | was shod | before,
With burn | ing gold | behind |.
There is considerable variation on this pattern in almost every respect, including length, number of lines and rhyming scheme, making the strict definition of a ballad extremely difficult. In southern and eastern Europe, and in countries that derive their tradition from them, ballad structure differs significantly, like Spanish romanceros, which are octosyllabic and use consonance rather than rhyme.
Ballads usually are heavily influenced by the regions in which they originate and use the common dialect of the people. Scotland's ballads in particular, both in theme and language, are strongly characterised by their distinctive tradition, even exhibiting some pre-Christian influences in the inclusion of supernatural elements such as travel to the Fairy Kingdom in the Scots ballad "Tam Lin". The ballads do not have any known author or correct version; instead, having been passed down mainly by oral tradition since the Middle Ages, there are many variations of each. The ballads remained an oral tradition until the increased interest in folk songs in the 18th century led collectors such as Bishop Thomas Percy (1729–1811) to publish volumes of popular ballads.
In all traditions most ballads are narrative in nature, with a self-contained story, often concise, and rely on imagery, rather than description, which can be tragic, historical, romantic or comic. Themes concerning rural labourers and their sexuality are common, and there are many ballads based on the Robin Hood legend. Another common feature of ballads is repetition, sometimes of fourth lines in succeeding stanzas, as a refrain, sometimes of third and fourth lines of a stanza and sometimes of entire stanzas.
Composition
Scholars of ballads have been divided into "communalists", such as Johann Gottfried Herder (1744–1803) and the Brothers Grimm, who argue that ballads are originally communal compositions, and "individualists" such as Cecil Sharp, who assert that there was one single original author. Communalists tend to see more recent, particularly printed, broadside ballads of known authorship as a debased form of the genre, while individualists see variants as corruptions of an original text. More recently scholars have pointed to the interchange of oral and written forms of the ballad.
Transmission
The transmission of ballads comprises a key stage in their re-composition. In romantic terms this process is often dramatized as a narrative of degeneration away from the pure 'folk memory' or 'immemorial tradition'. In the introduction to Minstrelsy of the Scottish Border (1802) the romantic poet and historical novelist Walter Scott argued a need to 'remove obvious corruptions' in order to attempt to restore a supposed original. For Scott, the process of multiple recitations 'incurs the risk of impertinent interpolations from the conceit of one rehearser, unintelligible blunders from the stupidity of another, and omissions equally to be regretted, from the want of memory of a third.' Similarly, John Robert Moore noted 'a natural tendency to oblivescence'.
Classification
European Ballads have been generally classified into three major groups: traditional, broadside and literary. In America a distinction is drawn between ballads that are versions of European, particularly British and Irish songs, and 'Native American ballads', developed without reference to earlier songs. A further development was the evolution of the blues ballad, which mixed the genre with Afro-American music. For the late 20th century the music publishing industry found a market for what are often termed sentimental ballads, and these are the origin of the modern use of the term 'ballad' to mean a slow love song.
Traditional ballads
The traditional, classical or popular (meaning of the people) ballad has been seen as beginning with the wandering minstrels of late medieval Europe. From the end of the 15th century there are printed ballads that suggest a rich tradition of popular music. A reference in William Langland's Piers Plowman indicates that ballads about Robin Hood were being sung from at least the late 14th century and the oldest detailed material is Wynkyn de Worde's collection of Robin Hood ballads printed about 1495.
Early collections of English ballads were made by Samuel Pepys (1633–1703) and in the Roxburghe Ballads collected by Robert Harley, (1661–1724), which paralleled the work in Scotland by Walter Scott and Robert Burns. Inspired by his reading as a teenager of Reliques of Ancient English Poetry by Thomas Percy, Scott began collecting ballads while he attended Edinburgh University in the 1790s. He published his research from 1802 to 1803 in a three-volume work, Minstrelsy of the Scottish Border. Burns collaborated with James Johnson on the multi-volume Scots Musical Museum, a miscellany of folk songs and poetry with original work by Burns. Around the same time, he worked with George Thompson on A Select Collection of Original Scottish Airs for the Voice.
Both Northern English and Southern Scots shared in the identified tradition of Border ballads, particularly evinced by the cross-border narrative in versions of "The Ballad of Chevy Chase" sometimes associated with the Lancashire-born sixteenth-century minstrel Richard Sheale.
It has been suggested that the increasing interest in traditional popular ballads during the eighteenth century was prompted by social issues such as the enclosure movement as many of the ballads deal with themes concerning rural laborers. James Davey has suggested that the common themes of sailing and naval battles may also have prompted the use (at least in England) of popular ballads as naval recruitment tools.
Key work on the traditional ballad was undertaken in the late 19th century in Denmark by Svend Grundtvig and for England and Scotland by the Harvard professor Francis James Child. They attempted to record and classify all the known ballads and variants in their chosen regions. Since Child died before writing a commentary on his work it is uncertain exactly how and why he differentiated the 305 ballads printed that would be published as The English and Scottish Popular Ballads. There have been many different and contradictory attempts to classify traditional ballads by theme, but commonly identified types are the religious, supernatural, tragic, love ballads, historic, legendary and humorous. The traditional form and content of the ballad were modified to form the basis for twenty-three bawdy pornographic ballads that appeared in the underground Victorian magazine The Pearl, which ran for eighteen issues between 1879 and 1880. Unlike the traditional ballad, these obscene ballads aggressively mocked sentimental nostalgia and local lore.
Broadsides
Broadside ballads (also known as 'broadsheet', 'stall', 'vulgar' or 'come all ye' ballads) were a product of the development of cheap print in the 16th century. They were generally printed on one side of a medium to large sheet of poor quality paper. In the first half of the 17th century, they were printed in black-letter or gothic type and included multiple, eye-catching illustrations, a popular tune title, as well as an alluring poem. By the 18th century, they were printed in white letter or roman type and often without much decoration (as well as tune title). These later sheets could include many individual songs, which would be cut apart and sold individually as "slip songs." Alternatively, they might be folded to make small cheap books or "chapbooks" which often drew on ballad stories. They were produced in huge numbers, with over 400,000 being sold in England annually by the 1660s. Tessa Watt estimates the number of copies sold may have been in the millions. Many were sold by travelling chapmen in city streets or at fairs. The subject matter varied from what has been defined as the traditional ballad, although many traditional ballads were printed as broadsides. Among the topics were love, marriage, religion, drinking-songs, legends, and early journalism, which included disasters, political events and signs, wonders and prodigies.
Literary ballads
Literary or lyrical ballads grew out of an increasing interest in the ballad form among social elites and intellectuals, particularly in the Romantic movement from the later 18th century. Respected literary figures Robert Burns and Walter Scott in Scotland collected and wrote their own ballads. Similarly in England William Wordsworth and Samuel Taylor Coleridge produced a collection of Lyrical Ballads in 1798 that included Coleridge's The Rime of the Ancient Mariner. Wordsworth, Coleridge, and Keats were attracted to the simple and natural style of these folk ballads and tried to imitate it. At the same time in Germany Goethe cooperated with Schiller on a series of ballads, some of which were later set to music by Schubert. Later important examples of the poetic form included Rudyard Kipling's "Barrack-Room Ballads" (1892-6) and Oscar Wilde's The Ballad of Reading Gaol (1897).
Ballad operas
In the 18th century ballad operas developed as a form of English stage entertainment, partly in opposition to the Italian domination of the London operatic scene. It consisted of racy and often satirical spoken (English) dialogue, interspersed with songs that are deliberately kept very short to minimize disruptions to the flow of the story. Rather than the more aristocratic themes and music of the Italian opera, the ballad operas were set to the music of popular folk songs and dealt with lower-class characters. Subject matter involved the lower, often criminal, orders, and typically showed a suspension (or inversion) of the high moral values of the Italian opera of the period.
The first, most important and successful was The Beggar's Opera of 1728, with a libretto by John Gay and music arranged by John Christopher Pepusch, both of whom probably influenced by Parisian vaudeville and the burlesques and musical plays of Thomas d'Urfey (1653–1723), a number of whose collected ballads they used in their work. Gay produced further works in this style, including a sequel under the title Polly. Henry Fielding, Colley Cibber, Arne, Dibdin, Arnold, Shield, Jackson of Exeter, Hook and many others produced ballad operas that enjoyed great popularity. Ballad opera was attempted in America and Prussia. Later it moved into a more pastoral form, like Isaac Bickerstaffe's Love in a Village (1763) and Shield's Rosina (1781), using more original music that imitated, rather than reproduced, existing ballads. Although the form declined in popularity towards the end of the 18th century its influence can be seen in light operas like that of Gilbert and Sullivan's early works like The Sorcerer as well as in the modern musical.
In the 20th century, one of the most influential plays, Kurt Weill and Bertolt Brecht's (1928) The Threepenny Opera was a reworking of The Beggar's Opera, setting a similar story with the same characters, and containing much of the same satirical bite, but only using one tune from the original. The term ballad opera has also been used to describe musicals using folk music, such as The Martins and the Coys in 1944, and Peter Bellamy's The Transports in 1977. The satiric elements of ballad opera can be seen in some modern musicals such as Chicago and Cabaret.
Beyond Europe
American ballads
Some 300 ballads sung in North America have been identified as having origins in Scottish traditional or broadside ballads. Examples include 'The Streets of Laredo', which was found in Britain and Ireland as 'The Unfortunate Rake'; however, a further 400 have been identified as originating in America, including among the best known, 'The Ballad of Davy Crockett' and 'Jesse James'. They became an increasing area of interest for scholars in the 19th century and most were recorded or catalogued by George Malcolm Laws, although some have since been found to have British origins and additional songs have since been collected. They are usually considered closest in form to British broadside ballads and in terms of style are largely indistinguishable, however, they demonstrate a particular concern with occupations, journalistic style and often lack the ribaldry of British broadside ballads.
Blues ballads
The blues ballad has been seen as a fusion of Anglo-American and Afro-American styles of music from the 19th century. Blues ballads tend to deal with active protagonists, often anti-heroes, resisting adversity and authority, but frequently lacking a strong narrative and emphasising character instead. They were often accompanied by banjo and guitar which followed the blues musical format. The most famous blues ballads include those about John Henry and Casey Jones.
Bush ballads
The ballad was taken to Australia by early settlers from Britain and Ireland and gained particular foothold in the rural outback. The rhyming songs, poems and tales written in the form of ballads often relate to the itinerant and rebellious spirit of Australia in The Bush, and the authors and performers are often referred to as bush bards. The 19th century was the golden age of bush ballads. Several collectors have catalogued the songs including John Meredith whose recording in the 1950s became the basis of the collection in the National Library of Australia. The songs tell personal stories of life in the wide open country of Australia. Typical subjects include mining, raising and droving cattle, sheep shearing, wanderings, war stories, the 1891 Australian shearers' strike, class conflicts between the landless working class and the squatters (landowners), and outlaws such as Ned Kelly, as well as love interests and more modern fare such as trucking. The most famous bush ballad is "Waltzing Matilda", which has been called "the unofficial national anthem of Australia".
Sentimental ballads
Sentimental ballads, sometimes called "tear-jerkers" or "drawing-room ballads" owing to their popularity with the middle classes, had their origins in the early "Tin Pan Alley" music industry of the later 19th century. They were generally sentimental, narrative, strophic songs published separately or as part of an opera (descendants perhaps of broadside ballads, but with printed music, and usually newly composed). Such songs include "Little Rosewood Casket" (1870), "After the Ball" (1892) and "Danny Boy". The association with sentimentality led to the term "ballad" being used for slow love songs from the 1950s onwards. Modern variations include "jazz ballads", "pop ballads", "rock ballads", "R&B ballads" and "power ballads".
See also
Notes
References and further reading
Dugaw, Dianne. Deep Play: John Gay and the Invention of Modernity. Newark, Del.: University of Delaware Press, 2001. Print.
Randel, Don (1986). The New Harvard Dictionary of Music. Cambridge: Harvard University Press. .
Winton, Calhoun. John Gay and the London Theatre. Lexington: University Press of Kentucky, 1993. Print.
Marcello Sorce Keller, "Sul castel di mirabel: Life of a Ballad in Oral Tradition and Choral Practice", Ethnomusicology, XXX(1986), no. 3, 449- 469.
External links
The British Literary Ballads Archive
The Bodleian Library Ballad Collection: view facsimiles of printed ballads
The English Broadside Ballad Archive: searchable database of ballad images, citations, and recordings
Welsh Ballads resource guide
The Traditional Ballad Index
Black-letter Broadside Ballads Of The years 1595-1639 From the Collection of Samuel Pepys
Smithsonian Global Sound: The Music of Poetry—audio samples of poems, hymns and songs in ballad meter.
The Oxford Book of Ballads, complete 1910 book by Arthur Quiller-Couch
English Broadside Ballad Archive—an archive of images and recordings of over 4,000 pre-1700 broadside ballads
Folk music
Folk poetry
Poetic forms | 5 |
Battery Park City is a mainly residential planned community and neighborhood on the west side of the southern tip of the island of Manhattan in New York City. It is bounded by the Hudson River on the west, the Hudson River shoreline on the north and south, and the West Side Highway on the east. The neighborhood is named for the Battery, formerly known as Battery Park, located directly to the south.
More than one-third of the development is parkland. The land upon which it is built was created by land reclamation on the Hudson River using over of soil and rock excavated during the construction of the World Trade Center, the New York City Water Tunnel, and certain other construction projects, as well as from sand dredged from New York Harbor off Staten Island. The neighborhood includes Brookfield Place (formerly the World Financial Center), along with numerous buildings designed for housing, commercial, and retail.
Battery Park City is part of Manhattan Community District 1. It is patrolled by the 1st Precinct of the New York City Police Department.
Geography
Battery Park City is bounded on the east by West Street, which separates the area from the Financial District of Lower Manhattan. To the west, north, and south, the area is surrounded by the Hudson River.
The development consists of roughly five major sections. Traveling north to south, the first neighborhood has high-rise residential buildings, the Stuyvesant High School, a Regal Entertainment Group movie theater, and the Battery Park City branch of the New York Public Library. It is also the site of the 463-suite Conrad New York luxury hotel, which has a ballroom and a conference center. Other restaurants located in that hotel, as well as a DSW store and a New York Sports Club branch, were closed in 2009 after the takeover of the property by Goldman Sachs. Former undeveloped lots in the area have been developed into high-rise buildings; for example, Goldman Sachs built a new headquarters at 200 West Street.
Nearby is Brookfield Place, a complex of several commercial buildings formerly known as the World Financial Center.
Current residential neighborhoods of Battery Park City are divided into northern and southern sections, separated by Brookfield Place. The northern section consists entirely of large, 20–45-story buildings, all various shades of orange brick. The southern section, extending down from the Winter Garden, which is located in Brookfield Place, contains residential apartment buildings such as Gateway Plaza and the Rector Place apartment buildings. In this section lies the majority of Battery Park City's residential areas, in three sections: Gateway Plaza, a high-rise building complex; the "Rector Place Residential Neighborhood"; and the" Battery Place Residential Neighborhood". These subsections contain most of the area's residential buildings, along with park space, supermarkets, restaurants, and movie theaters. Construction of residential buildings began north of the World Financial Center in the late 1990s, and completion of the final lots took place in early 2011. Additionally, a park restoration was completed in 2013.
History
Site and formation
Throughout the 19th century and early-20th century, the area adjoining today's Battery Park City was known as Little Syria with Lebanese, Greeks, Armenians, and other ethnic groups. In 1929, the land was the proposed site of a $50,000,000 residential development that would have served workers in the Wall Street area. The Battery Tower project was left unfinished after workers digging the foundation ran into forty feet of old bulkheads, sunken docks, and ships. Construction was halted and never restarted.
By the late-1950s, the once-prosperous port area of downtown Manhattan was occupied by a number of dilapidated shipping piers, casualties of the rise of container shipping which drove sea traffic to Port Elizabeth, New Jersey. The initial proposal to reclaim this area through landfill was offered in the early-1960s by private firms and supported by the mayor, part of a long history of Lower Manhattan expansion. That plan became complicated when Governor Nelson Rockefeller announced his desire to redevelop a part of the area as a separate project. The various groups reached a compromise, and in 1966 the governor unveiled the proposal for what would become Battery Park City. The creation of architect Wallace K. Harrison, the proposal called for a 'comprehensive community' consisting of housing, social infrastructure and light industry. The landscaping of the park space and later the Winter Garden was designed by M. Paul Friedberg.
In 1968, the New York State Legislature created the Battery Park City Authority (BPCA) to oversee development. Rockefeller named Charles J. Urstadt as the first chairman of the authority's board that year. He then served as the chief executive officer from 1973 to 1978. Urstadt later served as the authority's vice chair from 1996 to 2010. The New York State Urban Development Corporation and ten other public agencies were also involved in the development project. For the next several years, the BPCA made slow progress. In April 1969, it unveiled a master plan for the area, which was approved in October. In early-1972, the BPCA issued $200 million in bonds to fund construction efforts, with Harry B. Helmsley designated as the developer. That same year, the city approved plans to alter the number of apartments designated for lower, middle and upper income renters. Urstadt said the changes were needed to make the financing for the project viable. In addition to the change in the mix of units, the city approved adding nine acres, which extended the northern boundary from Reade Street to Duane Street.
Landfill material from construction of the World Trade Center and other buildings in Lower Manhattan was used to add fill for the southern portion. Cellular cofferdams were constructed to retain the material. After removal of the piers, wooden piles and overburden of silt, the northern portion (north of, and including the marina) was filled with sand dredged from areas adjacent to Ambrose Channel in the Atlantic Ocean, as well as stone from the construction of Water Tunnel #3. By 1976, the landfill was completed. Seating stands for viewing the American Bicentennial "Operation Sail" flotilla parade were set up on the completed landfill in July 1976. Construction efforts ground to a halt in 1977, as a result of the city's fiscal crisis. That year, the presidential administration of Jimmy Carter approved mortgage insurance for 1,600 of the development's proposed units. In 1979, the title to the landfill was transferred from the city to the Battery Park City Authority, which financially restructured itself and created a new, more viable master plan, designed by Alex Cooper of Cooper, Robertson & Partners and Stanton Eckstut. By that time, only two of the proposed development's buildings had been built, and the $200 million bond issue was supposed to have been paid off the next year.
The design of BPC to some degree reflects the values of vibrant city neighborhoods championed by Jane Jacobs. The Urban Land Institute (ULI) awarded the Battery Park City Master Plan its 2010 Heritage Award, for having "facilitated the private development of of commercial space, of residential space, and nearly of open space in lower Manhattan, becoming a model for successful large-scale planning efforts and marking a positive shift away from the urban renewal mindset of the time."
Construction and early development
During the late-1970s and early-1980s, the site hosted Creative Time's landmark Art on the Beach sculpture exhibitions. On September 23, 1979, the landfill was the site of an anti-nuclear rally attended by 200,000 people.
Construction began on the first residential building in June 1980. In April 1981, the New York State Urban Development Corporation (now the Empire State Development Corporation) issued a request for proposal, ultimately selecting six real-estate companies to develop over 1,800 residential units. The same year, the World Financial Center started construction; Olympia and York of Toronto was named as the developer for the World Financial Center, who then hired Cesar Pelli as the lead architect. By 1985, construction was completed and the World Financial Center (later renamed Brookfield Place New York) saw its first tenants. The newly completed development was lauded by The New York Times as "a triumph of urban design," with the World Financial Center being deemed "a symbol of change."
During early construction, two acres of land in the southern section of the Battery Park landfill was used by artist Agnes Denes to plant wheat in an exhibition titled Wheatfield – A Confrontation. The project was a visual contradiction: a golden field of wheat set among the steel skyscrapers of downtown Manhattan. It was created during a six-month period in the spring, summer, and fall of 1982 when Denes, with the support of the Public Art Fund, planted the field of wheat on rubble-strewn land near Wall Street and the World Trade Center site. Denes stated that her "decision to plant a wheatfield in Manhattan, instead of designing just another public sculpture, grew out of a long-standing concern and need to call attention to our misplaced priorities and deteriorating human values."
Throughout the 1980s, the BPCA oversaw a great deal of construction, including the entire Rector Place neighborhood and the river esplanade. It was during that period that Amanda Burden, later City Planning Department Director in the Bloomberg administration, worked on Battery Park City. During the 1980s, a total of 13 buildings were constructed. The Vietnam Veterans Plaza was established by Edward I. Koch in 1985. In the early-1990s, Battery Park City became the new home of the Stuyvesant High School. During the 1990s, an additional six buildings were added to the neighborhood. By the turn of the 21st century, Battery Park City was mostly completed, with the exception of some ongoing construction on West Street.
Initially, in the 1980s, 23 buildings were built in the area. By the 1990s, 9 more buildings were built, followed by the construction of 11 buildings in the 2000s and 3 buildings in the 2010s. The Battery Park City Authority, wishing to attract more middle-class residents, started providing subsidies in 1998 to households whose annual incomes were $108,000 or less. By the end of the decade, nearly the entire landfill had been developed.
Early 21st century
The September 11 attacks in 2001 had a major impact on Battery Park City. The residents of Lower Manhattan and particularly of Battery Park City were displaced for an extended period of time. Parts of the community were an official crime scene and therefore residents were unable to return to live or even collect property. Many of the displaced residents were not allowed to return to the area for months and none were given government guidance of where to live temporarily on the already-crowded island of Manhattan. With most hotel rooms booked, residents, including young children and the elderly, were forced to fend for themselves. When they were finally allowed to return to Battery Park City, some found that their homes had been looted.
Upon residents' return, the air in the area was still filled with toxic smoke from the World Trade Center fires that persisted until December 2001. More than half of the area's residents moved away permanently from the community after the adjacent World Trade Center towers collapsed and spread toxic dust, debris, and smoke. Gateway Plaza's 600 building, Hudson View East, and Parc Place (now Rector Square) were punctured by airplane parts. The Winter Garden and other portions of the World Financial Center were severely damaged. Environmental concerns regarding dust from the Trade Center are a continuing source of concern for many residents, scientists, and elected officials. Since the attacks, the damage has been repaired. Temporarily reduced rents and government subsidies helped restore residential occupancy in the years following the attacks.
After September 11, 2001, residents of Battery Park City and Tribeca formed the TriBattery Pops Tom Goodkind Conductor in response to the events of the attacks. The “Pops” have been Grammy-nominated and are the first lower Manhattan all-volunteer community band in a century.
Since then, real estate development in the area has continued robustly. Commercial development includes the 200 West Street, the Goldman Sachs global headquarters, which began construction in 2005 and opened for occupancy in October 2009. 200 West Street received in 2010 gold-level certification under the United States Green Building Council’s Leadership in Energy and Environmental Design (LEED) program by incorporating various water and energy conservation features. As of 2018, there is no new construction planned.
Ownership and maintenance
Battery Park City is owned and managed by the Hugh L. Carey Battery Park City Authority (BPCA), a Class A New York State public-benefit corporation created by New York State in 1968 to redevelop outmoded and deteriorated piers, a project that has involved reclaiming the land, replanning the area and facilitating new construction of a mixed commercial and residential community. It has operated under the authority of the Urban Development Corporation. Its mission is "to plan, create, coordinate and sustain a balanced community of commercial, residential, retail, and park space within its designated 92-acre site on the lower west side of Manhattan". The authority's board is composed of seven uncompensated members who are appointed by the governor and who serve six-year terms. B. J. Jones is the president and chief executive officer. The BPCA is invested with substantial powers: it can acquire, hold and dispose of real property, enter into lease agreements, borrow money and issue debt, and manage the project. Like other public benefit corporations, the BPCA is exempt from property taxes and has the ability to issue tax exempt bonds. In 2021, the BPCA has operating expenses of $69.1 million as well as an outstanding debt of $875.09 million, and it employed 200 people.
Under the 1989 agreement between the BPCA and the City of New York, $600 million was transferred by the BPCA to the city. Charles J. Urstadt, the first chairman and CEO of the BPCA, noted in an August 19, 2007, op-ed piece in the New York Post that the aggregate figure of funds transferred to the City of New York is above $1.4 billion, with the BPCA continuing to contribute $200 million a year. The Independent Budget Office of the City of New York also recommended the city take over Battery Park City in a report published in February 2020. The report echoed Urstadt's proposal as a way to increase revenue to the city. An article published by The Broadsheet Daily described the complex shared ownership structure of Battery Park City between the city and state that was set up by Urstadt.
Excess revenue from the area was to be contributed to other housing efforts, typically low-income projects in the Bronx and Harlem. Much of this funding has historically been diverted to general city expenses, under section 3.d of the 1989 agreement. However, in July 2006, Mayor Michael Bloomberg, Governor George Pataki, and Comptroller William C. Thompson Jr. announced the final approval for the New York City Housing Trust Fund derived from $130 million in Battery Park City revenues. The fund aimed to preserve or create 4,300 units of low- and moderate-income housing by 2009. It also provided seed financing for the New York Acquisition Fund, a $230 million initiative that aims to serve as a catalyst for the construction and preservation of more than 30,000 units of affordable housing citywide by 2016. The Acquisition Fund has since established itself as a model for similar funds in cities and states across the country.
By 2018, thirty residential buildings had been built in Battery Park City and no new construction was planned. The Battery Park City Authority's main focus turned to maintenance of existing infrastructure, security and conservancy of the public spaces. The authority was creating over 1,000 free activities per year.
Condo owners in Battery Park City pay higher monthly charges than owners of comparable apartments elsewhere in New York City because residents pay their building's common charges in addition to PILOT (payments in lieu of taxes). The PILOT payments replace real estate taxes and the land lease. As a result, residential units have higher monthly costs compared to other neighborhoods. The cumulative effect is lower property values for homeowners.
Because none of the properties in Battery Park City own the land they are built on, many banks have refused to write loans when those ground leases are periodically up for renewal. This has been a regular source of anger and frustration for owners in Battery Park City who are looking to sell.
Demographics
For census purposes, the New York City government classifies Battery Park City as part of a larger neighborhood tabulation area called Battery Park City-Lower Manhattan. Based on data from the 2010 United States Census, the population of Battery Park City-Lower Manhattan was 39,699, an increase of 19,611 (97.6%) from the 20,088 counted in 2000. Covering an area of , the neighborhood had a population density of . The racial makeup of the neighborhood was 65.4% (25,965) White, 3.2% (1,288) African American, 0.1% (35) Native American, 20.2% (8,016) Asian, 0.0% (17) Pacific Islander, 0.4% (153) from other races, and 3.0% (1,170) from two or more races. Hispanic or Latino of any race were 7.7% (3,055) of the population.
The entirety of Community District 1, which comprises Battery Park City and other Lower Manhattan neighborhoods, had 63,383 inhabitants as of NYC Health's 2018 Community Health Profile, with an average life expectancy of 85.8 years. This is higher than the median life expectancy of 81.2 for all New York City neighborhoods. Most inhabitants are young to middle-aged adults: half (50%) are between the ages of 25 and 44, while 14% are between 0 and 17, and 18% between 45 and 64. The ratio of college-aged and elderly residents was lower, at 11% and 7% respectively.
As of 2017, the median household income in Community Districts 1 and 2 (including Greenwich Village and SoHo) was $144,878, though the median income in Battery Park City individually was $126,771. In 2018, an estimated 9% of Battery Park City and Lower Manhattan residents lived in poverty, compared to 14% in all of Manhattan and 20% in all of New York City. One in twenty-five residents (4%) were unemployed, compared to 7% in Manhattan and 9% in New York City. Rent burden, or the percentage of residents who have difficulty paying their rent, is 38% in Battery Park City and Lower Manhattan, compared to the boroughwide and citywide rates of 45% and 51% respectively. Based on this calculation, , Battery Park City and Lower Manhattan are considered high-income relative to the rest of the city and not gentrifying.
, about 10,000 people live in Battery Park City, most of whom are upper middle class and upper class (54.0% of households have incomes over $100,000). When fully built out, the neighborhood is projected to have 14,000 residents.
Census
Based on the 2020 census, the racial makeup of Northern Battery Park City (10282) was 66% White, 2% Black, 0% Native American, 16% Asian, 0% Islander, 0% from other races, and 5% from two or more races. Hispanic of Latino of any race were 11% of the population. The racial makeup of South Battery Park City (10280) was 69% White, 1% Black, 0% Native, 17% Asian, 0% Islander, 0% from other races, 3% from two or more races, and 11% Hispanic.
As of 2020, the population of the area was 16,169.
Cultural heritage
A largely Arab-American neighborhood existed adjacent to what is today southeastern Battery Park City from the late 1880s to the 1940s. "Little Syria" encompassed Washington Street from Battery Park to Rector Street. It declined as a neighborhood as the inhabitants became successful and moved to other areas, especially Atlantic Avenue in Brooklyn, and disappeared almost entirely when a great deal of lower Washington Street was demolished to make way for entrance ramps to the Brooklyn-Battery Tunnel, which opened in 1950. The overwhelming majority of the residents were Arabic-speaking Christians, Melkite and Maronite immigrants from present-day Syria and Lebanon who settled in the area in the late 19th century, escaping religious persecution and poverty in their homelands – which were then under control of the Ottoman Empire – and answering the call of American missionaries to escape their difficulties by traveling to New York City.
However, many other ethnic groups had lived in this diverse neighborhood, including Greeks, Turks, Armenians, Slovaks, Poles, Hungarians, Lithuanians, Ukrainians, Czechs, and Irish.
A long-standing reminder of the ethnic past was the former St. Nicholas Greek Orthodox Church, which was destroyed in the September 11 attacks. An additional historic church, St. George's Syrian Catholic Church, still stands at 103 Washington Street.
Buildings
Residential
The first residential building in Battery Park City, Gateway Plaza, was completed in 1983. , the population of the area was 13,386. Some of the more prominent residential buildings include:
Millennium Point, a , 38-story skyscraper built from 1999 to 2001. It occupies the street addresses 25–39 Battery Place. However, due to the September 11 attacks which hit the nearby World Trade Center, opening of Millennium Point was delayed until January 2002. The building won the 2001 Silver Emporis Skyscraper Award. The tower section contains 113 luxury condominiums. The wider, lower 12 floors are occupied by a 5-star hotel, The Wagner at the Battery (formerly the Ritz-Carlton Battery Park). The hotel has 298 rooms, including 44 suites, with the largest suite spanning in area. The Skyscraper Museum occupies a small space on the first floor of the building. A restaurant is located on the 14th floor.
The Solaire, the first green residential building in the United States, as well as the first residential high-rise building in New York City to be certified by the U.S. Green Building Council. It was designed by Pelli Clarke Pelli and completed in 2003. The Solaire is located at 20 River Terrace. The developer received funding from the State of New York, which was somewhat controversial as the developer was only required to agree to set aside 10% of the units as "affordable housing" or "moderate income", rather than the usual 80:20 agreement. When the building opened, rents ranged from roughly $2,500 to $9,001 depending on the size of the unit. The building has been rated LEED Platinum. The energy conserving building design is 35% more energy-efficient than code requires, resulting in a 67% lower electricity demand during peak hours, resulting in, among other benefits, lower electric bills for residents. Photovoltaic panels convert sunlight to electricity, supplemented by a computerized building management system and environmentally responsible operating and maintenance practices to further reduce the building's environmental impact.
Other residential condominiums include:
Battery Pointe, 300 Rector Place
Cove Club, 2 South End Avenue
Hudson Tower, 350 Albany Street
Hudson View East, 250 South End Avenue
Hudson View West, 300 Albany Street
Liberty Court, 200 Rector Place
Liberty Green, 300 North End Avenue
Liberty House, 377 Rector Place
Liberty Luxe, 200 North End Avenue
Liberty Terrace, 380 Rector Place
Liberty View, 99 Battery Place
Millennium Tower Residences, 30 West Street
The Regatta, 21 South End Avenue
Ritz Carlton Residence, 10 West Street
Riverhouse, One Rockefeller Park
The Soundings, 280 Rector Place
The Visionaire, 70 Little West Street
1 Rector Park, 333 Rector Place
Other residential apartments include:
212 Warren (formerly 22 River Terrace)
Gateway Plaza, 345-395 South End Avenue
The Hallmark, 455 North End Avenue
Rector Square, 225 Rector Place
River Watch, 70 Battery Place
The Solaire, 20 River Terrace
South Cove Plaza, 50 Battery Place
Tribeca Bridge Tower, 450 North End Avenue
Tribeca Green, 325 North End Avenue
Tribeca Park, 400 Chambers Street
Tribeca Pointe, River Terrace
The Verdesian, 211 North End Avenue
Office
Battery Park City, which is mainly residential, also has a few office buildings. The seven buildings including the Brookfield Place complex, as well as 200 West Street, are the neighborhood's only office buildings.
Brookfield Place complex
Located in the middle of Battery Park City and overlooking the Hudson River, Brookfield Place, designed by César Pelli and owned mostly by Toronto-based Brookfield Properties, has been home to offices of various major companies, including Merrill Lynch, RBC Capital Markets, Nomura Group, American Express and Brookfield Asset Management, among others. Brookfield Place also serves as the United States headquarters for Brookfield Properties, which has its headquarters located in 200 Vesey Street. Brookfield Place also has its own zip code, 10281.
Brookfield Place's ground floor and portions of the second floor are occupied by a mall; its center point is a steel-and-glass atrium known as the Winter Garden. Outside of the Winter Garden lies a sizeable yacht harbor on the Hudson known as North Cove.
The building's original developer was Olympia and York of Toronto, Ontario. It used to be named the World Financial Center, but in 2014, the complex was given its current name following the completion of extensive renovations. The World Financial Center complex was built by Olympia and York between 1982 and 1988; it was damaged in the September 11 attacks but later repaired. It has six constituent buildings – 200 Liberty Street, 225 Liberty Street, 200 Vesey Street, 250 Vesey Street, the Winter Garden Atrium, and One North End Avenue (a.k.a. the New York Mercantile Exchange building).
200 West Street
200 West Street is the location of the global headquarters of Goldman Sachs, an investment banking firm. A , 44-story building located on the west side of West Street between Vesey and Murray Streets, it is north of Brookfield Place and the Conrad Hotels, across the street from the Verizon Building, and diagonally opposite the World Trade Center. It is distinctive for being the only office building in the northern section of Battery Park City. It started construction in 2005 and opened in 2009.
Police and crime
Battery Park City and Lower Manhattan are patrolled by the 1st Precinct of the NYPD, located at 16 Ericsson Place. The 1st Precinct ranked 63rd safest out of 69 patrol areas for per-capita crime in 2010. Though the number of crimes is low compared to other NYPD precincts, the residential population is also much lower. , with a non-fatal assault rate of 24 per 100,000 people, Battery Park City and Lower Manhattan's rate of violent crimes per capita is less than that of the city as a whole. The incarceration rate of 152 per 100,000 people is lower than that of the city as a whole.
The 1st Precinct has a lower crime rate than in the 1990s, with crimes across all categories having decreased by 86.3% between 1990 and 2018. The 1st precinct reported 2 murders, 15 rapes, 135 robberies, 121 felony assaults, 191 burglaries, 848 grand larcenies, and 68 grand larcenies auto in 2021.
Fire safety
Battery Park City is served by the New York City Fire Department (FDNY)'s Engine Co. 10/Ladder Co. 10 fire station, located at 124 Liberty Street.
Health
, preterm births and births to teenage mothers are less common in Battery Park City and Lower Manhattan than in other places citywide. In Battery Park City and Lower Manhattan, there were 77 preterm births per 1,000 live births (compared to 87 per 1,000 citywide), and 2.2 teenage births per 1,000 live births (compared to 19.3 per 1,000 citywide), though the teenage birth rate is based on a small sample size. Battery Park City and Lower Manhattan have a low population of residents who are uninsured. In 2018, this population of uninsured residents was estimated to be 4%, less than the citywide rate of 12%, though this was based on a small sample size.
The concentration of fine particulate matter, the deadliest type of air pollutant, in Battery Park City and Lower Manhattan is , more than the city average. Sixteen percent of Battery Park City and Lower Manhattan residents are smokers, which is more than the city average of 14% of residents being smokers. In Battery Park City and Lower Manhattan, 4% of residents are obese, 3% are diabetic, and 15% have high blood pressure, the lowest rates in the city—compared to the citywide averages of 24%, 11%, and 28% respectively. In addition, 5% of children are obese, the lowest rate in the city, compared to the citywide average of 20%.
Ninety-six percent of residents eat some fruits and vegetables every day, which is more than the city's average of 87%. In 2018, 88% of residents described their health as "good," "very good," or "excellent," more than the city's average of 78%. For every supermarket in Battery Park City and Lower Manhattan, there are 6 bodegas.
The nearest major hospital is NewYork-Presbyterian Lower Manhattan Hospital in the Civic Center area.
Post office and ZIP Codes
Battery Park City is located within two ZIP Codes. The neighborhood north of Brookfield Place is covered by 10282, while much of the neighborhood south of Brookfield Place is covered by 10280. Brookfield Place is part of 10281, and the southernmost tip is part of 10004. The United States Postal Service does not operate any post offices in Battery Park City. The nearest post office is the Church Street Station at 90 Church Street in the Financial District.
Education
Battery Park City and Lower Manhattan generally have a higher rate of college-educated residents than the rest of the city . The vast majority of residents age 25 and older (84%) have a college education or higher, while 4% have less than a high school education and 12% are high school graduates or have some college education. By contrast, 64% of Manhattan residents and 43% of city residents have a college education or higher. The percentage of Battery Park City and Lower Manhattan students excelling in math rose from 61% in 2000 to 80% in 2011, and reading achievement increased from 66% to 68% during the same time period.
Battery Park City and Lower Manhattan's rate of elementary school student absenteeism is lower than the rest of New York City. In Battery Park City and Lower Manhattan, 6% of elementary school students missed twenty or more days per school year, less than the citywide average of 20%. Additionally, 96% of high school students in Battery Park City and Lower Manhattan graduate on time, more than the citywide average of 75%.
Schools
The New York City Department of Education operates the following public schools in Battery Park City:
P.S. 89
I.S. 289
P.S./I.S. 276 Battery Park City School
Stuyvesant High School, which moved into a new waterfront building in Battery Park City in 1992
P.S. M094
P226M
Library
Battery Park City has a New York Public Library branch at 175 North End Avenue, designed by 1100 Architect and completed in 2010. A , two-story library on the street level of a high-rise residential building, it utilizes several sustainable design features, earning it LEED Gold certification.
Sustainability was a driving factor in the design of the library including use of an energy-efficient lighting system, maximization of natural lighting, and use of recycled materials. 1100 Architect, in collaboration with Atelier Ten, an international team of environmental design consultants and building services engineers, designed the library's energy-efficient lighting system. The open plan layout and large use of glass allow for ample natural daylight year-round and low-energy LED light illuminates communal spaces. Recycled materials are incorporated into the design including carpet made from re-purposed truck tires, floors made from reclaimed window frame wood, and furniture made from FSC-certified plywood and recycled steel. Design features include a seemingly "floating" origami-style ceiling made up of triangular panels hung at varying angles and a padded reading nook fitted into the library's terrazzo-finished steel and concrete staircase. The interior uses an easy-to-navigate layout with its three distinct spatial areas of entry area, first floor space, and mezzanine visually unified through the ceiling.
The building also won the Interior Design, Best of Year Merit Award in 2011, followed by The National Terrazzo and Mosaic Association, Port Morris Tile and Marble Corporation Craftsmanship Award in 2011 and the Contract, Public Space Interiors Award in 2012.
Transportation
Currently, the Metropolitan Transportation Authority provides bus service to the area. , the bus lines service parts of Battery Park City, with the nearby at Battery Park. Additionally, the Downtown Alliance provides a free bus service that runs along North End Avenue and South End Avenue, connecting the various residential complexes with subway stations on the other side of West Street.
There is currently no New York City Subway access in Battery Park City proper; however, the West Street pedestrian bridges, as well as crosswalks across West Street, connect Battery Park City to subway stations and the PATH station in the nearby Financial District. The West Concourse, a tunnel from Brookfield Place passing under West Street, also provides access from Battery Park City to the World Trade Center PATH station, the WTC Cortlandt station, and the Fulton Street station (New York City Subway).
The Battery Park City Ferry Terminal is at the foot of Vesey Street opposite the New York Mercantile Exchange and provides ferry transportation to various points in New Jersey via NY Waterway and Liberty Water Taxi routes. NYC Ferry's St. George route, to West Midtown Ferry Terminal and St. George Terminal, stops at Battery Park City Ferry Terminal.
The West Thames Street Bridge, one of the West Street pedestrian bridges connecting Battery Park City to the Financial District, was completed in 2019, replacing the older Rector Street Bridge. On June 11, 2021, it was dedicated as the Robert F. Douglass Bridge. Its namesake, who died in 2016, was an early advocate for lower Manhattan as a senior advisor to Governor Nelson Rockefeller and later as a founding member and chairman of the Downtown Alliance and board member of the Lower Manhattan Development Corporation.
Parks and open spaces
More than one-third of the neighborhood is parkland.
Some large open spaces and parks include:
Teardrop Park sits midblock, near the corner of Warren Street and River Terrace. Before construction, the site was empty and flat; part of the neighborhood's development plan, the park was designed in anticipation of four high residential towers on its west and east. Although a New York City public park, maintenance is overseen by the Battery Park City Parks Conservancy and the park was designed for the Battery Park City Authority. The park opened on September 30, 2004. There is also a southern extension to this park.
Washington Street Plaza, a pedestrian plaza on Washington Street between Carlisle and Albany Streets, opened on May 23, 2013.
In addition, there are:
Community Ballfields, North End Avenue between Murray and Warren Streets
The Esplanade, along the Hudson River from Stuyvesant High School to Battery Park
Monsignor Kowsky Plaza, east of the Esplanade
Nelson A. Rockefeller State Park, north end of Battery Park City west of River Terrace
North Cove, on the river between Liberty Street and Vesey Street.
Oval Lawn, east of the Esplanade
Rector Park, South End Avenue at Rector Place
Robert F. Wagner, Jr. Park, north of Battery Park off Battery Place
South Cove, on the Esplanade, between First and Third Places
West Thames Park, West Street between Albany and West Thames Streets
World Financial Center Plaza, within Brookfield Place
Museums and memorials
Irish Hunger Memorial, located on a site at Vesey Street and North End Avenue. It is dedicated to raising awareness of the Great Irish Famine. Construction began in March 2001, and the memorial was completed and dedicated on July 16, 2002.
Museum of Jewish Heritage, a memorial to those who were murdered in the Holocaust
Skyscraper Museum, an architecture museum in Millennium Point
Hurricane Maria Memorial honors the victims of Hurricane Maria, which struck Puerto Rico on September 20, 2017.
Mother Cabrini Memorial, dedicated on October 12, 2020, honors the patroness of immigrants.
9/11 Memorial at South Cove, created and dedicated on September 9, 2015.
NYC Police Memorial is located at Liberty Street and South End Avenue, and was dedicated on October 20, 1997.
Notable residents
Notable residents include:
Tyra Banks (born 1973), TV personality
Leonardo DiCaprio, actor, resident of 1 Rockefeller Park
Sacha Baron Cohen, actor and comedian, former resident of 1 Rockefeller Park
Isla Fisher, actress, former resident of 1 Rockefeller Park
Dave Gahan, musician, resident of 1 Rockefeller Park
Kris Humphries, basketball player, resident of Liberty Luxe
See also
Hudson River Park Trust
New York Convention Center Operating Corporation
Lower Manhattan Development Corporation
Municipal Assistance Corporation for the City of NY
Roosevelt Island Operating Corporation
United Nations Development Corporation
References
Notes
Further reading
Gordon, David L.A. (1997) Battery Park City: Politics and Planning on the New York Waterfront, Gordon and Breach Publishers
Urstadt, Charles J.; Gene Brown (2005). Battery Park City: The Early Years. Bloomington.
External links
(Hugh L. Carey Battery Park City Authority)
Neighborhoods in Manhattan
Leadership in Energy and Environmental Design certified buildings
Redeveloped ports and waterfronts in the United States
New Urbanism communities | 10 |
Allan Huber "Bud" Selig (; born July 30, 1934) is an American baseball executive who currently serves as the Commissioner Emeritus of Baseball. Previously, he served as the ninth Commissioner of Baseball from 1998 to 2015. He initially served as de facto acting commissioner beginning in 1992 in his capacity as chairman of the Major League Baseball Executive Committee before being named the official commissioner in 1998. Selig oversaw baseball through the 1994 strike, the introduction of the wild card, interleague play, and the de facto merging of the National and American Leagues under the Office of the Commissioner. He was instrumental in organizing the World Baseball Classic in 2006. Selig also introduced revenue sharing. He is credited for the financial turnaround of baseball during his tenure with a 400 percent increase in the revenue of MLB and annual record breaking attendance.
During Selig's term of service, the use of steroids and other performance-enhancing drugs became a public issue. The Mitchell Report, commissioned by Selig, concluded that the MLB commissioners, club officials, the Players Association, and the players all share "to some extent in the responsibility for the steroid era." Following the release of the Mitchell Report, Congressman Cliff Stearns called publicly for Selig to step down as commissioner, citing his "glacial response" to the "growing stain on baseball." Selig has pledged on numerous occasions to rid baseball of performance-enhancing drugs, and has overseen and instituted many rule changes and penalties to that end.
A Milwaukee native, Selig was previously the owner and team president of the Milwaukee Brewers. The franchise, originally known as the Seattle Pilots, was acquired by Selig in bankruptcy court in 1970, and renamed after the minor league team of the same name that he had watched in his youth and had existed until the arrival of the Braves in Milwaukee in 1953. Selig was credited with keeping baseball in Milwaukee. The Brewers went to the 1982 World Series (but were defeated in seven games by the St. Louis Cardinals), and Selig won seven Organization of the Year awards during his tenure. Selig remains a resident of Milwaukee.
On January 17, 2008, Selig's contract was extended through 2012, after which he planned to retire, but he then decided to stay as commissioner until the end of the 2014 season, a move approved by the owners on January 12, 2012, which would take his leadership past his 80th birthday. Selig made $14.5 million in the 12-month period ending October 31, 2005. Selig announced on September 26, 2013, that he would retire in January 2015. On January 22, 2015, MLB announced that Selig would formally step down from the office when his current term expired on January 24, 2015. He was inducted into the Baseball Hall of Fame in 2017.
Early life
Selig was born in Milwaukee, and grew up in a Jewish family. His father, Ben Selig, had come to the United States from Romania with his family when he was four years old. Selig graduated from the University of Wisconsin–Madison with a B.A. in American history and political science in 1956. He served two years in the U.S. Army before working with his father who owned a car leasing business in Milwaukee. Selig continues to be involved in the automotive industry, serving as president of the Selig Executive Lease Company.
Selig's interest in baseball came from his mother. An immigrant from Ukraine, Marie Selig attended college, a rare accomplishment for a woman in the early 20th century, and became a school teacher. When Selig was only three, Marie began taking him and his older brother, Jerry, to Borchert Field, where the minor league Milwaukee Brewers played. When the Boston Braves relocated to Milwaukee in 1953, Selig switched allegiances, and eventually became the team's largest public stockholder. Selig was devastated when he learned that the Braves were going to leave Milwaukee in favor of Atlanta. In 1965, when the Braves left Milwaukee, he divested his stock in the team. As a youngster, Selig's favorite player was Hershel Martin. He developed a friendship with Hank Aaron, when the young player joined the Braves. The elder Selig's company provided loaner cars to Braves players, which gave the family access to the clubhouse and players. The pair later attended Green Bay Packers games together and sat together on the team plane.
Milwaukee Brewers owner
As a minority owner of the Milwaukee Braves, Selig founded the organization Teams, Inc., in an attempt to prevent the majority owners (based out of Chicago) from moving the club to a larger television market. This was challenged legally on the basis that no prior team relocations (in the modern era) left a city without a team. Prior movements had all originated in cities that were home to at least two teams. When his quest to keep the team in Milwaukee finally failed after the 1965 season, he changed the group's name to Milwaukee Brewers Baseball Club, Inc., after the minor league baseball team he grew up watching, and devoted himself to returning Major League Baseball to Milwaukee.
Selig arranged for major league games to be played at Milwaukee County Stadium. The first, a pre-season match-up between the Chicago White Sox and Minnesota Twins, drew more than 51,000 spectators. Selig followed this up by hosting nine White Sox regular-season games in 1968 and eleven in 1969. One of the games played in Milwaukee that year was against the expansion Seattle Pilots, the team that would become the Brewers. Those Milwaukee "home" games were phenomenally successful, with the handful of games accounting for about one-third of total White Sox home attendance.
To satisfy that fan base, Selig decided to purchase the White Sox (with the intention of moving them to Milwaukee) in 1969. He entered into an agreement to buy the club, but the American League vetoed the sale, preferring to keep an American League team in Chicago, which at the time was still America's second-largest city. Selig turned his attention to other franchises.
In 1970, he purchased the bankrupt Seattle Pilots franchise, moving them to his hometown and officially renaming the team the Brewers.
During Selig's tenure as club president, the Brewers participated in postseason play in 1981, when the team finished first in the American League East during the second half of the season, and in 1982, when the team made it to the World Series, under the leadership of future Hall of Famers Robin Yount and Paul Molitor. Under Selig's watch, the Brewers also won seven Organization of the Year awards. Selig was part of the owners' collusion in 1985–1987, resulting in the owners paying US$280 million in damages to the players.
Upon his assumption of the commissioner's role, Selig transferred his ownership interest in the Brewers to his daughter Wendy Selig-Prieb in order to remove any technical conflicts of interest, though it was widely presumed he maintained some hand in team operations. Although the team was sold to Los Angeles investor Mark Attanasio in 2005, questions remain regarding Selig's past involvement. Selig's defenders point to the poor management of the team after Selig-Prieb took control as proof that Selig was not working behind the scenes.
Selig was elected to the Wisconsin Athletic Hall of Fame in 2001.
On August 24, 2010, a statue of Selig, the Selig Monument, commissioned by Brewers owner Mark Attanasio and designed by artist Brian Maughan, was unveiled outside Miller Park in Milwaukee.
Acting Commissioner (1992–1998)
Selig became an increasingly vocal opponent of Commissioner Fay Vincent, and soon became the leader of a group of owners seeking his removal. Selig has never stated that the owners colluded, while Vincent has:
Following an 18-9 no-confidence vote, Vincent resigned. Selig had by this time become chairman of the Executive Council of Major League Baseball, and as such became de facto acting commissioner.
His first major act was to institute the Wild Card and divisional playoff play, which has created much controversy amongst baseball fans. Those against the Wild Card see it as diminishing the importance of the pennant race and the regular season, with the true race often being for second rather than first place, while those in favor of it view it as an opportunity for teams to have a shot at the playoffs even when they have no chance of a first-place finish in their division, thus maintaining fan interest later in the season.
Selig suspended Cincinnati Reds owner Marge Schott for a year in 1993 for repeated racially insensitive and prejudicial remarks and actions. The same year, New York Yankees owner George Steinbrenner was reinstated from a lifelong suspension that was instituted by Selig's predecessor Fay Vincent. Pete Rose has claimed that he applied for reinstatement over the years and received no such consideration. Rose, along with his close friend and former teammate Mike Schmidt (who is a strong supporter of Rose's reinstatement into baseball), met with Selig in 2002, where Rose privately admitted to Selig (two years before going public with his admission) about betting on baseball. Bud Selig was a close friend of the late Bart Giamatti, who was the commissioner when Rose was first banned from the sport in 1989.
As acting commissioner, Selig represented MLB during the 1994 players strike and cancelled the World Series, marking the first time the annual event had not been staged since 1904.
Commissioner (1998–2015)
After a six-year search for a new commissioner, the owners voted to give Selig the title on a permanent basis midway through the 1998 season.
During his tenure the game avoided a third work stoppage in 2002, and has seen the implementation of interleague play.
Whereas in the past, the National and American leagues had separate administrative organizations (which, for example, allowed for the introduction of different rules such as the designated hitter), under Selig, Major League Baseball consolidated the administrative functions of both leagues into the Commissioner's Office in 2000. The last official presidents of the NL and AL were Leonard S. Coleman Jr. and Dr. Gene Budig respectively.
Reaction after September 11, 2001
On September 11, 2001, Selig ordered all baseball games postponed for a week because of the terror attacks on New York and Washington. The games were postponed not only out of respect and mourning for the victims, but also out of concern for the safety and security of fans and players.
2001 contraction attempt
After the conclusion of the 2001 World Series, Selig held a vote on contracting two teams, reportedly the Minnesota Twins and Montreal Expos. This action led to Selig (along with former Expos owner Jeffrey Loria) being sued for racketeering and conspiring with Loria to deliberately defraud the Expos minority owners. If found liable, the league could have been ordered to pay as much as $500 million in total damages. The judge ruled that the Expos could not be moved or contracted until the case was over. The case eventually went to arbitration and was settled out of court for an undisclosed sum.
A week after Selig's announcement, Hennepin County Judge Harry Seymour Crump issued a temporary restraining order that forced the Twins to honor their lease and play the 2002 season at the Metrodome. In August 2002, the effort to contract the Twins officially fizzled as players and owners reached a consensus on a new labor agreement which extended the team's Metrodome lease.
Changes to the MLB All-Star Game
The 2002 All-Star Game, played in Selig's hometown of Milwaukee, was tied 7–7 after nine innings, and remained tied after the bottom of the 11th inning. Due to the recent managerial trend of granting playing time to as many available players as possible within the regulation nine innings, both managers had used their entire roster. Concerned for the arms of the pitchers currently on the mound, Selig made the controversial decision to declare the game a tie, to the dissatisfaction of the Milwaukee fans. Selig later said that this call was "embarrassing" and that he was "tremendously saddened" by the outcome of the game.
Selig subsequently tried to reinvigorate the All-Star Game by awarding the winning league home-field advantage in the World Series; that practice was initiated in 2003 and continued through 2016. The 2003 All-Star Game had the same U.S. viewership as 2002 (9.5 rating; 17 share) and the ratings declined in 2004 (8.8 rating; 15 share) and 2005 (8.1 rating; 14 share). The American television audience increased in 2006 (9.3 rating; 16 share).
Disciplinary actions
On July 1, 2005, Selig suspended Texas Rangers pitcher Kenny Rogers for 20 games and fined him US$50,000. The punishment stemmed from an incident on June 29, 2005 during a Rangers pre-game warmup session, where Rogers had shoved two local news reporters and knocked one camera to the ground. One of the reporters resumed filming after picking up said camera, which angered Rogers into shoving him again, after grabbing and throwing the camera to the ground, kicking it. He was then led away by a teammate and later sent home by the Club. While an appeal of his suspension was pending, Rogers appeared at the 2005 All-Star Game in Detroit, where fans loudly booed him. On July 22, 2005, Selig heard Rogers' appeal of his suspension. Selig decided to uphold the 20 games, however, an independent arbitrator ruled that Selig had exceeded his authority and reduced it to 13 games, but upheld the fine.
Performance-enhancing drugs
In 2005, Selig faced Congress on the issue of steroids. After the Congressional hearings in early 2005, and with the scrutiny of the sports and national media upon this issue, Selig put forth a proposal for a stricter performance-enhancing drug testing regime to replace the current system. This proposal also included the banning of amphetamines, a first for the major North American sports leagues. The MLB Players Association and MLB reached an agreement in November on the new policy.
Selig's testimony on the subject has been contradictory. In 2005, Selig told reporters, "I never even heard about them [steroids] until 1998 or 1999. I ran a team and nobody was closer to their players and I never heard any comment from them. It wasn't until 1998 or '99 that I heard the discussion." But a year later, testifying to Congress in 2006, Selig claimed personal credit for spotting the problem early: "In 1994, before anybody was really talking about steroids in baseball, we proposed a program of testing for such substances to the MLBPA. As early as 1998, I began formulating a strategic plan to eliminate the use of performance-enhancing substances from the game." During the 1988 ALCS, Oakland's Jose Canseco had been repeatedly taunted by Boston fans with a chant of "ster-oids, ster-oids, ster-oids." Speaking at the 2013 All-Star Game, Selig complained, "People say, 'Well, you were slow to react.' We were not slow to react. In fact, I heard that this morning, and it aggravated me all over again."
By early 2006, Selig was forced to deal with the issue of steroid use. On March 30, 2006, as a response to the controversy of the use of performance-enhancing drugs and the anticipated career home run record to be set by Barry Bonds, Selig asked former U.S. Senator George J. Mitchell to lead an independent investigation into the use of steroids in baseball's recent past. Joe Sheehan from Baseball Prospectus wrote that the commission has been focusing "blame for the era exclusively on uniformed personnel", and failing to investigate any role played by team ownership and management.
Much controversy surrounded Selig and his involvement in Bonds' all-time home run record chase. For months, speculation surrounded Selig and the possibility that he and Henry Aaron would not attend Bonds' games as he closed in on the record. Selig announced in July 2007 when Bonds was near 755 home runs that he would attend the games. Selig was in attendance for Bonds' record-tying home run against the San Diego Padres, sitting in Padres owner John Moores' private suite. When Bonds hit his 755th home run, Selig refused to applaud Bonds' accomplishment, instead choosing to keep his hands in his pockets and have a look of disdain on his face. Bud Selig also did not attend the San Francisco Giants' game on August 7 when Barry Bonds hit his record-breaking 756th home run against the Washington Nationals; after the event, Selig released a statement congratulating Bonds.
On December 13, 2007, former senator Mitchell released his report on the use of performance-enhancing substances by MLB players. The report names many current and former players who allegedly used performance-enhancing drugs during their careers.
Selig has been widely criticized for not taking an active enough role to stem the tide of steroid use in baseball until it had blossomed into a debilitating problem for the industry. Chicago Sun-Times columnist Jay Mariotti called Selig the "Steroids Commissioner." Selig has been called to Congress several times to testify on performance-enhancing drug use. Congressman Cliff Stearns said in December 2007 that Selig should resign because of use of performance-enhancing drugs in baseball during his tenure.
Post-season schedule
Selig's decision to extend the traditional post-season schedule into November in an attempt to increase Nielsen ratings was met with widespread disdain, both inside and outside the baseball community. Mike Scioscia, manager of the American League West Division Champion Los Angeles Angels, dismissed the decision as "Ridiculous. I don't know. Can I say it any clearer than that? We should have never had a day off last Wednesday. We should never have three days off after the season. You shouldn't even have two days off after the season."
Controversies
Related to the contraction controversy in 2001, Rob Dibble posted an open letter to Bud Selig, criticizing his actions for benefiting only the Milwaukee Brewers. Dibble cites that the contraction of the Twins would benefit the Brewers, as they would potentially claim the Twins' share of the upper Midwest market.
Selig has made some decisions involving the Houston Astros that were unpopular with their supporters. He ordered the roof at Minute Maid Park to be opened for games three and four of the 2005 World Series, pre-empting the authority held by the Astros. The roof was closed for all prior playoff games and similar weather conditions. For Hurricane Ike in 2008, Selig mandated that the Astros play two home games against the Chicago Cubs in his hometown of Milwaukee despite proximity to the visiting Cubs; the home ballparks for the Texas Rangers and Atlanta Braves were both available to host the games. The Astros subsequently were victims of a no-hitter by Carlos Zambrano and recorded a single hit in the following game. In the midst of the playoff race, this decision and its impact deeply affected the playoff race and seedings with eight teams holding winning records at the moment. The Milwaukee Brewers benefited from these events by qualifying in the playoffs as a Wild Card team, only to lose in the NLDS to the Philadelphia Phillies, the eventual World Series winner. In 2011, Selig also demanded that the Astros move to the American League West as a condition of the sale of the franchise to businessman Jim Crane; the team switched leagues in 2013 in return for $70 million discount in the purchase price.
United States bankruptcy judge Kevin Gross rendered a stern warning to Selig in regards to the 2011 Los Angeles Dodgers ownership dispute. Treating other teams differently in regards to their media contracts drew accusations that Selig did not act in good faith with respect to the Los Angeles Dodgers. Selig rejected the television deal that Frank McCourt negotiated that intended to bring the franchise out of bankruptcy, claiming McCourt violated the Baseball Agreement. In comparison, no action was taken against New York Mets owner Fred Wilpon despite being in a similar position. Gross stated, "Should the Commissioner falter in proving alleged wrongdoing, the Court may allow LAD (Los Angeles Dodgers) to take further, limited discovery." Some critics have used Selig's handling of the Dodgers to point out a double standard in treatment of MLB owners. More specifically in regards to the Mets, critics point out that with Selig's personal relationship with Wilpon has motivated him to stall any possible removal of Wilpon as that club's principal owner. Wilpon eventually sold the Mets to Steve Cohen in 2020, five years after Selig stepped down.
Selig also notably failed to resolve a 6-year conflict between the San Francisco Giants and the Oakland Athletics regarding the Athletics' proposed move to San Jose. Selig established a blue-ribbon panel in 2009 to resolve the dispute; however, despite years to find a resolution, the blue-ribbon panel completely failed to make any progress toward resolving the issue, leading San Jose to sue MLB. The lawsuit, which is currently ongoing, questions the league's anti-trust exemption and its ability to enforce particular clubs' geographic territories.
Term of service
On December 1, 2006, Selig announced that he would be retiring as commissioner of baseball upon the expiration of his contract in 2009. Selig earned $14.5 million from MLB over the timespan October 31, 2005 to October 31, 2006. However, in January 2008, Selig agreed to a three-year contract extension, announcing he planned to retire after the 2012 season. He further decided against retirement, and after a two-year extension for the previous deal was agreed to on January 12, 2012, it was announced that Selig would remain commissioner until the end of the 2014 season.
Post-Commissioner Activities
In 2021, Selig was appointed as "non-voting co-Chair" (with Jane Forbes Clark) for the December 2021 Early Baseball Era Committee meeting, to consider candidates for election to the Hall of Fame whose major contributions to the game took place prior to 1950. The committee elected Bud Fowler and Buck O'Neil.
Notable changes to Major League Baseball
Bud Selig has overseen the following changes in Major League Baseball:
Realignment of teams into three divisions per league, and the introduction of playoff wild card teams (1994)
Interleague play (1997)
Retired Jackie Robinson's uniform number, 42, across all MLB teams (1997)
Two additional franchises: the Arizona Diamondbacks and the Tampa Bay Devil Rays, now the Tampa Bay Rays (1998)
Transfer of the Milwaukee Brewers from the American League to the National League (1998)
Abolition of the American and National league offices and presidencies, and inclusion of all umpiring crews into a common pool for AL and NL games, instead of having separate pools per league (2000)
Unbalanced schedule (2001)
Home field advantage in the World Series granted to the winner of the All Star Game in the same season (2003)
Transfer of Montreal Expos franchise to Washington, D.C., becoming the Washington Nationals (2004)
Dedicating April 15 as Jackie Robinson Day (2004)
Stricter Major League Baseball performance-enhancing drug testing policy (2005)
World Baseball Classic (2006)
Introduction of instant replay in the event of a disputed home run call (2008)
Addition of a second wild-card playoff team in each league (2012)
Transfer of the Houston Astros from the National League to the American League (2013), as a condition of the sale of the team to Jim Crane, resulting in each league having the same number of teams (15) and interleague play throughout the season
Expanded instant replay (2014) and the institution of the manager challenge system
During Selig's terms as executive council chairman (from 1992–1998) and commissioner, new stadiums opened in Arizona, Atlanta, Cincinnati, Cleveland, Colorado, Detroit, Houston, Miami, Milwaukee, Minneapolis, New York City (Flushing, Queens and the Bronx), Philadelphia, Pittsburgh, San Diego, San Francisco, Seattle, Arlington, St. Louis, and Washington, D.C.
Israel Baseball League
Selig and his family served a supportive role on the advisory board of the Israel Baseball League during its inaugural season in 2007. In response to issues with the league's financial management, after the season, the Selig family requested that their names be removed from the list of board members.
Selig Experience
In May 2015, the Milwaukee Brewers honored Bud Selig with the unveiling of the Selig Experience exhibit at American Family Field (formerly Miller Park.) The Selig Experience is a fifteen-minute documentary showing Bud Selig's life and work for the Milwaukee Brewers.
Personal life
Selig has been married twice. He married his first wife, Donna Chaimson, in the 1950s, and they had two daughters: Sari (born 1957) and Wendy (born 1960). The couple divorced in 1976 after 19 years of marriage on the grounds that Selig had been "unduly absenting yourself from the home of the parties and isolating yourself ... in pursuit of your baseball interests to the detriment of your marriage." Chaimson later stated that
the marriage ended because her husband "divorced me and married baseball." Since 1977, Selig has been married to the former Suzanne Steinman, who has a daughter from a previous marriage.
Teaching
In 2009, Selig began teaching as an adjunct professor of sports law and policy at Marquette University Law School. His classes have covered numerous topics, including "the history of collective bargaining and free agency, baseball's antitrust exemption, revenue sharing – as well as finer points of sports law like intellectual property rights, ambush marketing, and why baseball does not allow game footage on YouTube."
In 2010, Selig endowed the Allan H. Selig Chair in the History of Sport and Society in the United States, as well as a Distinguished Lecture Series in Sport and Society at his alma mater, the University of Wisconsin–Madison. The inaugural lecture was given by Adrian Burgos and Prof. Sean Dinces has held the chair since 2013.
In February 2016, Selig joined the Sandra Day O'Connor College of Law at Arizona State University.
Honors
Selig was awarded the U.S. Department of the Army Outstanding Civilian Service Award in April 2015 for supporting soldiers, veterans and their families through his work in Major League Baseball. On April 6, 2015, the Milwaukee Brewers retired uniform number 1 in his honor.
In 2014, Selig was inducted onto the inaugural Milwaukee Brewers Wall of Honor.
On December 4, 2016, it was announced Selig was elected into the National Baseball Hall of Fame Class of 2017. He was formally inducted on July 30, 2017.
In 2016, Selig was honored with the "Lombardi Award of Excellence" from the Vince Lombardi Cancer Foundation. The award was created to honor Coach Lombardi's legacy, and is awarded annually to an individual who exemplifies the spirit of the Coach.
Publications
Foreword to American Jews and America's Game: Voices of a Growing Legacy in Baseball by Larry Ruttman. Lincoln, Nebraska and London, England: University of Nebraska Press, 2013.
See also
Selig v. United States
References
Further reading
This chapter in Ruttman's history, based on a January 16, 2009 interview with Selig conducted for the book, discusses Selig's American, Jewish, baseball, and life experiences from youth to the present.
External links
Official website
MLB.com: Official info
Bud Selig Biography by Baseball Almanac
The Commissioner of Baseball Is on Deck www.nytimes.com
Video Of MLB Commissioner's Speech On The State Of Baseball, February 8, 2007
"Bud Selig: A baseball hero. Really." – Nicholas Thompson, Slate.com, May 5, 2005
1934 births
Living people
20th-century American Jews
20th-century American businesspeople
21st-century American Jews
21st-century American businesspeople
American people of Romanian-Jewish descent
American people of Ukrainian-Jewish descent
Businesspeople from Milwaukee
Jewish American baseball people
Major League Baseball commissioners
Major League Baseball executives
Major League Baseball owners
Major League Baseball people with retired numbers
Major League Baseball team presidents
Military personnel from Milwaukee
Milwaukee Braves owners
Milwaukee Brewers executives
Milwaukee Brewers owners
National Baseball Hall of Fame inductees
Sportspeople from Milwaukee
United States Army soldiers
University of Wisconsin–Madison College of Letters and Science alumni | 7 |
In cryptography, a block cipher is a deterministic algorithm that operates on fixed-length groups of bits, called blocks. Block ciphers are the elementary building blocks of many cryptographic protocols. They are ubiquitous in the storage and exchange of data, where such data is secured and authenticated via encryption.
A block cipher uses blocks as an unvarying transformation. Even a secure block cipher is suitable for the encryption of only a single block of data at a time, using a fixed key. A multitude of modes of operation have been designed to allow their repeated use in a secure way to achieve the security goals of confidentiality and authenticity. However, block ciphers may also feature as building blocks in other cryptographic protocols, such as universal hash functions and pseudorandom number generators.
Definition
A block cipher consists of two paired algorithms, one for encryption, , and the other for decryption, . Both algorithms accept two inputs: an input block of size bits and a key of size bits; and both yield an -bit output block. The decryption algorithm is defined to be the inverse function of encryption, i.e., . More formally, a block cipher is specified by an encryption function
which takes as input a key , of bit length (called the key size), and a bit string , of length (called the block size), and returns a string of bits. is called the plaintext, and is termed the ciphertext. For each , the function () is required to be an invertible mapping on . The inverse for is defined as a function
taking a key and a ciphertext to return a plaintext value , such that
For example, a block cipher encryption algorithm might take a 128-bit block of plaintext as input, and output a corresponding 128-bit block of ciphertext. The exact transformation is controlled using a second input – the secret key. Decryption is similar: the decryption algorithm takes, in this example, a 128-bit block of ciphertext together with the secret key, and yields the original 128-bit block of plain text.
For each key K, EK is a permutation (a bijective mapping) over the set of input blocks. Each key selects one permutation from the set of possible permutations.
History
The modern design of block ciphers is based on the concept of an iterated product cipher. In his seminal 1949 publication, Communication Theory of Secrecy Systems, Claude Shannon analyzed product ciphers and suggested them as a means of effectively improving security by combining simple operations such as substitutions and permutations. Iterated product ciphers carry out encryption in multiple rounds, each of which uses a different subkey derived from the original key. One widespread implementation of such ciphers named a Feistel network after Horst Feistel is notably implemented in the DES cipher. Many other realizations of block ciphers, such as the AES, are classified as substitution–permutation networks.
The root of all cryptographic block formats used within the Payment Card Industry Data Security Standard (PCI DSS) and American National Standards Institute (ANSI) standards lies with the Atalla Key Block (AKB), which was a key innovation of the Atalla Box, the first hardware security module (HSM). It was developed in 1972 by Mohamed M. Atalla, founder of Atalla Corporation (now Utimaco Atalla), and released in 1973. The AKB was a key block, which is required to securely interchange symmetric keys or PINs with other actors in the banking industry. This secure interchange is performed using the AKB format. The Atalla Box protected over 90% of all ATM networks in operation as of 1998, and Atalla products still secure the majority of the world's ATM transactions as of 2014.
The publication of the DES cipher by the United States National Bureau of Standards (subsequently the U.S. National Institute of Standards and Technology, NIST) in 1977 was fundamental in the public understanding of modern block cipher design. It also influenced the academic development of cryptanalytic attacks. Both differential and linear cryptanalysis arose out of studies on DES design. , there is a palette of attack techniques against which a block cipher must be secure, in addition to being robust against brute-force attacks.
Design
Iterated block ciphers
Most block cipher algorithms are classified as iterated block ciphers which means that they transform fixed-size blocks of plaintext into identically sized blocks of ciphertext, via the repeated application of an invertible transformation known as the round function, with each iteration referred to as a round.
Usually, the round function R takes different round keys Ki as a second input, which is derived from the original key:
where is the plaintext and the ciphertext, with r being the number of rounds.
Frequently, key whitening is used in addition to this. At the beginning and the end, the data is modified with key material (often with XOR, but simple arithmetic operations like adding and subtracting are also used):
Given one of the standard iterated block cipher design schemes, it is fairly easy to construct a block cipher that is cryptographically secure, simply by using a large number of rounds. However, this will make the cipher inefficient. Thus, efficiency is the most important additional design criterion for professional ciphers. Further, a good block cipher is designed to avoid side-channel attacks, such as branch prediction and input-dependent memory accesses that might leak secret data via the cache state or the execution time. In addition, the cipher should be concise, for small hardware and software implementations. Finally, the cipher should be easily crypt analyzable, such that it can be shown how many rounds the cipher needs to be reduced to so that the existing cryptographic attacks would work – and, conversely, that it can be shown that the number of actual rounds is large enough to protect against them.
Substitution–permutation networks
One important type of iterated block cipher known as a substitution–permutation network (SPN) takes a block of the plaintext and the key as inputs and applies several alternating rounds consisting of a substitution stage followed by a permutation stage—to produce each block of ciphertext output. The non-linear substitution stage mixes the key bits with those of the plaintext, creating Shannon's confusion. The linear permutation stage then dissipates redundancies, creating diffusion.
A substitution box (S-box) substitutes a small block of input bits with another block of output bits. This substitution must be one-to-one, to ensure invertibility (hence decryption). A secure S-box will have the property that changing one input bit will change about half of the output bits on average, exhibiting what is known as the avalanche effect—i.e. it has the property that each output bit will depend on every input bit.
A permutation box (P-box) is a permutation of all the bits: it takes the outputs of all the S-boxes of one round, permutes the bits, and feeds them into the S-boxes of the next round. A good P-box has the property that the output bits of any S-box are distributed to as many S-box inputs as possible.
At each round, the round key (obtained from the key with some simple operations, for instance, using S-boxes and P-boxes) is combined using some group operation, typically XOR.
Decryption is done by simply reversing the process (using the inverses of the S-boxes and P-boxes and applying the round keys in reversed order).
Feistel ciphers
In a Feistel cipher, the block of plain text to be encrypted is split into two equal-sized halves. The round function is applied to one half, using a subkey, and then the output is XORed with the other half. The two halves are then swapped.
Let be the round function and let
be the sub-keys for the rounds respectively.
Then the basic operation is as follows:
Split the plaintext block into two equal pieces, (, )
For each round , compute
.
Then the ciphertext is .
The decryption of a ciphertext is accomplished by computing for
.
Then is the plaintext again.
One advantage of the Feistel model compared to a substitution–permutation network is that the round function does not have to be invertible.
Lai–Massey ciphers
The Lai–Massey scheme offers security properties similar to those of the Feistel structure. It also shares the advantage that the round function does not have to be invertible. Another similarity is that it also splits the input block into two equal pieces. However, the round function is applied to the difference between the two, and the result is then added to both half blocks.
Let be the round function and a half-round function and let be the sub-keys for the rounds respectively.
Then the basic operation is as follows:
Split the plaintext block into two equal pieces, (, )
For each round , compute
where and
Then the ciphertext is .
The decryption of a ciphertext is accomplished by computing for
where and
Then is the plaintext again.
Operations
ARX (add–rotate–XOR)
Many modern block ciphers and hashes are ARX algorithms—their round function involves only three operations: (A) modular addition, (R) rotation with fixed rotation amounts, and (X) XOR. Examples include ChaCha20, Speck, XXTEA, and BLAKE. Many authors draw an ARX network, a kind of data flow diagram, to illustrate such a round function.
These ARX operations are popular because they are relatively fast and cheap in hardware and software, their implementation can be made extremely simple, and also because they run in constant time, and therefore are immune to timing attacks. The rotational cryptanalysis technique attempts to attack such round functions.
Other operations
Other operations often used in block ciphers include data-dependent rotations as in RC5 and RC6, a substitution box implemented as a lookup table as in Data Encryption Standard and Advanced Encryption Standard, a permutation box, and multiplication as in IDEA.
Modes of operation
A block cipher by itself allows encryption only of a single data block of the cipher's block length. For a variable-length message, the data must first be partitioned into separate cipher blocks. In the simplest case, known as electronic codebook (ECB) mode, a message is first split into separate blocks of the cipher's block size (possibly extending the last block with padding bits), and then each block is encrypted and decrypted independently. However, such a naive method is generally insecure because equal plaintext blocks will always generate equal ciphertext blocks (for the same key), so patterns in the plaintext message become evident in the ciphertext output.
To overcome this limitation, several so-called block cipher modes of operation have been designed and specified in national recommendations such as NIST 800-38A and BSI TR-02102 and international standards such as ISO/IEC 10116. The general concept is to use randomization of the plaintext data based on an additional input value, frequently called an initialization vector, to create what is termed probabilistic encryption. In the popular cipher block chaining (CBC) mode, for encryption to be secure the initialization vector passed along with the plaintext message must be a random or pseudo-random value, which is added in an exclusive-or manner to the first plaintext block before it is encrypted. The resultant ciphertext block is then used as the new initialization vector for the next plaintext block. In the cipher feedback (CFB) mode, which emulates a self-synchronizing stream cipher, the initialization vector is first encrypted and then added to the plaintext block. The output feedback (OFB) mode repeatedly encrypts the initialization vector to create a key stream for the emulation of a synchronous stream cipher. The newer counter (CTR) mode similarly creates a key stream, but has the advantage of only needing unique and not (pseudo-)random values as initialization vectors; the needed randomness is derived internally by using the initialization vector as a block counter and encrypting this counter for each block.
From a security-theoretic point of view, modes of operation must provide what is known as semantic security. Informally, it means that given some ciphertext under an unknown key one cannot practically derive any information from the ciphertext (other than the length of the message) over what one would have known without seeing the ciphertext. It has been shown that all of the modes discussed above, with the exception of the ECB mode, provide this property under so-called chosen plaintext attacks.
Padding
Some modes such as the CBC mode only operate on complete plaintext blocks. Simply extending the last block of a message with zero bits is insufficient since it does not allow a receiver to easily distinguish messages that differ only in the number of padding bits. More importantly, such a simple solution gives rise to very efficient padding oracle attacks. A suitable padding scheme is therefore needed to extend the last plaintext block to the cipher's block size. While many popular schemes described in standards and in the literature have been shown to be vulnerable to padding oracle attacks, a solution that adds a one-bit and then extends the last block with zero-bits, standardized as "padding method 2" in ISO/IEC 9797-1, has been proven secure against these attacks.
Cryptanalysis
Brute-force attacks
This property results in the cipher's security degrading quadratically, and needs to be taken into account when selecting a block size. There is a trade-off though as large block sizes can result in the algorithm becoming inefficient to operate. Earlier block ciphers such as the DES have typically selected a 64-bit block size, while newer designs such as the AES support block sizes of 128 bits or more, with some ciphers supporting a range of different block sizes.
Differential cryptanalysis
Linear cryptanalysis
A linear cryptanalysis is a form of cryptanalysis based on finding affine approximations to the action of a cipher. Linear cryptanalysis is one of the two most widely used attacks on block ciphers; the other being differential cryptanalysis.
The discovery is attributed to Mitsuru Matsui, who first applied the technique to the FEAL cipher (Matsui and Yamagishi, 1992).
Integral cryptanalysis
Integral cryptanalysis is a cryptanalytic attack that is particularly applicable to block ciphers based on substitution–permutation networks. Unlike differential cryptanalysis, which uses pairs of chosen plaintexts with a fixed XOR difference, integral cryptanalysis uses sets or even multisets of chosen plaintexts of which part is held constant and another part varies through all possibilities. For example, an attack might use 256 chosen plaintexts that have all but 8 of their bits the same, but all differ in those 8 bits. Such a set necessarily has an XOR sum of 0, and the XOR sums of the corresponding sets of ciphertexts provide information about the cipher's operation. This contrast between the differences between pairs of texts and the sums of larger sets of texts inspired the name "integral cryptanalysis", borrowing the terminology of calculus.
Other techniques
In addition to linear and differential cryptanalysis, there is a growing catalog of attacks: truncated differential cryptanalysis, partial differential cryptanalysis, integral cryptanalysis, which encompasses square and integral attacks, slide attacks, boomerang attacks, the XSL attack, impossible differential cryptanalysis, and algebraic attacks. For a new block cipher design to have any credibility, it must demonstrate evidence of security against known attacks.
Provable security
When a block cipher is used in a given mode of operation, the resulting algorithm should ideally be about as secure as the block cipher itself. ECB (discussed above) emphatically lacks this property: regardless of how secure the underlying block cipher is, ECB mode can easily be attacked. On the other hand, CBC mode can be proven to be secure under the assumption that the underlying block cipher is likewise secure. Note, however, that making statements like this requires formal mathematical definitions for what it means for an encryption algorithm or a block cipher to "be secure". This section describes two common notions for what properties a block cipher should have. Each corresponds to a mathematical model that can be used to prove properties of higher-level algorithms, such as CBC.
This general approach to cryptography – proving higher-level algorithms (such as CBC) are secure under explicitly stated assumptions regarding their components (such as a block cipher) – is known as provable security.
Standard model
Informally, a block cipher is secure in the standard model if an attacker cannot tell the difference between the block cipher (equipped with a random key) and a random permutation.
To be a bit more precise, let E be an n-bit block cipher. We imagine the following game:
The person running the game flips a coin.
If the coin lands on heads, he chooses a random key K and defines the function f = EK.
If the coin lands on tails, he chooses a random permutation on the set of n-bit strings and defines the function f = .
The attacker chooses an n-bit string X, and the person running the game tells him the value of f(X).
Step 2 is repeated a total of q times. (Each of these q interactions is a query.)
The attacker guesses how the coin landed. He wins if his guess is correct.
The attacker, which we can model as an algorithm, is called an adversary. The function f (which the adversary was able to query) is called an oracle.
Note that an adversary can trivially ensure a 50% chance of winning simply by guessing at random (or even by, for example, always guessing "heads"). Therefore, let PE(A) denote the probability that adversary A wins this game against E, and define the advantage of A as 2(PE(A) − 1/2). It follows that if A guesses randomly, its advantage will be 0; on the other hand, if A always wins, then its advantage is 1. The block cipher E is a pseudo-random permutation (PRP) if no adversary has an advantage significantly greater than 0, given specified restrictions on q and the adversary's running time. If in Step 2 above adversaries have the option of learning f−1(X) instead of f(X) (but still have only small advantages) then E is a strong PRP (SPRP). An adversary is non-adaptive if it chooses all q values for X before the game begins (that is, it does not use any information gleaned from previous queries to choose each X as it goes).
These definitions have proven useful for analyzing various modes of operation. For example, one can define a similar game for measuring the security of a block cipher-based encryption algorithm, and then try to show (through a reduction argument) that the probability of an adversary winning this new game is not much more than PE(A) for some A. (The reduction typically provides limits on q and the running time of A.) Equivalently, if PE(A) is small for all relevant A, then no attacker has a significant probability of winning the new game. This formalizes the idea that the higher-level algorithm inherits the block cipher's security.
Ideal cipher model
Practical evaluation
Block ciphers may be evaluated according to multiple criteria in practice. Common factors include:
Key parameters, such as its key size and block size, both of which provide an upper bound on the security of the cipher.
The estimated security level, which is based on the confidence gained in the block cipher design after it has largely withstood major efforts in cryptanalysis over time, the design's mathematical soundness, and the existence of practical or certificational attacks.
The cipher's complexity and its suitability for implementation in hardware or software. Hardware implementations may measure the complexity in terms of gate count or energy consumption, which are important parameters for resource-constrained devices.
The cipher's performance in terms of processing throughput on various platforms, including its memory requirements.
The cost of the cipher refers to licensing requirements that may apply due to intellectual property rights.
The flexibility of the cipher includes its ability to support multiple key sizes and block lengths.
Notable block ciphers
Lucifer / DES
Lucifer is generally considered to be the first civilian block cipher, developed at IBM in the 1970s based on work done by Horst Feistel. A revised version of the algorithm was adopted as a U.S. government Federal Information Processing Standard: FIPS PUB 46 Data Encryption Standard (DES). It was chosen by the U.S. National Bureau of Standards (NBS) after a public invitation for submissions and some internal changes by NBS (and, potentially, the NSA). DES was publicly released in 1976 and has been widely used.
DES was designed to, among other things, resist a certain cryptanalytic attack known to the NSA and rediscovered by IBM, though unknown publicly until rediscovered again and published by Eli Biham and Adi Shamir in the late 1980s. The technique is called differential cryptanalysis and remains one of the few general attacks against block ciphers; linear cryptanalysis is another but may have been unknown even to the NSA, prior to its publication by Mitsuru Matsui. DES prompted a large amount of other work and publications in cryptography and cryptanalysis in the open community and it inspired many new cipher designs.
DES has a block size of 64 bits and a key size of 56 bits. 64-bit blocks became common in block cipher designs after DES. Key length depended on several factors, including government regulation. Many observers in the 1970s commented that the 56-bit key length used for DES was too short. As time went on, its inadequacy became apparent, especially after a special-purpose machine designed to break DES was demonstrated in 1998 by the Electronic Frontier Foundation. An extension to DES, Triple DES, triple-encrypts each block with either two independent keys (112-bit key and 80-bit security) or three independent keys (168-bit key and 112-bit security). It was widely adopted as a replacement. As of 2011, the three-key version is still considered secure, though the National Institute of Standards and Technology (NIST) standards no longer permit the use of the two-key version in new applications, due to its 80-bit security level.
IDEA
The International Data Encryption Algorithm (IDEA) is a block cipher designed by James Massey of ETH Zurich and Xuejia Lai; it was first described in 1991, as an intended replacement for DES.
IDEA operates on 64-bit blocks using a 128-bit key and consists of a series of eight identical transformations (a round) and an output transformation (the half-round). The processes for encryption and decryption are similar. IDEA derives much of its security by interleaving operations from different groups – modular addition and multiplication, and bitwise exclusive or (XOR) – which are algebraically "incompatible" in some sense.
The designers analysed IDEA to measure its strength against differential cryptanalysis and concluded that it is immune under certain assumptions. No successful linear or algebraic weaknesses have been reported. , the best attack which applies to all keys can break a full 8.5-round IDEA using a narrow-bicliques attack about four times faster than brute force.
RC5
RC5 is a block cipher designed by Ronald Rivest in 1994 which, unlike many other ciphers, has a variable block size (32, 64, or 128 bits), key size (0 to 2040 bits), and a number of rounds (0 to 255). The original suggested choice of parameters was a block size of 64 bits, a 128-bit key, and 12 rounds.
A key feature of RC5 is the use of data-dependent rotations; one of the goals of RC5 was to prompt the study and evaluation of such operations as a cryptographic primitive. RC5 also consists of a number of modular additions and XORs. The general structure of the algorithm is a Feistel-like a network. The encryption and decryption routines can be specified in a few lines of code. The key schedule, however, is more complex, expanding the key using an essentially one-way function with the binary expansions of both e and the golden ratio as sources of "nothing up my sleeve numbers". The tantalizing simplicity of the algorithm together with the novelty of the data-dependent rotations has made RC5 an attractive object of study for cryptanalysts.
12-round RC5 (with 64-bit blocks) is susceptible to a differential attack using 244 chosen plaintexts. 18–20 rounds are suggested as sufficient protection.
Rijndael / AES
The Rijndael cipher developed by Belgian cryptographers, Joan Daemen and Vincent Rijmen was one of the competing designs to replace DES. It won the 5-year public competition to become the AES, (Advanced Encryption Standard).
Adopted by NIST in 2001, AES has a fixed block size of 128 bits and a key size of 128, 192, or 256 bits, whereas Rijndael can be specified with block and key sizes in any multiple of 32 bits, with a minimum of 128 bits. The block size has a maximum of 256 bits, but the key size has no theoretical maximum. AES operates on a 4×4 column-major order matrix of bytes, termed the state (versions of Rijndael with a larger block size have additional columns in the state).
Blowfish
Blowfish is a block cipher, designed in 1993 by Bruce Schneier and included in a large number of cipher suites and encryption products. Blowfish has a 64-bit block size and a variable key length from 1 bit up to 448 bits. It is a 16-round Feistel cipher and uses large key-dependent S-boxes. Notable features of the design include the key-dependent S-boxes and a highly complex key schedule.
It was designed as a general-purpose algorithm, intended as an alternative to the aging DES and free of the problems and constraints associated with other algorithms. At the time Blowfish was released, many other designs were proprietary, encumbered by patents, or were commercial/government secrets. Schneier has stated that "Blowfish is unpatented, and will remain so in all countries. The algorithm is hereby placed in the public domain, and can be freely used by anyone." The same applies to Twofish, a successor algorithm from Schneier.
Generalizations
Tweakable block ciphers
M. Liskov, R. Rivest, and D. Wagner have described a generalized version of block ciphers called "tweakable" block ciphers. A tweakable block cipher accepts a second input called the tweak along with its usual plaintext or ciphertext input. The tweak, along with the key, selects the permutation computed by the cipher. If changing tweaks is sufficiently lightweight (compared with a usually fairly expensive key setup operation), then some interesting new operation modes become possible. The disk encryption theory article describes some of these modes.
Format-preserving encryption
Block ciphers traditionally work over a binary alphabet. That is, both the input and the output are binary strings, consisting of n zeroes and ones. In some situations, however, one may wish to have a block cipher that works over some other alphabet; for example, encrypting 16-digit credit card numbers in such a way that the ciphertext is also a 16-digit number might facilitate adding an encryption layer to legacy software. This is an example of format-preserving encryption. More generally, format-preserving encryption requires a keyed permutation on some finite language. This makes format-preserving encryption schemes a natural generalization of (tweakable) block ciphers. In contrast, traditional encryption schemes, such as CBC, are not permutations because the same plaintext can encrypt multiple different ciphertexts, even when using a fixed key.
Relation to other cryptographic primitives
Block ciphers can be used to build other cryptographic primitives, such as those below. For these other primitives to be cryptographically secure, care has to be taken to build them the right way.
Stream ciphers can be built using block ciphers. OFB mode and CTR mode are block modes that turn a block cipher into a stream cipher.
Cryptographic hash functions can be built using block ciphers. See the one-way compression function for descriptions of several such methods. The methods resemble the block cipher modes of operation usually used for encryption.
Cryptographically secure pseudorandom number generators (CSPRNGs) can be built using block ciphers.
Secure pseudorandom permutations of arbitrarily sized finite sets can be constructed with block ciphers; see Format-Preserving Encryption.
A publicly known unpredictable permutation combined with key whitening is enough to construct a block cipher -- such as the single-key Even–Mansour cipher, perhaps the simplest possible provably secure block cipher.
Message authentication codes (MACs) are often built from block ciphers. CBC-MAC, OMAC, and PMAC are such MACs.
Authenticated encryption is also built from block ciphers. It means to both encrypt and MAC at the same time. That is to both provide confidentiality and authentication. CCM, EAX, GCM, and OCB are such authenticated encryption modes.
Just as block ciphers can be used to build hash functions, like SHA-1 and SHA-2 are based on block ciphers which are also used independently as SHACAL, hash functions can be used to build block ciphers. Examples of such block ciphers are BEAR and LION.
See also
Cipher security summary
Topics in cryptography
XOR cipher
References
Further reading
External links
A list of many symmetric algorithms, the majority of which are block ciphers.
The block cipher lounge
What is a block cipher? from RSA FAQ
Block Cipher based on Gold Sequences and Chaotic Logistic Tent System
Cryptographic primitives
Arab inventions
Egyptian inventions | 16 |
Wireless broadband is a telecommunications technology that provides high-speed wireless Internet access or computer networking access over a wide area. The term encompasses both fixed and mobile broadband.
The term broadband
Originally the word "broadband" had a technical meaning, but became a marketing term for any kind of relatively high-speed computer network or Internet access technology.
According to the 802.16-2004 standard, broadband means "having instantaneous bandwidths greater than 1 MHz and supporting data rates greater than about 1.5 Mbit/s."
The Federal Communications Commission (FCC) recently re-defined the definition to mean download speeds of at least 25 Mbit/s and upload speeds of at least 3 Mbit/s.
Technology and speeds
A wireless broadband network is an outdoor fixed and/or mobile wireless network providing point-to-multipoint or point-to-point terrestrial wireless links for broadband services.
Wireless networks can feature data rates exceeding 1 Gbit/s. Many fixed wireless networks are exclusively half-duplex (HDX), however, some licensed and unlicensed systems can also operate at full-duplex (FDX) allowing communication in both directions simultaneously.
Outdoor fixed wireless broadband networks commonly utilize a priority TDMA based protocol in order to divide communication into timeslots. This timeslot technique eliminates many of the issues common to 802.11 Wi-Fi protocol in outdoor networks such as the hidden node problem.
Few wireless Internet service providers (WISPs) provide download speeds of over 100 Mbit/s; most broadband wireless access (BWA) services are estimated to have a range of from a tower. Technologies used include Local Multipoint Distribution Service (LMDS) and Multichannel Multipoint Distribution Service (MMDS), as well as heavy use of the industrial, scientific and medical (ISM) radio bands and one particular access technology was standardized by IEEE 802.16, with products known as WiMAX.
WiMAX is highly popular in Europe but has not met full acceptance in the United States because cost of deployment does not meet return on investment figures. In 2005 the Federal Communications Commission adopted a Report and Order that revised the FCC's rules to open the 3650 MHz band for terrestrial wireless broadband operations.
Another system that is popular with cable internet service providers uses point-to-multipoint wireless links that extend the existing wired network using a transparent radio connection. This allows the same DOCSIS modems to be used for both wired and wireless customers.
Development of Wireless Broadband in the United States
On November 14, 2007 the Commission released Public Notice DA 07–4605 in which the Wireless Telecommunications Bureau announced the start date for licensing and registration process for the 3650–3700 MHz band.
In 2010 the FCC adopted the TV White Space Rules (TVWS) and allowed some of the better no line of sight frequency (700 MHz) into the FCC Part-15 Rules. The Wireless Internet Service Providers Association, a national association of WISPs, petitioned the FCC and won.
Initially, WISPs were only found in rural areas not covered by cable or DSL. These early WISPs would employ a high-capacity T-carrier, such as a T1 or DS3 connection, and then broadcast the signal from a high elevation, such as at the top of a water tower. To receive this type of Internet connection, consumers mount a small dish to the roof of their home or office and point it to the transmitter. Line of sight is usually necessary for WISPs operating in the 2.4 and 5 GHz bands with 900 MHz offering better NLOS (non-line-of-sight) performance.
Residential Wireless Internet
Providers of fixed wireless broadband services typically provide equipment to customers and install a small antenna or dish somewhere on the roof. This equipment is usually deployed as a service and maintained by the company providing that service. Fixed wireless services have become particularly popular in many rural areas where cable, DSL or other typical home internet services are not available.
Business Wireless Internet
Many companies in the US and worldwide have started using wireless alternatives to incumbent and local providers for internet and voice service. These providers tend to offer competitive services and options in areas where there is a difficulty getting affordable Ethernet connections from terrestrial providers such as ATT, Comcast, Verizon and others. Also, companies looking for full diversity between carriers for critical uptime requirements may seek wireless alternatives to local options.
Demand for spectrum
To cope with increased demand for wireless broadband, increased spectrum would be needed. Studies began in 2009, and while some unused spectrum was available, it appeared broadcasters would have to give up at least some spectrum. This led to strong objections from the broadcasting community. In 2013, auctions were planned, and for now any action by broadcasters is voluntary.
Mobile wireless broadband
Called mobile broadband, wireless broadband technologies include services from mobile phone service providers such as Verizon Wireless, Sprint Corporation, and AT&T Mobility, and T-Mobile which allow a more mobile version of Internet access. Consumers can purchase a PC card, laptop card, USB equipment, or mobile broadband modem, to connect their PC or laptop to the Internet via cell phone towers. This type of connection would be stable in almost any area that could also receive a strong cell phone connection. These connections can cost more for portable convenience as well as having speed limitations in all but urban environments.
On June 2, 2010, after months of discussion, AT&T became the first wireless Internet provider in the US to announce plans to charge according to usage. As the only iPhone service in the United States, AT&T experienced the problem of heavy Internet use more than other providers. About 3 percent of AT&T smart phone customers account for 40 percent of the technology's use. 98 percent of the company's customers use less than 2 gigabytes (4000 page views, 10,000 emails or 200 minutes of streaming video), the limit under the $25 monthly plan, and 65 percent use less than 200 megabytes, the limit for the $15 plan. For each gigabyte in excess of the limit, customers would be charged $10 a month starting June 7, 2010, though existing customers would not be required to change from the $30 a month unlimited service plan. The new plan would become a requirement for those upgrading to the new iPhone technology later in the summer.
Licensing
A wireless connection can be either licensed or unlicensed. In the US, licensed connections use a private spectrum the user has secured rights to from the Federal Communications Commission (FCC). The unlicensed mobile wireless broadband, in US operates on CBRS Which has three tiers. Tier 1 – Incumbent Access, reserved for US Federals Government, Tier 2 – Priority Access, a paid access with priority on the spectrum, Tier 3 – General Authorized Access (GAA), a shared spectrum. In other countries, spectrum is licensed from the country's national radio communications authority (such as the ACMA in Australia or Nigerian Communications Commission in Nigeria (NCC)). Licensing is usually expensive and often reserved for large companies who wish to guarantee private access to spectrum for use in point to point communication. Because of this, most wireless ISP's use unlicensed spectrum which is publicly shared.
See also
Clearwire
CorDECT
HIPERMAN
Skyriver, provider in California
WiBro, provider in South Korea
iBurst
802.20
Connect card
Policies promoting wireless broadband
References
External links
Wireless Internet Service Provider Association
Wireless Internet Service Provider Ontario
Wireless networking
Broadband | 5 |
The Booch method is a method for object-oriented software development. It is composed of an object modeling language, an iterative object-oriented development process, and a set of recommended practices.
The method was authored by Grady Booch when he was working for Rational Software (acquired by IBM), published in 1992 and revised in 1994. It was widely used in software engineering for object-oriented analysis and design and benefited from ample documentation and support tools.
The notation aspect of the Booch methodology was superseded by the Unified Modeling Language (UML), which features graphical elements from the Booch method along with elements from the object-modeling technique (OMT) and object-oriented software engineering (OOSE). Methodological aspects of the Booch method have been incorporated into several methodologies and processes, the primary such methodology being the Rational Unified Process (RUP).
Content of the method
The Booch notation is characterized by cloud shapes to represent classes and distinguishes the following diagrams:
The process is organized around a macro and a micro process.
The macro process identifies the following activities cycle:
Conceptualization : establish core requirements
Analysis : develop a model of the desired behavior
Design : create an architecture
Evolution: for the implementation
Maintenance : for evolution after the delivery
The micro process is applied to new classes, structures or behaviors that emerge during the macro process. It is made of the following cycle:
Identification of classes and objects
Identification of their semantics
Identification of their relationships
Specification of their interfaces and implementation
References
External links
Class diagrams, Object diagrams, State Event diagrams and Module diagrams.
The Booch Method of Object-Oriented Analysis & Design
Software design
Object-oriented programming
Programming principles
de:Grady Booch#Booch-Notation | 5 |
The Battle of the Nile (also known as the Battle of Aboukir Bay; ) was a major naval battle fought between the British Royal Navy and the Navy of the French Republic at Aboukir Bay on the Mediterranean coast off the Nile Delta of Egypt from the 1st to the 3rd of August 1798. The battle was the climax of a naval campaign that had raged across the Mediterranean during the previous three months, as a large French convoy sailed from Toulon to Alexandria carrying an expeditionary force under General Napoleon Bonaparte. The British fleet was led in the battle by Rear-Admiral Sir Horatio Nelson; they decisively defeated the French under Vice-Admiral François-Paul Brueys d'Aigalliers.
Bonaparte sought to invade Egypt as the first step in a campaign against British India, as part of a greater effort to drive Britain out of the French Revolutionary Wars. As Bonaparte's fleet crossed the Mediterranean, it was pursued by a British force under Nelson who had been sent from the British fleet in the Tagus to learn the purpose of the French expedition and to defeat it. He chased the French for more than two months, on several occasions missing them only by a matter of hours. Bonaparte was aware of Nelson's pursuit and enforced absolute secrecy about his destination. He was able to capture Malta and then land in Egypt without interception by the British naval forces.
With the French army ashore, the French fleet anchored in Aboukir Bay, northeast of Alexandria. Commander Vice-Admiral François-Paul Brueys d'Aigalliers believed that he had established a formidable defensive position. The British fleet arrived off Egypt on 1 August and discovered Brueys's dispositions, and Nelson ordered an immediate attack. His ships advanced on the French line and split into two divisions as they approached. One cut across the head of the line and passed between the anchored French and the shore, while the other engaged the seaward side of the French fleet.
Trapped in a crossfire, the leading French warships were battered into surrender during a fierce three-hour battle, although the centre of the line held out for a while until more British ships were able to join the attack. At 22:00, the French flagship exploded which prompted the rear division of the French fleet to attempt to break out of the bay. With Brueys dead and his vanguard and centre defeated, only two ships of the line and two frigates escaped from a total of 17 ships engaged.
The battle reversed the strategic situation between the two nations' forces in the Mediterranean and entrenched the Royal Navy in the dominant position that it retained for the rest of the Napoleonic Wars. It also encouraged other European countries to turn against France, and was a factor in the outbreak of the War of the Second Coalition. Bonaparte's army was trapped in Egypt, and Royal Navy dominance off the Syrian coast contributed significantly to the French defeat at the siege of Acre in 1799 which preceded Bonaparte's abandonment of Egypt and return to Europe. Nelson had been wounded in the battle, and he was proclaimed a hero across Europe and was subsequently made Baron Nelson—although he was privately dissatisfied with his rewards. His captains were also highly praised and went on to form the nucleus of the legendary Nelson's Band of Brothers. The legend of the battle has remained prominent in the popular consciousness, with perhaps the best-known representation being Felicia Hemans' 1826 poem Casabianca.
Background
Napoleon Bonaparte's victories in northern Italy over the Austrian Empire helped secure victory for the French in the War of the First Coalition in 1797, and Great Britain remained the only major European power still at war with the French Republic. The French Directory investigated a number of strategic options to counter British opposition, including projected invasions of Ireland and Britain and the expansion of the French Navy to challenge the Royal Navy at sea. Despite significant efforts, British control of Northern European waters rendered these ambitions impractical in the short term, and the Royal Navy remained firmly in control of the Atlantic Ocean. However, the French navy was dominant in the Mediterranean, following the withdrawal of the British fleet after the outbreak of war between Britain and Spain in 1796. This allowed Bonaparte to propose an invasion of Egypt as an alternative to confronting Britain directly, believing that the British would be too distracted by an imminent Irish uprising to intervene in the Mediterranean.
Bonaparte believed that, by establishing a permanent presence in Egypt (nominally part of the neutral Ottoman Empire), the French would obtain a staging point for future operations against British India, possibly by means of an alliance with the Tipu Sultan of Seringapatam, that might successfully drive the British out of the war. The campaign would sever the chain of communication that connected Britain with India, an essential part of the British Empire whose trade generated the wealth that Britain required to prosecute the war successfully. The French Directory agreed with Bonaparte's plans, although a major factor in their decision was a desire to see the politically ambitious Bonaparte and the fiercely loyal veterans of his Italian campaigns travel as far from France as possible. During the spring of 1798, Bonaparte assembled more than 35,000 soldiers in Mediterranean France and Italy and developed a powerful fleet at Toulon. He also formed the Commission des Sciences et des Arts, a body of scientists and engineers intended to establish a French colony in Egypt. Napoleon kept the destination of the expedition top secret—most of the army's officers did not know of its target, and Bonaparte did not publicly reveal his goal until the first stage of the expedition was complete.
Mediterranean campaign
Bonaparte's armada sailed from Toulon on 19 May, making rapid progress through the Ligurian Sea and collecting more ships at Genoa, before sailing southwards along the Sardinian coast and passing Sicily on 7 June. On 9 June, the fleet arrived off Malta, then under the ownership of the Knights of St. John of Jerusalem, ruled by Grand Master Ferdinand von Hompesch zu Bolheim. Bonaparte demanded that his fleet be permitted entry to the fortified harbour of Valletta. When the Knights refused, the French general responded by ordering a large scale invasion of the Maltese Islands, overrunning the defenders after 24 hours of skirmishing. The Knights formally surrendered on 12 June and, in exchange for substantial financial compensation, handed the islands and all of their resources over to Bonaparte, including the extensive property of the Roman Catholic Church on Malta. Within a week, Bonaparte had resupplied his ships, and on 19 June, his fleet departed for Alexandria in the direction of Crete, leaving 4,000 men at Valletta under General Claude-Henri Vaubois to ensure French control of the islands.
While Bonaparte was sailing to Malta, the Royal Navy re-entered the Mediterranean for the first time in more than a year. Alarmed by reports of French preparations on the Mediterranean coast, Lord Spencer at the Admiralty sent a message to Vice-Admiral Earl St. Vincent, commander of the Mediterranean Fleet based in the Tagus, to despatch a squadron to investigate. This squadron, consisting of three ships of the line and three frigates, was entrusted to Rear-Admiral Sir Horatio Nelson.
Nelson was a highly experienced officer who had been blinded in one eye during fighting in Corsica in 1794 and subsequently commended for his capture of two Spanish ships of the line at the Battle of Cape St. Vincent in February 1797. In July 1797, he lost an arm at the Battle of Santa Cruz de Tenerife and had been forced to return to Britain to recuperate. Returning to the fleet at the Tagus in late April 1798, he was ordered to collect the squadron stationed at Gibraltar and sail for the Ligurian Sea. On 21 May, as Nelson's squadron approached Toulon, it was struck by a fierce gale and Nelson's flagship, , lost its topmasts and was almost wrecked on the Corsican coast. The remainder of the squadron was scattered. The ships of the line sheltered at San Pietro Island off Sardinia; the frigates were blown to the west and failed to return.
On 7 June, following hasty repairs to his flagship, a fleet consisting of ten ships of the line and a fourth-rate joined Nelson off Toulon. The fleet, under the command of Captain Thomas Troubridge, had been sent by Earl St. Vincent to reinforce Nelson, with orders that he was to pursue and intercept the Toulon convoy. Although he now had enough ships to challenge the French fleet, Nelson suffered two great disadvantages: He had no intelligence regarding the destination of the French, and no frigates to scout ahead of his force. Striking southwards in the hope of collecting information about French movements, Nelson's ships stopped at Elba and Naples, where the British ambassador, Sir William Hamilton, reported that the French fleet had passed Sicily headed in the direction of Malta. Despite pleas from Nelson and Hamilton, King Ferdinand of Naples refused to lend his frigates to the British fleet, fearing French reprisals. On 22 June, a brig sailing from Ragusa brought Nelson the news that the French had sailed eastwards from Malta on 16 June. After conferring with his captains, the admiral decided that the French target must be Egypt and set off in pursuit. Incorrectly believing the French to be five days ahead rather than two, Nelson insisted on a direct route to Alexandria without deviation.
On the evening of 22 June, Nelson's fleet passed the French in the darkness, overtaking the slow invasion convoy without realising how close they were to their target. Making rapid time on a direct route, Nelson reached Alexandria on 28 June and discovered that the French were not there. After a meeting with the suspicious Ottoman commander, Sayyid Muhammad Kurayyim, Nelson ordered the British fleet northwards, reaching the coast of Anatolia on 4 July and turning westwards back towards Sicily. Nelson had missed the French by less than a day—the scouts of the French fleet arrived off Alexandria in the evening of 29 June.
Concerned by his near encounter with Nelson, Bonaparte ordered an immediate invasion, his troops coming ashore in a poorly managed amphibious operation in which at least 20 drowned. Marching along the coast, the French army stormed Alexandria and captured the city, after which Bonaparte led the main force of his army inland. He instructed his naval commander, Vice-Admiral François-Paul Brueys D'Aigalliers, to anchor in Alexandria harbour, but naval surveyors reported that the channel into the harbour was too shallow and narrow for the larger ships of the French fleet. As a result, the French selected an alternative anchorage at Aboukir Bay, northeast of Alexandria.
Nelson's fleet reached Syracuse in Sicily on 19 July and took on essential supplies. There the admiral wrote letters describing the events of the previous months: "It is an old saying, 'the Devil's children have the Devil's luck.' I cannot find, or at this moment learn, beyond vague conjecture where the French fleet are gone to. All my ill fortune, hitherto, has proceeded from want of frigates." Meanwhile, the French were securing Egypt by the Battle of the Pyramids. By 24 July, the British fleet was resupplied and, having determined that the French must be somewhere in the Eastern Mediterranean, Nelson sailed again in the direction of the Morea. On 28 July, at Coron, Nelson finally obtained intelligence describing the French attack on Egypt and turned south across the Mediterranean. His scouts, and , sighted the French transport fleet at Alexandria on the afternoon of 1 August.
Aboukir Bay
When Alexandria harbour had proved inadequate for his fleet, Brueys had gathered his captains and discussed their options. Bonaparte had ordered the fleet to anchor in Aboukir Bay, a shallow and exposed anchorage, but had supplemented the orders with the suggestion that, if Aboukir Bay was too dangerous, Brueys could sail north to Corfu, leaving only the transports and a handful of lighter warships at Alexandria. Brueys refused, in the belief that his squadron could provide essential support to the French army on shore, and called his captains aboard his 120-gun flagship to discuss their response should Nelson discover the fleet in its anchorage. Despite vocal opposition from Contre-amiral Armand Blanquet, who insisted that the fleet would be best able to respond in open water, the rest of the captains agreed that anchoring in a line of battle inside the bay presented the strongest tactic for confronting Nelson. It is possible that Bonaparte envisaged Aboukir Bay as a temporary anchorage: on 27 July, he expressed the expectation that Brueys had already transferred his ships to Alexandria, and three days later, he issued orders for the fleet to make for Corfu in preparation for naval operations against the Ottoman territories in the Balkans, although Bedouin partisans intercepted and killed the courier carrying the instructions.
Aboukir Bay is a coastal indentation across, stretching from the village of Abu Qir in the west to the town of Rosetta to the east, where one of the mouths of the River Nile empties into the Mediterranean. In 1798, the bay was protected at its western end by extensive rocky shoals which ran into the bay from a promontory guarded by Aboukir Castle. A small fort situated on an island among the rocks protected the shoals. The fort was garrisoned by French soldiers and armed with at least four cannon and two heavy mortars. Brueys had augmented the fort with his bomb vessels and gunboats, anchored among the rocks to the west of the island in a position to give support to the head of the French line. Further shoals ran unevenly to the south of the island and extended across the bay in a rough semicircle approximately from the shore. These shoals were too shallow to permit the passage of larger warships, and so Brueys ordered his thirteen ships of the line to form up in a line of battle following the northeastern edge of the shoals to the south of the island, a position that allowed the ships to disembark supplies from their port sides while covering the landings with their starboard batteries. Orders were issued for each ship to attach strong cables to the bow and stern of their neighbours, which would effectively turn the line into a long battery forming a theoretically impregnable barrier. Brueys positioned a second, inner line of four frigates approximately west of the main line, roughly halfway between the line and the shoal. The van of the French line was led by , positioned southeast of Aboukir Island and about from the edge of the shoals that surrounded the island. The line stretched southeast, with the centre bowed seawards away from the shoal. The French ships were spaced at intervals of and the whole line was long, with the flagship Orient at the centre and two large 80-gun ships anchored on either side. The rear division of the line was under the command of Contre-amiral Pierre-Charles Villeneuve in .
In deploying his ships in this way, Brueys hoped that the British would be forced by the shoals to attack his strong centre and rear, allowing his van to use the prevailing northeasterly wind to counterattack the British once they were engaged. However, he had made a serious misjudgement: he had left enough room between Guerrier and the shoals for an enemy ship to cut across the head of the French line and proceed between the shoals and the French ships, allowing the unsupported vanguard to be caught in a crossfire by two divisions of enemy ships. Compounding this error, the French only prepared their ships for battle on their starboard (seaward) sides, from which they expected the attack would have to come; their landward port sides were unprepared.
The port side gun ports were closed, and the decks on that side were uncleared, with various stored items blocking access to the guns. Brueys' dispositions had a second significant flaw: The 160-yard gaps between ships were large enough for a British ship to push through and break the French line. Furthermore, not all of the French captains had followed Brueys' orders to attach cables to their neighbours' bow and stern, which would have prevented such a manoeuvre. The problem was exacerbated by orders to only anchor at the bow, which allowed the ships to swing with the wind and widened the gaps. It also created areas within the French line not covered by the broadside of any ship. British vessels could anchor in those spaces and engage the French without reply. In addition, the deployment of Brueys' fleet prevented the rear from effectively supporting the van due to the prevailing winds.
A more pressing problem for Brueys was a lack of food and water for the fleet: Bonaparte had unloaded almost all of the provisions carried aboard and no supplies were reaching the ships from the shore. To remedy this, Brueys sent foraging parties of 25 men from each ship along the coast to requisition food, dig wells, and collect water. Constant attacks by Bedouin partisans, however, required escorts of heavily armed guards for each party. Hence, up to a third of the fleet's sailors were away from their ships at any one time. Brueys wrote a letter describing the situation to Minister of Marine Étienne Eustache Bruix, reporting that "Our crews are weak, both in number and quality. Our rigging, in general, out of repair, and I am sure it requires no little courage to undertake the management of a fleet furnished with such tools."
Battle
Nelson's arrival
Although initially disappointed that the main French fleet was not at Alexandria, Nelson knew from the presence of the transports that they must be nearby. At 14:00 on 1 August, lookouts on reported the French anchored in Aboukir Bay, its signal lieutenant just beating the lieutenant on with the signal, but inaccurately describing 16 French ships of the line instead of 13. At the same time, French lookouts on , the ninth ship in the French line, sighted the British fleet approximately nine nautical miles off the mouth of Aboukir Bay. The French initially reported just 11 British ships – Swiftsure and Alexander were still returning from their scouting operations at Alexandria, and so were to the west of the main fleet, out of sight. Troubridge's ship, , was also some distance from the main body, towing a captured merchant ship. At the sight of the French, Troubridge abandoned the vessel and made strenuous efforts to rejoin Nelson. Due to the need for so many sailors to work onshore, Brueys had not deployed any of his lighter warships as scouts, which left him unable to react swiftly to the sudden appearance of the British.
As his ships readied for action, Brueys ordered his captains to gather for a conference on Orient and hastily recalled his shore parties, although most had still not returned by the start of the battle. To replace them, large numbers of men were taken out of the frigates and distributed among the ships of the line. Brueys also hoped to lure the British fleet onto the shoals at Aboukir Island, sending the brigs and Railleur to act as decoys in the shallow waters. By 16:00, Alexander and Swiftsure were also in sight, although some distance from the main British fleet. Brueys gave orders to abandon the plan to remain at anchor and instead for his line to set sail. Blanquet protested the order on the grounds that there were not enough men aboard the French ships to both sail the ships and man the guns. Nelson gave orders for his leading ships to slow down, to allow the British fleet to approach in a more organised formation. This convinced Brueys that rather than risk an evening battle in confined waters, the British were planning to wait for the following day. He rescinded his earlier order to sail. Brueys may have been hoping that the delay would allow him to slip past the British during the night and thus follow Bonaparte's orders not to engage the British fleet directly if he could avoid it.
Nelson ordered the fleet to slow down at 16:00 to allow his ships to rig "springs" on their anchor cables, a system of attaching the bow anchor that increased stability and allowed his ships to swing their broadsides to face an enemy while stationary. It also increased manoeuvrability and therefore reduced the risk of coming under raking fire. Nelson's plan, shaped through discussion with his senior captains during the return voyage to Alexandria, was to advance on the French and pass down the seaward side of the van and centre of the French line, so that each French ship would face two British ships and the massive Orient would be fighting against three. The direction of the wind meant that the French rear division would be unable to join the battle easily and would be cut off from the front portions of the line. To ensure that in the smoke and confusion of a night battle his ships would not accidentally open fire on one another, Nelson ordered that each ship prepare four horizontal lights at the head of their mizzen mast and hoist an illuminated White Ensign, which was different enough from the French tricolour that it would not be mistaken in poor visibility, reducing the risk that British ships might fire on one another in the darkness. As his ship was readied for battle, Nelson held a final dinner with Vanguards officers, announcing as he rose: "Before this time tomorrow I shall have gained a peerage or Westminster Abbey," in reference to the rewards of victory or the traditional burial place of British military heroes.
Shortly after the French order to set sail was abandoned, the British fleet began rapidly approaching once more. Brueys, now expecting to come under attack that night, ordered each of his ships to place springs on their anchor cables and prepare for action. He sent the Alerte ahead, which passed close to the leading British ships and then steered sharply to the west over the shoal, in the hope that the ships of the line might follow and become grounded. None of Nelson's captains fell for the ruse and the British fleet continued undeterred. At 17:30, Nelson hailed one of his two leading ships, HMS Zealous under Captain Samuel Hood, which had been racing Goliath to be the first to fire on the French. The admiral ordered Hood to establish the safest course into the harbour. The British had no charts of the depth or shape of the bay, except a rough sketch map Swiftsure had obtained from a merchant captain, an inaccurate British atlas on Zealous, and a 35-year-old French map aboard Goliath. Hood replied that he would take careful soundings as he advanced to test the depth of the water, and that, "If you will allow the honour of leading you into battle, I will keep the lead going." Shortly afterwards, Nelson paused to speak with the brig , whose commander, Lieutenant Thomas Hardy, had seized some maritime pilots from a small Alexandrine vessel. As Vanguard came to a stop, the following ships slowed. This caused a gap to open up between Zealous and Goliath and the rest of the fleet. To counter this effect, Nelson ordered under Captain Ralph Miller to pass his flagship and join Zealous and Goliath in the vanguard. By 18:00, the British fleet was again under full sail, Vanguard sixth in the line of ten ships as Culloden trailed behind to the north and Alexander and Swiftsure hastened to catch up to the west. Following the rapid change from a loose formation to a rigid line of battle, both fleets raised their colours; each British ship hoisted additional Union Flags in its rigging in case its main flag was shot away. At 18:20, as Goliath and Zealous rapidly bore down on them, the leading French ships Guerrier and opened fire.
Ten minutes after the French opened fire, Goliath, ignoring fire from the fort to starboard and from Guerrier to port, most of which was too high to trouble the ship, crossed the head of the French line. Captain Thomas Foley had noticed as he approached that there was an unexpected gap between Guerrier and the shallow water of the shoal. On his own initiative, Foley decided to exploit this tactical error and changed his angle of approach to sail through the gap. As the bow of Guerrier came within range, Goliath opened fire, inflicting severe damage with a double-shotted raking broadside as the British ship turned to port and passed down the unprepared port side of Guerrier. Foley's Royal Marines and a company of Austrian grenadiers joined the attack, firing their muskets. Foley had intended to anchor alongside the French ship and engage it closely, but his anchor took too long to descend and his ship passed Guerrier entirely. Goliath eventually stopped close to the bow of Conquérant, opening fire on the new opponent and using the unengaged starboard guns to exchange occasional shots with the frigate and bomb vessel Hercule, which were anchored inshore of the battle line.
Foley's attack was followed by Hood in Zealous, who also crossed the French line and successfully anchored next to Guerrier in the space Foley had intended, engaging the lead ship's bow from close range. Within five minutes Guerriers foremast had fallen, to cheers from the crews of the approaching British ships. The speed of the British advance took the French captains by surprise; they were still aboard Orient in conference with the admiral when the firing started. Hastily launching their boats, they returned to their vessels. Captain Jean-François-Timothée Trullet of Guerrier shouted orders from his barge for his men to return fire on Zealous.
The third British ship into action was under Captain Sir James Saumarez, which rounded the engagement at the head of the battle line and passed between the French main line and the frigates that lay closer inshore. As he did so, the frigate Sérieuse opened fire on Orion, wounding two men. The convention in naval warfare of the time was that ships of the line did not attack frigates when there were ships of equal size to engage, but in firing first French Captain Claude-Jean Martin had negated the rule. Saumarez waited until the frigate was at close range before replying. Orion needed just one broadside to reduce the frigate to a wreck, and Martin's disabled ship drifted away over the shoal. During the delay this detour caused, two other British ships joined the battle: Theseus, which had been disguised as a first-rate ship, followed Foley's track across Guerriers bow. Miller steered his ship through the middle of the melee between the anchored British and French ships until he encountered the third French ship, . Anchoring to port, Miller's ship opened fire at close range. under Captain Davidge Gould crossed the French line between Guerrier and Conquérant, anchoring between the ships and raking them both. Orion then rejoined the action further south than intended, firing on the fifth French ship, Peuple Souverain, and Admiral Blanquet's flagship, .
The next three British ships, Vanguard in the lead followed by and , remained in line of battle formation and anchored on the starboard side of the French line at 18:40. Nelson focused his flagship's fire on Spartiate, while Captain Thomas Louis in Minotaur attacked the unengaged and Captain John Peyton in Defence joined the attack on Peuple Souverain. With the French vanguard now heavily outnumbered, the following British ships, and , passed by the melee and advanced on the so far unengaged French centre. Both ships were soon fighting enemies much more powerful than they and began to take severe damage. Captain Henry Darby on Bellerophon missed his intended anchor near Franklin and instead found his ship underneath the main battery of the French flagship. Captain George Blagdon Westcott on Majestic also missed his station and almost collided with Heureux, coming under heavy fire from . Unable to stop in time, Westcott's jib boom became entangled with Tonnants shroud.
The French suffered too, Admiral Brueys on Orient was severely wounded in the face and hand by flying debris during the opening exchange of fire with Bellerophon. The final ship of the British line, Culloden under Troubridge, sailed too close to Aboukir Island in the growing darkness and became stuck fast on the shoal. Despite strenuous efforts from the Cullodens boats, the brig Mutine and the 50-gun under Captain Thomas Thompson, the ship of the line could not be moved, and the waves drove Culloden further onto the shoal, inflicting severe damage to the ship's hull.
Surrender of the French vanguard
At 19:00 the identifying lights in the mizzenmasts of the British fleet were lit. By this time, Guerrier had been completely dismasted and heavily battered. Zealous by contrast was barely touched: Hood had situated Zealous outside the arc of most of the French ship's broadsides, and in any case Guerrier was not prepared for an engagement on both sides simultaneously, with its port guns blocked by stores. Although their ship was a wreck, the crew of Guerrier refused to surrender, continuing to fire the few functional guns whenever possible despite heavy answering fire from Zealous. In addition to his cannon fire, Hood called up his marines and ordered them to fire volleys of musket shot at the deck of the French ship, driving the crew out of sight but still failing to secure the surrender from Captain Trullet. It was not until 21:00, when Hood sent a small boat to Guerrier with a boarding party, that the French ship finally surrendered. Conquérant was defeated more rapidly, after heavy broadsides from passing British ships and the close attentions of Audacious and Goliath brought down all three masts before 19:00. With his ship immobile and badly damaged, the mortally wounded Captain Etienne Dalbarade struck his colours and a boarding party seized control. Unlike Zealous, these British ships suffered relatively severe damage in the engagement. Goliath lost most of its rigging, suffered damage to all three masts and suffered more than 60 casualties. With his opponents defeated, Captain Gould on Audacious used the spring on his cable to transfer fire to Spartiate, the next French ship in line. To the west of the battle the battered Sérieuse sank over the shoal. Her masts protruded from the water as survivors scrambled into boats and rowed for the shore.
The transfer of Audaciouss broadside to Spartiate meant that Captain Maurice-Julien Emeriau now faced three opponents. Within minutes all three of his ship's masts had fallen, but the battle around Spartiate continued until 21:00, when the badly wounded Emeriau ordered his colours struck. Although Spartiate was outnumbered, it had been supported by the next in line, Aquilon, which was the only ship of the French van squadron fighting a single opponent, Minotaur. Captain Antoine René Thévenard used the spring on his anchor cable to angle his broadside into a raking position across the bow of Nelson's flagship, which consequently suffered more than 100 casualties, including the admiral. At approximately 20:30, an iron splinter fired in a langrage shot from Spartiate struck Nelson over his blinded right eye. The wound caused a flap of skin to fall across his face, rendering him temporarily completely blind. Nelson collapsed into the arms of Captain Edward Berry and was carried below. Certain that his wound was fatal, he cried out "I am killed, remember me to my wife", and called for his chaplain, Stephen Comyn. The wound was immediately inspected by Vanguards surgeon Michael Jefferson, who informed the admiral that it was a simple flesh wound and stitched the skin together. Nelson subsequently ignored Jefferson's instructions to remain inactive, returning to the quarterdeck shortly before the explosion on Orient to oversee the closing stages of the battle. Although Thévenard's manoeuvre was successful, it placed his own bow under Minotaurs guns and by 21:25 the French ship was dismasted and battered, Captain Thévenard killed and his junior officers forced to surrender. With his opponent defeated, Captain Thomas Louis then took Minotaur south to join the attack on Franklin.
Defence and Orion attacked the fifth French ship, Peuple Souverain, from either side and the ship rapidly lost the fore and main masts. Aboard the Orion, a wooden block was smashed off one of the ship's masts, killing two men before wounding Captain Saumarez in the thigh. On Peuple Souverain, Captain Pierre-Paul Raccord was badly wounded and ordered his ship's anchor cable cut in an effort to escape the bombardment. Peuple Souverain drifted south towards the flagship Orient, which mistakenly opened fire on the darkened vessel. Orion and Defence were unable to immediately pursue. Defence had lost its fore topmast and an improvised fireship that drifted through the battle narrowly missed Orion. The origin of this vessel, an abandoned and burning ship's boat laden with highly flammable material, is uncertain, but it may have been launched from Guerrier as the battle began. Peuple Souverain anchored not far from Orient, but took no further part in the fighting. The wrecked ship surrendered during the night. Franklin remained in combat, but Blanquet had suffered a severe head wound and Captain Gillet had been carried below unconscious with severe wounds. Shortly afterwards, a fire broke out on the quarterdeck after an arms locker exploded, which was eventually extinguished with difficulty by the crew.
To the south, HMS Bellerophon was in serious trouble as the huge broadside of Orient pounded the ship. At 19:50 the mizzenmast and main mast both collapsed and fires broke out simultaneously at several points. Although the blazes were extinguished, the ship had suffered more than 200 casualties. Captain Darby recognised that his position was untenable and ordered the anchor cables cut at 20:20. The battered ship drifted away from the battle under continued fire from Tonnant as the foremast collapsed as well. Orient had also suffered significant damage and Admiral Brueys had been struck in the midriff by a cannonball that almost cut him in half. He died fifteen minutes later, remaining on deck and refusing to be carried below. Orients captain, Luc-Julien-Joseph Casabianca, was also wounded, struck in the face by flying debris and knocked unconscious, while his twelve-year-old son had a leg torn off by a cannonball as he stood beside his father. The most southerly British ship, Majestic, had become briefly entangled with the 80-gun Tonnant, and in the resulting battle, suffered heavy casualties. Captain George Blagdon Westcott was among the dead, killed by French musket fire. Lieutenant Robert Cuthbert assumed command and successfully disentangled his ship, allowing the badly damaged Majestic to drift further southwards so that by 20:30 it was stationed between Tonnant and the next in line, Heureux, engaging both. To support the centre, Captain Thompson of Leander abandoned the futile efforts to drag the stranded Culloden off the shoal and sailed down the embattled French line, entering the gap created by the drifting Peuple Souverain and opening a fierce raking fire on Franklin and Orient.
While the battle raged in the bay, the two straggling British ships made strenuous efforts to join the engagement, focusing on the flashes of gunfire in the darkness. Warned away from the Aboukir shoals by the grounded Culloden, Captain Benjamin Hallowell in Swiftsure passed the melee at the head of the line and aimed his ship at the French centre. Shortly after 20:00, a dismasted hulk was spotted drifting in front of Swiftsure and Hallowell initially ordered his men to fire before rescinding the order, concerned for the identity of the strange vessel. Hailing the battered ship, Hallowell received the reply "Bellerophon, going out of action disabled." Relieved that he had not accidentally attacked one of his own ships in the darkness, Hallowell pulled up between Orient and Franklin and opened fire on them both. Alexander, the final unengaged British ship, which had followed Swiftsure, pulled up close to Tonnant, which had begun to drift away from the embattled French flagship. Captain Alexander Ball then joined the attack on Orient.
Destruction of Orient
At 21:00, the British observed a fire on the lower decks of the Orient, the French flagship. Identifying the danger this posed to the Orient, Captain Hallowell directed his gun crews to fire their guns directly into the blaze. Sustained British gun fire spread the flames throughout the ship's stern and prevented all efforts to extinguish them. Within minutes the fire had ascended the rigging and set the vast sails alight. The nearest British ships, Swiftsure, Alexander, and Orion, all stopped firing, closed their gunports, and began edging away from the burning ship in anticipation of the detonation of the enormous ammunition supplies stored on board. In addition, they took crews away from the guns to form fire parties and to soak the sails and decks in seawater to help contain any resulting fires. Likewise the French ships Tonnant, Heureux, and all cut their anchor cables and drifted southwards away from the burning ship. At 22:00 the fire reached the magazines, and the Orient was destroyed by a massive explosion. The concussion of the blast was powerful enough to rip open the seams of the nearest ships, and flaming wreckage landed in a huge circle, much of it flying directly over the surrounding ships into the sea beyond. Falling wreckage started fires on Swiftsure, Alexander, and Franklin, although in each case teams of sailors with water buckets succeeded in extinguishing the flames, despite a secondary explosion on Franklin.
It has never been firmly established how the fire on Orient broke out, but one common account is that jars of oil and paint had been left on the poop deck, instead of being properly stowed after painting of the ship's hull had been completed shortly before the battle. Burning wadding from one of the British ships is believed to have floated onto the poop deck and ignited the paint. The fire rapidly spread through the admiral's cabin and into a ready magazine that stored carcass ammunition, which was designed to burn more fiercely in water than in air. Alternatively, Fleet Captain Honoré Ganteaume later reported the cause as an explosion on the quarterdeck, preceded by a series of minor fires on the main deck among the ship's boats. Whatever its origin, the fire spread rapidly through the ship's rigging, unchecked by the fire pumps aboard, which had been smashed by British shot. A second blaze then began at the bow, trapping hundreds of sailors in the ship's waist. Subsequent archaeological investigation found debris scattered over of seabed and evidence that the ship was wracked by two explosions. Hundreds of men dived into the sea to escape the flames, but fewer than 100 survived the blast. British boats picked up approximately 70 survivors, including the wounded staff officer Léonard-Bernard Motard. A few others, including Ganteaume, managed to reach the shore on rafts. The remainder of the crew, numbering more than 1,000 men, were killed, including Captain Casabianca and his son, Giocante.
For ten minutes after the explosion there was no firing; sailors from both sides were either too shocked by the blast or desperately extinguishing fires aboard their own ships to continue the fight. During the lull, Nelson gave orders that boats be sent to pull survivors from the water around the remains of Orient. At 22:10, Franklin restarted the engagement by firing on Swiftsure. Isolated and battered, Blanquet's ship was soon dismasted and the admiral, suffering a severe head wound, was forced to surrender by the combined firepower of Swiftsure and Defence. More than half of Franklins crew had been killed or wounded.
By midnight only Tonnant remained engaged, as Commodore Aristide Aubert Du Petit Thouars continued his fight with Majestic and fired on Swiftsure when the British ship moved within range. By 03:00, after more than three hours of close quarter combat, Majestic had lost its main and mizzen masts while Tonnant was a dismasted hulk. Although Captain Du Petit Thouars had lost both legs and an arm he remained in command, insisting on having the tricolour nailed to the mast to prevent it from being struck and giving orders from his position propped up on deck in a bucket of wheat. Under his guidance, the battered Tonnant gradually drifted southwards away from the action to join the southern division under Villeneuve, who failed to bring these ships into effective action. Throughout the engagement the French rear had kept up an arbitrary fire on the battling ships ahead. The only noticeable effect was the smashing of s rudder by misdirected fire from the neighbouring .
Morning
As the sun rose at 04:00 on 2 August, firing broke out once again between the French southern division of Guillaume Tell, Tonnant, Généreux and Timoléon and the battered Alexander and Majestic. Although briefly outmatched, the British ships were soon joined by Goliath and Theseus. As Captain Miller manoeuvred his ship into position, Theseus briefly came under fire from the frigate . Miller turned his ship towards Artémise, but Captain Pierre-Jean Standelet struck his flag and ordered his men to abandon the frigate. Miller sent a boat under Lieutenant William Hoste to take possession of the empty vessel, but Standelet had set fire to his ship as he left and Artémise blew up shortly afterwards. The surviving French ships of the line, covering their retreat with gunfire, gradually pulled to the east away from the shore at 06:00. Zealous pursued, and was able to prevent the frigate from boarding Bellerophon, which was anchored at the southern point of the bay undergoing hasty repairs.
Two other French ships still flew the tricolour, but neither was in a position to either retreat or fight. When Heureux and Mercure had cut their anchor cables to escape the exploding Orient, their crews had panicked and neither captain (both of whom were wounded) had managed to regain control of his ship. As a result, both vessels had drifted onto the shoal. Alexander, Goliath, Theseus and Leander attacked the stranded and defenceless ships, and both surrendered within minutes. The distractions provided by Heureux, Mercure and Justice allowed Villeneuve to bring most of the surviving French ships to the mouth of the bay at 11:00. On the dismasted Tonnant, Commodore Du Petit Thouars was now dead from his wounds and thrown overboard at his own request. As the ship was unable to make the required speed it was driven ashore by its crew. Timoléon was too far south to escape with Villeneuve and, in attempting to join the survivors, had also grounded on the shoal. The force of the impact dislodged the ship's foremast. The remaining French vessels: the ships of the line Guillaume Tell and Généreux and the frigates Justice and , formed up and stood out to sea, pursued by Zealous. Despite strenuous efforts, Captain Hood's isolated ship came under heavy fire and was unable to cut off the trailing Justice as the French survivors escaped seawards. Zealous was struck by a number of French shot and lost one man killed.
For the remainder of 2 August Nelson's ships made improvised repairs and boarded and consolidated their prizes. Culloden especially required assistance. Troubridge, having finally dragged his ship off the shoal at 02:00, found that he had lost his rudder and was taking on more than of water an hour. Emergency repairs to the hull and fashioning a replacement rudder from a spare topmast took most of the next two days. On the morning of 3 August, Nelson sent Theseus and Leander to force the surrender of the grounded Tonnant and Timoléon. The Tonnant, its decks crowded with 1,600 survivors from other French vessels, surrendered as the British ships approached while Timoléon was set on fire by its remaining crew who then escaped to the shore in small boats. Timoléon exploded shortly after midday, the eleventh and final French ship of the line destroyed or captured during the battle.
Aftermath
British casualties in the battle were recorded with some accuracy in the immediate aftermath as 218 killed and approximately 677 wounded, although the number of wounded who subsequently died is not known. The ships that suffered most were Bellerophon with 201 casualties and Majestic with 193. Other than Culloden the lightest loss was on Zealous, which had one man killed and seven wounded.
The casualty list included Captain Westcott, five lieutenants and ten junior officers among the dead, and Admiral Nelson, Captains Saumarez, Ball and Darby, and six lieutenants wounded. Other than Culloden, the only British ships seriously damaged in their hulls were Bellerophon, Majestic, and Vanguard. Bellerophon and Majestic were the only ships to lose masts: Majestic the main and mizzen and Bellerophon all three.
French casualties are harder to calculate but were significantly higher. Estimates of French losses range from 2,000 to 5,000, with a suggested median point of 3,500, which includes more than 1,000 captured wounded and nearly 2,000 killed, half of whom died on Orient. In addition to Admiral Brueys killed and Admiral Blanquet wounded, four captains died and seven others were seriously wounded. The French ships suffered severe damage: Two ships of the line and two frigates were destroyed (as well as a bomb vessel scuttled by its crew), and three other captured ships were too battered ever to sail again. Of the remaining prizes, only three were ever sufficiently repaired for frontline service. For weeks after the battle, bodies washed up along the Egyptian coast, decaying slowly in the intense, dry heat.
Nelson, who on surveying the bay on the morning of 2 August said, "Victory is not a name strong enough for such a scene", remained at anchor in Aboukir Bay for the next two weeks, preoccupied with recovering from his wound, writing dispatches, and assessing the military situation in Egypt using documents captured on board one of the prizes. Nelson's head wound was recorded as being "three inches long" with "the cranium exposed for one inch". He suffered pain from the injury for the rest of his life and was badly scarred, styling his hair to disguise it as much as possible. As their commander recovered, his men stripped the wrecks of useful supplies and made repairs to their ships and prizes.
Throughout the week, Aboukir Bay was surrounded by bonfires lit by Bedouin tribesmen in celebration of the British victory. On 5 August, Leander was despatched to Cadiz with messages for Earl St. Vincent carried by Captain Edward Berry. Over the next few days the British landed all but 200 of the captured prisoners on shore under strict terms of parole, although Bonaparte later ordered them to be formed into an infantry unit and added to his army. The wounded officers taken prisoner were held on board Vanguard, where Nelson regularly entertained them at dinner. Historian Joseph Allen recounts that on one occasion Nelson, whose eyesight was still suffering following his wound, offered toothpicks to an officer who had lost his teeth and then passed a snuff-box to an officer whose nose had been torn off, causing much embarrassment. On 8 August the fleet's boats stormed Aboukir Island, which surrendered without a fight. The landing party removed four of the guns and destroyed the rest along with the fort they were mounted in, renaming the island "Nelson's Island".
On 10 August, Nelson sent Lieutenant Thomas Duval from Zealous with messages to the government in India. Duval travelled across the Middle East overland via camel train to Aleppo and took the East India Company ship Fly from Basra to Bombay, acquainting Governor-General of India Viscount Wellesley with the situation in Egypt. On 12 August the frigates under Captain Thomas Moutray Waller and under Captain George Johnstone Hope, and the sloop under Captain Robert Retalick, arrived off Alexandria. Initially the British mistook the frigate squadron for French warships and Swiftsure chased them away. They returned the following day once the error had been realised. The same day as the frigates arrived, Nelson sent Mutine to Britain with dispatches, under the command of Lieutenant Thomas Bladen Capel, who had replaced Hardy after the latter's promotion to captain of Vanguard. On 14 August, Nelson sent Orion, Majestic, Bellerophon, Minotaur, Defence, Audacious, Theseus, Franklin, Tonnant, Aquilon, Conquérant, Peuple Souverain, and Spartiate to sea under the command of Saumarez. Many ships had only jury masts and it took a full day for the convoy to reach the mouth of the bay, finally sailing into open water on 15 August. On 16 August the British burned and destroyed the grounded prize Heureux as no longer fit for service and on 18 August also burned Guerrier and Mercure. On 19 August, Nelson sailed for Naples with Vanguard, Culloden, and Alexander, leaving Hood in command of Zealous, Goliath, Swiftsure, and the recently joined frigates to watch over French activities at Alexandria.
The first message to reach Bonaparte regarding the disaster that had overtaken his fleet arrived on 14 August at his camp on the road between Salahieh and Cairo. The messenger was a staff officer sent by the Governor of Alexandria General Jean Baptiste Kléber, and the report had been hastily written by Admiral Ganteaume, who had subsequently rejoined Villeneuve's ships at sea. One account reports that when he was handed the message, Bonaparte read it without emotion before calling the messenger to him and demanding further details. When the messenger had finished, the French general reportedly announced "Nous n'avons plus de flotte: eh bien. Il faut rester en ces contrées, ou en sortir grands comme les anciens" ("We no longer have a fleet: well, we must either remain in this country or quit it as great as the ancients"). Another story, as told by the general's secretary, Bourienne, claims that Bonaparte was almost overcome by the news and exclaimed "Unfortunate Brueys, what have you done!" Bonaparte later placed much of the blame for the defeat on the wounded Admiral Blanquet, falsely accusing him of surrendering Franklin while his ship was undamaged. Protestations from Ganteaume and Minister Étienne Eustache Bruix later reduced the degree of criticism Blanquet faced, but he never again served in a command capacity. Bonaparte's most immediate concern however was with his own officers, who began to question the wisdom of the entire expedition. Inviting his most senior officers to dinner, Bonaparte asked them how they were. When they replied that they were "marvellous," Bonaparte responded that it was just as well, since he would have them shot if they continued "fostering mutinies and preaching revolt." To quell any uprising among the native inhabitants, Egyptians overheard discussing the battle were threatened with having their tongues cut out.
Reaction
Nelson's first set of dispatches were captured when Leander was intercepted and defeated by Généreux in a fierce engagement off the western shore of Crete on 18 August 1798. As a result, reports of the battle did not reach Britain until Capel arrived in Mutine on 2 October, entering the Admiralty at 11:15 and personally delivering the news to Lord Spencer, who collapsed unconscious when he heard the report. Although Nelson had previously been castigated in the press for failing to intercept the French fleet, rumours of the battle had begun to arrive in Britain from the continent in late September and the news Capel brought was greeted with celebrations right across the country. Within four days Nelson had been elevated to Baron Nelson of the Nile and Burnham Thorpe, a title with which he was privately dissatisfied, believing his actions deserved better reward. King George III addressed the Houses of Parliament on 20 November with the words:
Saumarez's convoy of prizes stopped first at Malta, where Saumarez provided assistance to a rebellion on the island among the Maltese population. It then sailed to Gibraltar, arriving on 18 October to the cheers of the garrison. Saumarez wrote that, "We can never do justice to the warmth of their applause, and the praises they all bestowed on our squadron." On 23 October, following the transfer of the wounded to the military hospital and provision of basic supplies, the convoy sailed on towards Lisbon, leaving Bellerophon and Majestic behind for more extensive repairs. Peuple Souverain also remained at Gibraltar: The ship was deemed too badly damaged for the Atlantic voyage to Britain and so was converted to a guardship under the name of HMS Guerrier. The remaining prizes underwent basic repairs and then sailed for Britain, spending some months at the Tagus and joining with the annual merchant convoy from Portugal in June 1799 under the escort of a squadron commanded by Admiral Sir Alan Gardner, before eventually arriving at Plymouth. Their age and battered state meant that neither Conquérant nor Aquilon were considered fit for active service in the Royal Navy and both were subsequently hulked, although they had been bought into the service for £20,000 (the equivalent of £ million as of ) each as HMS Conquerant and HMS Aboukir to provide a financial reward to the crews that had captured them. Similar sums were also paid out for Guerrier, Mercure, Heureux and Peuple Souverain, while the other captured ships were worth considerably more. Constructed of Adriatic oak, Tonnant had been built in 1792 and Franklin and Spartiate were less than a year old. Tonnant and Spartiate, both of which later fought at the Battle of Trafalgar, joined the Royal Navy under their old names while Franklin, considered to be "the finest two-decked ship in the world", was renamed HMS Canopus. The total value of the prizes captured at the Nile and subsequently bought into the Royal Navy was estimated at just over £130,000 (the equivalent of £ million as of ).
Additional awards were presented to the British fleet: Nelson was awarded £2,000 (£ as of ) a year for life by the Parliament of Great Britain and £1,000 per annum by the Parliament of Ireland, although the latter was inadvertently discontinued after the Act of Union dissolved the Irish Parliament. Both parliaments gave unanimous votes of thanks, each captain who served in the battle was presented with a specially minted gold medal and the first lieutenant of every ship engaged in the battle was promoted to commander. Troubridge and his men, initially excluded, received equal shares in the awards after Nelson personally interceded for the crew of the stranded Culloden, even though they did not directly participate in the engagement. The Honourable East India Company presented Nelson with £10,000 (£ as of ) in recognition of the benefit his action had on their holdings and the cities of London, Liverpool and other municipal and corporate bodies made similar awards. Nelson's own captains presented him with a sword and a portrait as "proof of their esteem." Nelson publicly encouraged this close bond with his officers and on 29 September 1798 described them as "We few, we happy few, we band of brothers", echoing William Shakespeare's play Henry V. From this grew the notion of the Nelsonic Band of Brothers, a cadre of high-quality naval officers that served with Nelson for the remainder of his life. Nearly five decades later the battle was among the actions recognised by a clasp attached to the Naval General Service Medal, awarded upon application to all British participants still living in 1847.
Other rewards were bestowed by foreign states, particularly the Ottoman Emperor Selim III, who made Nelson the first Knight Commander of the newly created Order of the Crescent, and presented him with a chelengk, a diamond studded rose, a sable fur and numerous other valuable presents. Tsar Paul I of Russia sent, among other rewards, a gold box studded with diamonds, and similar gifts in silver arrived from other European rulers. On his return to Naples, Nelson was greeted with a triumphal procession led by King Ferdinand IV and Sir William Hamilton and was introduced for only the third time to Sir William's wife Emma, Lady Hamilton, who fainted violently at the meeting, and apparently took several weeks to recover from her injuries. Lauded as a hero by the Neapolitan court, Nelson was later to dabble in Neapolitan politics and become the Duke of Bronté, actions for which he was criticised by his superiors and his reputation suffered. British general John Moore, who met Nelson in Naples at this time, described him as "covered with stars, medals and ribbons, more like a Prince of Opera than the Conqueror of the Nile."
Rumours of a battle first appeared in the French press as early as 7 August, although credible reports did not arrive until 26 August, and even these claimed that Nelson was dead and Bonaparte a British prisoner. When the news became certain, the French press insisted that the defeat was the result both of an overwhelmingly large British force and unspecified "traitors." Among the anti-government journals in France, the defeat was blamed on the incompetence of the French Directory and on supposed lingering Royalist sentiments in the Navy. Villeneuve came under scathing attack on his return to France for his failure to support Brueys during the battle. In his defence, he pleaded that the wind had been against him and that Brueys had not issued orders for him to counterattack the British fleet. Writing many years later, Bonaparte commented that if the French Navy had adopted the same tactical principles as the British:
By contrast, the British press were jubilant; many newspapers sought to portray the battle as a victory for Britain over anarchy, and the success was used to attack the supposedly pro-republican Whig politicians Charles James Fox and Richard Brinsley Sheridan.
In the United States, the outcome of the battle led President John Adams to pursue diplomacy with France to end the Quasi-War, as the French naval defeat rendered the prospect of an invasion of the United States less likely.
There has been extensive historiographical debate over the comparative strengths of the fleets, although they were ostensibly evenly matched in size, each containing 13 ships of the line. However, the loss of Culloden, the relative sizes of Orient and Leander and the participation in the action by two of the French frigates and several smaller vessels, as well as the theoretical strength of the French position, leads most historians to the conclusion that the French were marginally more powerful. This is accentuated by the weight of broadside of several of the French ships: Spartiate, Franklin, Orient, Tonnant and Guillaume Tell were each significantly larger than any individual British ship in the battle. However inadequate deployment, reduced crews, and the failure of the rear division under Villeneuve to meaningfully participate, all contributed to the French defeat.
Effects
The Battle of the Nile has been called "arguably, the most decisive naval engagement of the great age of sail", and "the most splendid and glorious success which the British Navy gained." Historian and novelist C. S. Forester, writing in 1929, compared the Nile to the great naval actions in history and concluded that "it still only stands rivalled by Tsu-Shima as an example of the annihilation of one fleet by another of approximately equal material force". The effect on the strategic situation in the Mediterranean was immediate, reversing the balance of the conflict and giving the British control at sea that they maintained for the remainder of the war. The destruction of the French Mediterranean fleet allowed the Royal Navy to return to the sea in force, as British squadrons set up blockades off French and allied ports. In particular, British ships cut Malta off from France, aided by the rebellion among the native Maltese population that forced the French garrison to retreat to Valletta and shut the gates. The ensuing siege of Malta lasted for two years before the defenders were finally starved into surrender. In 1799, British ships harassed Bonaparte's army as it marched east and north through Palestine, and played a crucial part in Bonaparte's defeat at the siege of Acre, when the barges carrying the siege train were captured and the French storming parties were bombarded by British ships anchored offshore. It was during one of these latter engagements that Captain Miller of Theseus was killed in an ammunition explosion. The defeat at Acre forced Bonaparte to retreat to Egypt and effectively ended his efforts to carve an empire in the Middle East. The French general returned to France without his army late in the year, leaving Kléber in command of Egypt.
The Ottoman Empire, with whom Bonaparte had hoped to conduct an alliance once his control of Egypt was complete, was encouraged by the Battle of the Nile to go to war against France. This led to a series of campaigns that slowly sapped the strength from the French army trapped in Egypt. The British victory also encouraged the Austrian Empire and the Russian Empire, both of whom were mustering armies as part of a Second Coalition, which declared war on France in 1799. With the Mediterranean undefended, an Imperial Russian Navy fleet entered the Ionian Sea, while Austrian armies recaptured much of the Italian territory lost to Bonaparte in the previous war. Without their best general and his veterans, the French suffered a series of defeats and it was not until Bonaparte returned to become First Consul that France once again held a position of strength on Continental Europe. In 1801 a British Expeditionary Force defeated the demoralised remains of the French army in Egypt. The Royal Navy used its dominance in the Mediterranean to invade Egypt without the fear of ambush while anchored off the Egyptian coast.
In spite of the overwhelming British victory in the climactic battle, the campaign has sometimes been considered a strategic success for France. Historian Edward Ingram noted that if Nelson had successfully intercepted Bonaparte at sea as ordered, the ensuing battle could have annihilated both the French fleet and the transports. As it was, Bonaparte was free to continue the war in the Middle East and later to return to Europe personally unscathed. The potential of a successful engagement at sea to change the course of history is underscored by the list of French army officers carried aboard the convoy who later formed the core of the generals and marshals under Emperor Napoleon. In addition to Bonaparte himself, Louis-Alexandre Berthier, Auguste de Marmont, Jean Lannes, Joachim Murat, Louis Desaix, Jean Reynier, Antoine-François Andréossy, Jean-Andoche Junot, Louis-Nicolas Davout and Dumas were all passengers on the cramped Mediterranean crossing.
Legacy
The Battle of the Nile remains one of the Royal Navy's most famous victories, and has remained prominent in the British popular imagination, sustained by its depiction in a large number of cartoons, paintings, poems, and plays. One of the best known poems about the battle is Casabianca, which was written by Felicia Dorothea Hemans in 1826 and describes a fictional account of the death of Captain Casabianca's son on Orient.
Monuments were raised, including Cleopatra's Needle in London. Muhammad Ali of Egypt gave the monument in 1819 in recognition of the battle of 1798 and the campaign of 1801 but Great Britain did not erect it on the Victoria Embankment until 1878. Another memorial, the Nile Clumps near Amesbury, consists of stands of beech trees purportedly planted by Lord Queensbury at the behest of Lady Hamilton and Thomas Hardy after Nelson's death. The trees form a plan of the battle; each clump represents the position of a British or French ship.
On the Hall Place estate, Burchetts Green, Berkshire (now Berkshire College of Agriculture), a double line of oak trees, each tree representing a ship of the opposing fleets, was planted by William East, Baronet, in celebration of the victory. He also constructed a scale-sized pyramid and a life-sized statue of Nelson on the highest point of the estate.
The composer Joseph Haydn had just completed the Missa in Angustiis (mass for troubled times) after Napoleon Bonaparte had defeated the Austrian army in four major battles. The well received news of France's defeat at the Nile however resulted in the mass gradually acquiring the nickname Lord Nelson Mass. The title became indelible when, in 1800, Nelson himself visited the Palais Esterházy, accompanied by his mistress, Lady Hamilton, and may have heard the mass performed.
The Royal Navy commemorated the battle with the ship names , and , and in 1998 commemorated the 200th anniversary of the battle with a visit to Aboukir Bay by the modern frigate , whose crew laid wreaths in memory of those who lost their lives in the battle.
Archaeology
Although Nelson biographer Ernle Bradford assumed in 1977 that the remains of Orient "are almost certainly unrecoverable," the first archaeological investigation into the battle began in 1983, when a French survey team under Jacques Dumas discovered the wreck of the French flagship. Franck Goddio later took over the work, leading a major project to explore the bay in 1998. He found that material was scattered over an area in diameter. In addition to military and nautical equipment, Goddio recovered a large number of gold and silver coins from countries across the Mediterranean, some from the 17th century. It is likely that these were part of the treasure taken from Malta that was lost in the explosion aboard Orient. In 2000, Italian archaeologist Paolo Gallo led an excavation focusing on ancient ruins on Nelson's Island. It uncovered a number of graves that date from the battle, as well as others buried there during the 1801 invasion. These graves, which included a woman and three children, were relocated in 2005 to a cemetery at Shatby in Alexandria. The reburial was attended by sailors from the modern frigate and a band from the Egyptian Navy, as well as a descendant of the only identified burial, Commander James Russell.
Notes
References
Bibliography
External links
1798 in Egypt
Nile
French campaign in Egypt and Syria
Egypt–United Kingdom military relations
France–United Kingdom military relations
Horatio Nelson
Mediterranean campaign of 1798
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Naval history of Egypt | 15 |
The Boeing 747 is a large, long-range wide-body airliner designed and manufactured by Boeing Commercial Airplanes in the United States between 1968 and 2023.
After introducing the 707 in October 1958, Pan Am wanted a jet times its size, to reduce its seat cost by 30%. In 1965, Joe Sutter left the 737 development program to design the 747. In April 1966, Pan Am ordered 25 Boeing 747-100 aircraft, and in late 1966, Pratt & Whitney agreed to develop the JT9D engine, a high-bypass turbofan. On September 30, 1968, the first 747 was rolled out of the custom-built Everett Plant, the world's largest building by volume. The first flight took place on February 9, 1969, and the 747 was certified in December of that year. It entered service with Pan Am on January 22, 1970. The 747 was the first airplane called a "Jumbo Jet" as the first wide-body airliner.
The 747 is a four-engined jet aircraft, initially powered by Pratt & Whitney JT9D turbofan engines, then General Electric CF6 and Rolls-Royce RB211 engines for the original variants. With a ten-abreast economy seating, it typically accommodates 366 passengers in three travel classes. It has a pronounced 37.5° wing sweep, allowing a cruise speed, and its heavy weight is supported by four main landing gear legs, each with a four-wheel bogie. The partial double-deck aircraft was designed with a raised cockpit so it could be converted to a freighter airplane by installing a front cargo door, as it was initially thought that it would eventually be superseded by supersonic transports.
Boeing introduced the -200 in 1971, with more powerful engines for a heavier maximum takeoff weight (MTOW) of from the initial , increasing the maximum range from . It was shortened for the longer-range 747SP in 1976, and the 747-300 followed in 1983 with a stretched upper deck for up to 400 seats in three classes. The heavier 747-400 with improved RB211 and CF6 engines or the new PW4000 engine (the JT9D successor), and a two-crew glass cockpit, was introduced in 1989 and is the most common variant. After several studies, the stretched 747-8 was launched on November 14, 2005, with new General Electric GEnx engines, and was first delivered in October 2011. The 747 is the basis for several government and military variants, such as the VC-25 (Air Force One), E-4 Emergency Airborne Command Post, Shuttle Carrier Aircraft, and some experimental testbeds such as the YAL-1 and SOFIA airborne observatory.
Initial competition came from the smaller trijet widebodies: the Lockheed L-1011 (introduced in 1972), McDonnell Douglas DC-10 (1971) and later MD-11 (1990). Airbus competed with later variants with the heaviest versions of the A340 until surpassing the 747 in size with the A380, delivered between 2007 and 2021. Freighter variants of the 747 remain popular with cargo airlines. The final 747 was delivered to Atlas Air in January 2023 after a 54-year production run, with 1,574 aircraft built.
, 64 Boeing 747s (%) have been lost in accidents and incidents, in which a total of 3,746 people have died.
Development
Background
In 1963, the United States Air Force started a series of study projects on a very large strategic transport aircraft. Although the C-141 Starlifter was being introduced, officials believed that a much larger and more capable aircraft was needed, especially to carry cargo that would not fit in any existing aircraft. These studies led to initial requirements for the CX-Heavy Logistics System (CX-HLS) in March 1964 for an aircraft with a load capacity of and a speed of Mach 0.75 (), and an unrefueled range of with a payload of . The payload bay had to be wide by high and long with access through doors at the front and rear.
The desire to keep the number of engines to four required new engine designs with greatly increased power and better fuel economy. In May 1964, airframe proposals arrived from Boeing, Douglas, General Dynamics, Lockheed, and Martin Marietta; engine proposals were submitted by General Electric, Curtiss-Wright, and Pratt & Whitney. Boeing, Douglas, and Lockheed were given additional study contracts for the airframe, along with General Electric and Pratt & Whitney for the engines.
The airframe proposals shared several features. As the CX-HLS needed to be able to be loaded from the front, a door had to be included where the cockpit usually was. All of the companies solved this problem by moving the cockpit above the cargo area; Douglas had a small "pod" just forward and above the wing, Lockheed used a long "spine" running the length of the aircraft with the wing spar passing through it, while Boeing blended the two, with a longer pod that ran from just behind the nose to just behind the wing. In 1965, Lockheed's aircraft design and General Electric's engine design were selected for the new C-5 Galaxy transport, which was the largest military aircraft in the world at the time. Boeing carried the nose door and raised cockpit concepts over to the design of the 747.
Airliner proposal
The 747 was conceived while air travel was increasing in the 1960s. The era of commercial jet transportation, led by the enormous popularity of the Boeing 707 and Douglas DC-8, had revolutionized long-distance travel. In this growing jet age, Juan Trippe, president of Pan Am, one of Boeing's most important airline customers, asked for a new jet airliner times size of the 707, with a 30% lower cost per unit of passenger-distance and the capability to offer mass air travel on international routes. Trippe also thought that airport congestion could be addressed by a larger new aircraft.
In 1965, Joe Sutter was transferred from Boeing's 737 development team to manage the design studies for the new airliner, already assigned the model number 747. Sutter began a design study with Pan Am and other airlines to better understand their requirements. At the time, many thought that long-range subsonic airliners would eventually be superseded by supersonic transport aircraft. Boeing responded by designing the 747 so it could be adapted easily to carry freight and remain in production even if sales of the passenger version declined.
In April 1966, Pan Am ordered 25 Boeing 747-100 aircraft for US$525 million (equivalent to $ billion in dollars). During the ceremonial 747 contract-signing banquet in Seattle on Boeing's 50th Anniversary, Juan Trippe predicted that the 747 would be "…a great weapon for peace, competing with intercontinental missiles for mankind's destiny". As launch customer, and because of its early involvement before placing a formal order, Pan Am was able to influence the design and development of the 747 to an extent unmatched by a single airline before or since.
Design effort
Ultimately, the high-winged CX-HLS Boeing design was not used for the 747, although technologies developed for their bid had an influence. The original design included a full-length double-deck fuselage with eight-across seating and two aisles on the lower deck and seven-across seating and two aisles on the upper deck. However, concern over evacuation routes and limited cargo-carrying capability caused this idea to be scrapped in early 1966 in favor of a wider single deck design. The cockpit was therefore placed on a shortened upper deck so that a freight-loading door could be included in the nose cone; this design feature produced the 747's distinctive "hump". In early models, what to do with the small space in the pod behind the cockpit was not clear, and this was initially specified as a "lounge" area with no permanent seating. (A different configuration that had been considered to keep the flight deck out of the way for freight loading had the pilots below the passengers, and was dubbed the "anteater".)
One of the principal technologies that enabled an aircraft as large as the 747 to be drawn up was the high-bypass turbofan engine. This engine technology was thought to be capable of delivering double the power of the earlier turbojets while consuming one-third less fuel. General Electric had pioneered the concept but was committed to developing the engine for the C-5 Galaxy and did not enter the commercial market until later. Pratt & Whitney was also working on the same principle and, by late 1966, Boeing, Pan Am and Pratt & Whitney agreed to develop a new engine, designated the JT9D to power the 747.
The project was designed with a new methodology called fault tree analysis, which allowed the effects of a failure of a single part to be studied to determine its impact on other systems. To address concerns about safety and flyability, the 747's design included structural redundancy, redundant hydraulic systems, quadruple main landing gear and dual control surfaces. Additionally, some of the most advanced high-lift devices used in the industry were included in the new design, to allow it to operate from existing airports. These included Krueger flaps running almost the entire length of the wing's leading edge, as well as complex three-part slotted flaps along the trailing edge of the wing. The wing's complex three-part flaps increase wing area by 21% and lift by 90% when fully deployed compared to their non-deployed configuration.
Boeing agreed to deliver the first 747 to Pan Am by the end of 1969. The delivery date left 28 months to design the aircraft, which was two-thirds of the normal time. The schedule was so fast-paced that the people who worked on it were given the nickname "The Incredibles". Developing the aircraft was such a technical and financial challenge that management was said to have "bet the company" when it started the project. Due to its massive size, Boeing subcontracted the assembly of subcomponents to other manufacturers, most notably Northrop and Grumman (later merged into Northrop Grumman in 1994) for fuselage parts and trailing edge flaps respectively, Fairchild for tailplane ailerons, and Ling-Temco-Vought (LTV) for the empennage.
Production plant
As Boeing did not have a plant large enough to assemble the giant airliner, they chose to build a new plant. The company considered locations in about 50 cities, and eventually decided to build the new plant some north of Seattle on a site adjoining a military base at Paine Field near Everett, Washington. It bought the site in June 1966.
Developing the 747 had been a major challenge, and building its assembly plant was also a huge undertaking. Boeing president William M. Allen asked Malcolm T. Stamper, then head of the company's turbine division, to oversee construction of the Everett factory and to start production of the 747. To level the site, more than of earth had to be moved. Time was so short that the 747's full-scale mock-up was built before the factory roof above it was finished. The plant is the largest building by volume ever built, and has been substantially expanded several times to permit construction of other models of Boeing wide-body commercial jets.
Flight testing
Before the first 747 was fully assembled, testing began on many components and systems. One important test involved the evacuation of 560 volunteers from a cabin mock-up via the aircraft's emergency chutes. The first full-scale evacuation took two and a half minutes instead of the maximum of 90 seconds mandated by the Federal Aviation Administration (FAA), and several volunteers were injured. Subsequent test evacuations achieved the 90-second goal but caused more injuries. Most problematic was evacuation from the aircraft's upper deck; instead of using a conventional slide, volunteer passengers escaped by using a harness attached to a reel. Tests also involved taxiing such a large aircraft. Boeing built an unusual training device known as "Waddell's Wagon" (named for a 747 test pilot, Jack Waddell) that consisted of a mock-up cockpit mounted on the roof of a truck. While the first 747s were still being built, the device allowed pilots to practice taxi maneuvers from a high upper-deck position.
In 1968, the program cost was US$1 billion (equivalent to $ billion in dollars). On September 30, 1968, the first 747 was rolled out of the Everett assembly building before the world's press and representatives of the 26 airlines that had ordered the airliner. Over the following months, preparations were made for the first flight, which took place on February 9, 1969, with test pilots Jack Waddell and Brien Wygle at the controls and Jess Wallick at the flight engineer's station. Despite a minor problem with one of the flaps, the flight confirmed that the 747 handled extremely well. The 747 was found to be largely immune to "Dutch roll", a phenomenon that had been a major hazard to the early swept-wing jets.
Issues, delays and certification
During later stages of the flight test program, flutter testing showed that the wings suffered oscillation under certain conditions. This difficulty was partly solved by reducing the stiffness of some wing components. However, a particularly severe high-speed flutter problem was solved only by inserting depleted uranium counterweights as ballast in the outboard engine nacelles of the early 747s. This measure caused anxiety when these aircraft crashed, for example El Al Flight 1862 at Amsterdam in 1992 with of uranium in the tailplane (horizontal stabilizer).
The flight test program was hampered by problems with the 747's JT9D engines. Difficulties included engine stalls caused by rapid throttle movements and distortion of the turbine casings after a short period of service. The problems delayed 747 deliveries for several months; up to 20 aircraft at the Everett plant were stranded while awaiting engine installation. The program was further delayed when one of the five test aircraft suffered serious damage during a landing attempt at Renton Municipal Airport, the site of Boeing's Renton factory. The incident happened on December 13, 1969, when a test aircraft was flown to Renton to have test equipment removed and a cabin installed. Pilot Ralph C. Cokely undershot the airport's short runway and the 747's right, outer landing gear was torn off and two engine nacelles were damaged. However, these difficulties did not prevent Boeing from taking a test aircraft to the 28th Paris Air Show in mid-1969, where it was displayed to the public for the first time. Finally, in December 1969, the 747 received its FAA airworthiness certificate, clearing it for introduction into service.
The huge cost of developing the 747 and building the Everett factory meant that Boeing had to borrow heavily from a banking syndicate. During the final months before delivery of the first aircraft, the company had to repeatedly request additional funding to complete the project. Had this been refused, Boeing's survival would have been threatened. The firm's debt exceeded $2 billion, with the $1.2 billion owed to the banks setting a record for all companies. Allen later said, "It was really too large a project for us." Ultimately, the gamble succeeded, and Boeing held a monopoly in very large passenger aircraft production for many years.
Entry into service
On January 15, 1970, First Lady of the United States Pat Nixon christened Pan Am's first 747 at Dulles International Airport (later Washington Dulles International Airport) in the presence of Pan Am chairman Najeeb Halaby. Instead of champagne, red, white, and blue water was sprayed on the aircraft. The 747 entered service on January 22, 1970, on Pan Am's New York–London route; the flight had been planned for the evening of January 21, but engine overheating made the original aircraft unusable. Finding a substitute delayed the flight by more than six hours to the following day when Clipper Victor was used.
The 747 enjoyed a fairly smooth introduction into service, overcoming concerns that some airports would not be able to accommodate an aircraft that large. Although technical problems occurred, they were relatively minor and quickly solved. After the aircraft's introduction with Pan Am, other airlines that had bought the 747 to stay competitive began to put their own 747s into service. Boeing estimated that half of the early 747 sales were to airlines desiring the aircraft's long range rather than its payload capacity. While the 747 had the lowest potential operating cost per seat, this could only be achieved when the aircraft was fully loaded; costs per seat increased rapidly as occupancy declined. A moderately loaded 747, one with only 70 percent of its seats occupied, used more than 95 percent of the fuel needed by a fully occupied 747. Nonetheless, many flag-carriers purchased the 747 due to its prestige "even if it made no sense economically" to operate. During the 1970s and 1980s, over 30 regularly scheduled 747s could often be seen at John F. Kennedy International Airport.
The recession of 1969–1970, despite having been characterized as relatively mild, greatly affected Boeing. For the year and a half after September 1970, it only sold two 747s in the world, both to Irish flag carrier Aer Lingus.
No 747s were sold to any American carrier for almost three years. When economic problems in the US and other countries after the 1973 oil crisis led to reduced passenger traffic, several airlines found they did not have enough passengers to fly the 747 economically, and they replaced them with the smaller and recently introduced McDonnell Douglas DC-10 and Lockheed L-1011 TriStar trijet wide bodies (and later the 767 and A300/A310 twinjets). Having tried replacing coach seats on its 747s with piano bars in an attempt to attract more customers, American Airlines eventually relegated its 747s to cargo service and in 1983 exchanged them with Pan Am for smaller aircraft; Delta Air Lines also removed its 747s from service after several years. Later, Delta acquired 747s again in 2008 as part of its merger with Northwest Airlines, although it retired the Boeing 747-400 fleet in December 2017.
International flights bypassing traditional hub airports and landing at smaller cities became more common throughout the 1980s, thus eroding the 747's original market. Many international carriers continued to use the 747 on Pacific routes. In Japan, 747s on domestic routes were configured to carry nearly the maximum passenger capacity.
Improved 747 versions
After the initial , Boeing developed the , a higher maximum takeoff weight (MTOW) variant, and the (Short Range), with higher passenger capacity. Increased maximum takeoff weight allows aircraft to carry more fuel and have longer range. The model followed in 1971, featuring more powerful engines and a higher MTOW. Passenger, freighter and combination passenger-freighter versions of the were produced. The shortened 747SP (special performance) with a longer range was also developed, and entered service in 1976.
The 747 line was further developed with the launch of the on June 11, 1980, followed by interest from Swissair a month later and the go-ahead for the project. The 300 series resulted from Boeing studies to increase the seating capacity of the 747, during which modifications such as fuselage plugs and extending the upper deck over the entire length of the fuselage were rejected. The first , completed in 1983, included a stretched upper deck, increased cruise speed, and increased seating capacity. The -300 variant was previously designated 747SUD for stretched upper deck, then 747-200 SUD, followed by 747EUD, before the 747-300 designation was used. Passenger, short range and combination freighter-passenger versions of the 300 series were produced.
In 1985, development of the longer range 747-400 began. The variant had a new glass cockpit, which allowed for a cockpit crew of two instead of three, new engines, lighter construction materials, and a redesigned interior. Development costs soared, and production delays occurred as new technologies were incorporated at the request of airlines. Insufficient workforce experience and reliance on overtime contributed to early production problems on the . The -400 entered service in 1989.
In 1991, a record-breaking 1,087 passengers were flown in a 747 during a covert operation to airlift Ethiopian Jews to Israel. Generally, the 747-400 held between 416 and 524 passengers. The 747 remained the heaviest commercial aircraft in regular service until the debut of the Antonov An-124 Ruslan in 1982; variants of the 747-400 surpassed the An-124's weight in 2000. The Antonov An-225 Mriya cargo transport, which debuted in 1988, remains the world's largest aircraft by several measures (including the most accepted measures of maximum takeoff weight and length); one aircraft has been completed and was in service until 2022. The Scaled Composites Stratolaunch is currently the largest aircraft by wingspan.
Further developments
After the arrival of the , several stretching schemes for the 747 were proposed. Boeing announced the larger 747-500X and preliminary designs in 1996. The new variants would have cost more than US$5 billion to develop, and interest was not sufficient to launch the program. In 2000, Boeing offered the more modest 747X and 747X stretch derivatives as alternatives to the Airbus A3XX. However, the 747X family was unable to attract enough interest to enter production. A year later, Boeing switched from the 747X studies to pursue the Sonic Cruiser, and after the Sonic Cruiser program was put on hold, the 787 Dreamliner. Some of the ideas developed for the 747X were used on the 747-400ER, a longer range variant of the .
After several variants were proposed but later abandoned, some industry observers became skeptical of new aircraft proposals from Boeing. However, in early 2004, Boeing announced tentative plans for the 747 Advanced that were eventually adopted. Similar in nature to the 747-X, the stretched 747 Advanced used technology from the 787 to modernize the design and its systems. The 747 remained the largest passenger airliner in service until the Airbus A380 began airline service in 2007.
On November 14, 2005, Boeing announced it was launching the 747 Advanced as the Boeing 747-8. The last 747-400s were completed in 2009. , most orders of the 747-8 were for the freighter variant. On February 8, 2010, the 747-8 Freighter made its maiden flight. The first delivery of the 747-8 went to Cargolux in 2011. The first 747-8 Intercontinental passenger variant was delivered to Lufthansa on May 5, 2012. The 1,500th Boeing 747 was delivered in June 2014 to Lufthansa.
In January 2016, Boeing stated it was reducing 747-8 production to six a year beginning in September 2016, incurring a $569 million post-tax charge against its fourth-quarter 2015 profits. At the end of 2015, the company had 20 orders outstanding. On January 29, 2016, Boeing announced that it had begun the preliminary work on the modifications to a commercial 747-8 for the next Air Force One presidential aircraft, then expected to be operational by 2020.
On July 12, 2016, Boeing announced that it had finalized an order from Volga-Dnepr Group for 20 747-8 freighters, valued at $7.58 billion (~$ in ) at list prices. Four aircraft were delivered beginning in 2012. Volga-Dnepr Group is the parent of three major Russian air-freight carriers – Volga-Dnepr Airlines, AirBridgeCargo Airlines and Atran Airlines. The new 747-8 freighters would replace AirBridgeCargo's current 747-400 aircraft and expand the airline's fleet and will be acquired through a mix of direct purchases and leasing over the next six years, Boeing said.
End of production
On July 27, 2016, in its quarterly report to the Securities and Exchange Commission, Boeing discussed the potential termination of 747 production due to insufficient demand and market for the aircraft. With a firm order backlog of 21 aircraft and a production rate of six per year, program accounting had been reduced to 1,555 aircraft. In October 2016, UPS Airlines ordered 14 -8Fs to add capacity, along with 14 options, which it took in February 2018 to increase the total to 28 -8Fs on order. The backlog then stood at 25 aircraft, though several of these were orders from airlines that no longer intended to take delivery.
On July 2, 2020, it was reported that Boeing planned to end 747 production in 2022 upon delivery of the remaining jets on order to UPS and the Volga-Dnepr Group due to low demand. On July 29, 2020, Boeing confirmed that the final 747 would be delivered in 2022 as a result of "current market dynamics and outlook" stemming from the COVID-19 pandemic, according to CEO David Calhoun. The last aircraft, a 747-8F for Atlas Air, rolled off the production line on December 6, 2022, and was delivered on January 31, 2023. Boeing hosted an event at the Everett factory for thousands of workers as well as industry executives to commemorate the delivery.
Design
The Boeing 747 is a large, wide-body (two-aisle) airliner with four wing-mounted engines. Its wings have a high sweep angle of 37.5° for a fast, efficient cruise speed of Mach 0.84 to 0.88, depending on the variant. The sweep also reduces the wingspan, allowing the 747 to use existing hangars. Its seating capacity is over 366 with a 3–4–3 seat arrangement (a cross section of three seats, an aisle, four seats, another aisle, and three seats) in economy class and a 2–3–2 layout in first class on the main deck. The upper deck has a 3–3 seat arrangement in economy class and a 2–2 layout in first class.
Raised above the main deck, the cockpit creates a hump. This raised cockpit allows front loading of cargo on freight variants. The upper deck behind the cockpit provides space for a lounge and/or extra seating. The "stretched upper deck" became available as an alternative on the variant and later as standard beginning on the 747-300. The upper deck was stretched more on the 747-8. The 747 cockpit roof section also has an escape hatch from which crew can exit during the events of an emergency if they cannot do so through the cabin.
The 747's maximum takeoff weight ranges from for the -100 to for the -8. Its range has increased from on the -100 to on the -8I.
The 747 has redundant structures along with four redundant hydraulic systems and four main landing gears each with four wheels; these provide a good spread of support on the ground and safety in case of tire blow-outs. The main gear are redundant so that landing can be performed on two opposing landing gears if the others are not functioning properly. The 747 also has split control surfaces and was designed with sophisticated triple-slotted flaps that minimize landing speeds and allow the 747 to use standard-length runways.
For transportation of spare engines, the 747 can accommodate a non-functioning fifth-pod engine under the aircraft's port wing between the inner functioning engine and the fuselage. The fifth engine mount point is also used by Virgin Orbit's LauncherOne program to carry an orbital-class rocket to cruise altitude where it is deployed.
Variants
The 747-100 with a range of 4,620 nautical miles (8,556 km), was the original variant launched in 1966. The 747-200 soon followed, with its launch in 1968. The 747-300 was launched in 1980 and was followed by the in 1985. Ultimately, the 747-8 was announced in 2005. Several versions of each variant have been produced, and many of the early variants were in production simultaneously. The International Civil Aviation Organization (ICAO) classifies variants using a shortened code formed by combining the model number and the variant designator (e.g. "B741" for all -100 models).
747-100
The first 747-100s were built with six upper deck windows (three per side) to accommodate upstairs lounge areas. Later, as airlines began to use the upper deck for premium passenger seating instead of lounge space, Boeing offered an upper deck with ten windows on either side as an option. Some early -100s were retrofitted with the new configuration. The -100 was equipped with Pratt & Whitney JT9D-3A engines. No freighter version of this model was developed, but many 747-100s were converted into freighters as 747-100(SF). The first 747-100(SF) was delivered to Flying Tiger Line in 1974. A total of 168 747-100s were built; 167 were delivered to customers, while Boeing kept the prototype, City of Everett. In 1972, its unit cost was US$24M (M today).
747SR
Responding to requests from Japanese airlines for a high-capacity aircraft to serve domestic routes between major cities, Boeing developed the 747SR as a short-range version of the with lower fuel capacity and greater payload capability. With increased economy class seating, up to 498 passengers could be carried in early versions and up to 550 in later models. The 747SR had an economic design life objective of 52,000 flights during 20 years of operation, compared to 24,600 flights in 20 years for the standard 747. The initial 747SR model, the -100SR, had a strengthened body structure and landing gear to accommodate the added stress accumulated from a greater number of takeoffs and landings. Extra structural support was built into the wings, fuselage, and the landing gear along with a 20% reduction in fuel capacity.
The initial order for the -100SR – four aircraft for Japan Air Lines (JAL, later Japan Airlines) – was announced on October 30, 1972; rollout occurred on August 3, 1973, and the first flight took place on August 31, 1973. The type was certified by the FAA on September 26, 1973, with the first delivery on the same day. The -100SR entered service with JAL, the type's sole customer, on October 7, 1973, and typically operated flights within Japan. Seven -100SRs were built between 1973 and 1975, each with a MTOW and Pratt & Whitney JT9D-7A engines derated to of thrust.
Following the -100SR, Boeing produced the -100BSR, a 747SR variant with increased takeoff weight capability. Debuting in 1978, the -100BSR also incorporated structural modifications for a high cycle-to-flying hour ratio; a related standard -100B model debuted in 1979. The -100BSR first flew on November 3, 1978, with first delivery to All Nippon Airways (ANA) on December 21, 1978. A total of 20 -100BSRs were produced for ANA and JAL. The -100BSR had a MTOW and was powered by the same JT9D-7A or General Electric CF6-45 engines used on the -100SR. ANA operated this variant on domestic Japanese routes with 455 or 456 seats until retiring its last aircraft in March 2006.
In 1986, two -100BSR SUD models, featuring the stretched upper deck (SUD) of the -300, were produced for JAL. The type's maiden flight occurred on February 26, 1986, with FAA certification and first delivery on March 24, 1986. JAL operated the -100BSR SUD with 563 seats on domestic routes until their retirement in the third quarter of 2006. While only two -100BSR SUDs were produced, in theory, standard -100Bs can be modified to the SUD certification. Overall, 29 Boeing 747SRs were built.
747-100B
The 747-100B model was developed from the -100SR, using its stronger airframe and landing gear design. The type had an increased fuel capacity of , allowing for a range with a typical 452-passenger payload, and an increased MTOW of was offered. The first -100B order, one aircraft for Iran Air, was announced on June 1, 1978. This version first flew on June 20, 1979, received FAA certification on August 1, 1979, and was delivered the next day. Nine -100Bs were built, one for Iran Air and eight for Saudi Arabian Airlines. Unlike the original -100, the -100B was offered with Pratt & Whitney JT9D-7A, CF6-50, or Rolls-Royce RB211-524 engines. However, only RB211-524 (Saudia) and JT9D-7A (Iran Air) engines were ordered. The last 747-100B, EP-IAM was retired by Iran Air in 2014, the last commercial operator of the 747-100 and -100B.
747SP
The development of the 747SP stemmed from a joint request between Pan American World Airways and Iran Air, who were looking for a high-capacity airliner with enough range to cover Pan Am's New York–Middle Eastern routes and Iran Air's planned Tehran–New York route. The Tehran–New York route, when launched, was the longest non-stop commercial flight in the world. The 747SP is shorter than the . Fuselage sections were eliminated fore and aft of the wing, and the center section of the fuselage was redesigned to fit mating fuselage sections. The SP's flaps used a simplified single-slotted configuration. The 747SP, compared to earlier variants, had a tapering of the aft upper fuselage into the empennage, a double-hinged rudder, and longer vertical and horizontal stabilizers. Power was provided by Pratt & Whitney JT9D-7(A/F/J/FW) or Rolls-Royce RB211-524 engines.
The 747SP was granted a type certificate on February 4, 1976, and entered service with launch customers Pan Am and Iran Air that same year. The aircraft was chosen by airlines wishing to serve major airports with short runways. A total of 45 747SPs were built, with the 44th 747SP delivered on August 30, 1982. In 1987, Boeing re-opened the 747SP production line after five years to build one last 747SP for an order by the United Arab Emirates government. In addition to airline use, one 747SP was modified for the NASA/German Aerospace Center SOFIA experiment. Iran Air is the last civil operator of the type; its final 747-SP (EP-IAC) was to be retired in June 2016.
747-200
While the 747-100 powered by Pratt & Whitney JT9D-3A engines offered enough payload and range for medium-haul operations, it was marginal for long-haul route sectors. The demand for longer range aircraft with increased payload quickly led to the improved -200, which featured more powerful engines, increased MTOW, and greater range than the -100. A few early -200s retained the three-window configuration of the -100 on the upper deck, but most were built with a ten-window configuration on each side. The 747-200 was produced in passenger (-200B), freighter (-200F), convertible (-200C), and combi (-200M) versions.
The 747-200B was the basic passenger version, with increased fuel capacity and more powerful engines; it entered service in February 1971. In its first three years of production, the -200 was equipped with Pratt & Whitney JT9D-7 engines (initially the only engine available). Range with a full passenger load started at over and increased to with later engines. Most -200Bs had an internally stretched upper deck, allowing for up to 16 passenger seats. The freighter model, the 747-200F, had a hinged nose cargo door and could be fitted with an optional side cargo door, and had a capacity of 105 tons (95.3 tonnes) and an MTOW of up to . It entered service in 1972 with Lufthansa. The convertible version, the 747-200C, could be converted between a passenger and a freighter or used in mixed configurations, and featured removable seats and a nose cargo door. The -200C could also be outfitted with an optional side cargo door on the main deck.
The combi aircraft model, the 747-200M (originally designated 747-200BC), could carry freight in the rear section of the main deck via a side cargo door. A removable partition on the main deck separated the cargo area at the rear from the passengers at the front. The -200M could carry up to 238 passengers in a three-class configuration with cargo carried on the main deck. The model was also known as the 747-200 Combi. As on the -100, a stretched upper deck (SUD) modification was later offered. A total of 10 747-200s operated by KLM were converted. Union de Transports Aériens (UTA) also had two aircraft converted.
After launching the -200 with Pratt & Whitney JT9D-7 engines, on August 1, 1972, Boeing announced that it had reached an agreement with General Electric to certify the 747 with CF6-50 series engines to increase the aircraft's market potential. Rolls-Royce followed 747 engine production with a launch order from British Airways for four aircraft. The option of RB211-524B engines was announced on June 17, 1975. The -200 was the first 747 to provide a choice of powerplant from the three major engine manufacturers.
In 1976, its unit cost was US$39M (M today).
A total of 393 of the 747-200 versions had been built when production ended in 1991. Of these, 225 were -200B, 73 were -200F, 13 were -200C, 78 were -200M, and 4 were military. Iran Air retired the last passenger in May 2016, 36 years after it was delivered. , five 747-200s remain in service as freighters.
747-300
The 747-300 features a upper deck than the -200. The stretched upper deck (SUD) has two emergency exit doors and is the most visible difference between the -300 and previous models. After being made standard on the 747-300, the SUD was offered as a retrofit, and as an option to earlier variants still in-production. An example for a retrofit were two UTA -200 Combis being converted in 1986, and an example for the option were two brand-new JAL -100 aircraft (designated -100BSR SUD), the first of which was delivered on March 24, 1986.
The 747-300 introduced a new straight stairway to the upper deck, instead of a spiral staircase on earlier variants, which creates room above and below for more seats. Minor aerodynamic changes allowed the -300's cruise speed to reach Mach 0.85 compared with Mach 0.84 on the -200 and -100 models, while retaining the same takeoff weight. The -300 could be equipped with the same Pratt & Whitney and Rolls-Royce powerplants as on the -200, as well as updated General Electric CF6-80C2B1 engines.
Swissair placed the first order for the on June 11, 1980. The variant revived the 747-300 designation, which had been previously used on a design study that did not reach production. The 747-300 first flew on October 5, 1982, and the type's first delivery went to Swissair on March 23, 1983. In 1982, its unit cost was US$83M (M today). Besides the passenger model, two other versions (-300M, -300SR) were produced. The 747-300M features cargo capacity on the rear portion of the main deck, similar to the -200M, but with the stretched upper deck it can carry more passengers. The 747-300SR, a short range, high-capacity domestic model, was produced for Japanese markets with a maximum seating for 584. No production freighter version of the 747-300 was built, but Boeing began modifications of used passenger -300 models into freighters in 2000.
A total of 81 series aircraft were delivered, 56 for passenger use, 21 -300M and 4 -300SR versions. In 1985, just two years after the -300 entered service, the type was superseded by the announcement of the more advanced 747-400. The last 747-300 was delivered in September 1990 to Sabena. While some -300 customers continued operating the type, several large carriers replaced their 747-300s with 747-400s. Air France, Air India, Pakistan International Airlines, and Qantas were some of the last major carriers to operate the . On December 29, 2008, Qantas flew its last scheduled 747-300 service, operating from Melbourne to Los Angeles via Auckland. In July 2015, Pakistan International Airlines retired their final 747-300 after 30 years of service. , only two 747-300s remain in commercial service, with Mahan Air (1) and TransAVIAexport Airlines (1).
747-400
The 747-400 is an improved model with increased range. It has wingtip extensions of and winglets of , which improve the type's fuel efficiency by four percent compared to previous 747 versions. The 747-400 introduced a new glass cockpit designed for a flight crew of two instead of three, with a reduction in the number of dials, gauges and knobs from 971 to 365 through the use of electronics. The type also features tail fuel tanks, revised engines, and a new interior. The longer range has been used by some airlines to bypass traditional fuel stops, such as Anchorage. A 747-400 loaded with 126,000 lb of fuel flying 3,500 statute miles consumes an average of five gallons per mile. Powerplants include the Pratt & Whitney PW4062, General Electric CF6-80C2, and Rolls-Royce RB211-524. As a result of the Boeing 767 development overlapping with the 747-400's development, both aircraft can use the same three powerplants and are even interchangeable between the two aircraft models.
The was offered in passenger (-400), freighter (-400F), combi (-400M), domestic (-400D), extended range passenger (-400ER), and extended range freighter (-400ERF) versions. Passenger versions retain the same upper deck as the , while the freighter version does not have an extended upper deck. The 747-400D was built for short-range operations with maximum seating for 624. Winglets were not included, but they can be retrofitted. Cruising speed is up to Mach 0.855 on different versions of the .
The passenger version first entered service in February 1989 with launch customer Northwest Airlines on the Minneapolis to Phoenix route. The combi version entered service in September 1989 with KLM, while the freighter version entered service in November 1993 with Cargolux. The 747-400ERF entered service with Air France in October 2002, while the 747-400ER entered service with Qantas, its sole customer, in November 2002. In January 2004, Boeing and Cathay Pacific launched the Boeing 747-400 Special Freighter program, later referred to as the Boeing Converted Freighter (BCF), to modify passenger 747-400s for cargo use. The first 747-400BCF was redelivered in December 2005.
In March 2007, Boeing announced that it had no plans to produce further passenger versions of the -400. However, orders for 36 -400F and -400ERF freighters were already in place at the time of the announcement. The last passenger version of the 747-400 was delivered in April 2005 to China Airlines. Some of the last built 747-400s were delivered with Dreamliner livery along with the modern Signature interior from the Boeing 777. A total of 694 of the series aircraft were delivered. At various times, the largest 747-400 operator has included Singapore Airlines, Japan Airlines, and British Airways. , 331 Boeing 747-400s were in service; there were only 10 Boeing 747-400s in passenger service as of September 2021.
747 LCF Dreamlifter
The 747-400 Dreamlifter (originally called the 747 Large Cargo Freighter or LCF) is a Boeing-designed modification of existing 747-400s into a larger outsize cargo freighter configuration to ferry 787 Dreamliner sub-assemblies. Evergreen Aviation Technologies Corporation of Taiwan was contracted to complete modifications of 747-400s into Dreamlifters in Taoyuan. The aircraft flew for the first time on September 9, 2006, in a test flight. Modification of four aircraft was completed by February 2010. The Dreamlifters have been placed into service transporting sub-assemblies for the 787 program to the Boeing plant in Everett, Washington, for final assembly. The aircraft is certified to carry only essential crew with no passengers.
747-8
Boeing announced a new 747 variant, the , on November 14, 2005. Referred to as the 747 Advanced prior to its launch, the 747-8 uses similar General Electric GEnx engines and cockpit technology to the 787. The variant is designed to be quieter, more economical, and more environmentally friendly. The 747-8's fuselage is lengthened from to , marking the first stretch variant of the aircraft.
The 747-8 Freighter, or 747-8F, has 16% more payload capacity than its predecessor, allowing it to carry seven more standard air cargo containers, with a maximum payload capacity 154 tons (140 tonnes) of cargo. As on previous 747 freighters, the 747-8F features a flip up nose-door, a side-door on the main deck, and a side-door on the lower deck ("belly") to aid loading and unloading. The 747-8F made its maiden flight on February 8, 2010. The variant received its amended type certificate jointly from the FAA and the European Aviation Safety Agency (EASA) on August 19, 2011. The -8F was first delivered to Cargolux on October 12, 2011.
The passenger version, named 747-8 Intercontinental or 747-8I, is designed to carry up to 467 passengers in a 3-class configuration and fly more than at Mach 0.855. As a derivative of the already common , the 747-8I has the economic benefit of similar training and interchangeable parts. The type's first test flight occurred on March 20, 2011. The 747-8 has surpassed the Airbus A340-600 as the world's longest airliner, a record it would hold until the 777X, which first flew in 2020. The first -8I was delivered in May 2012 to Lufthansa. The 747-8 has received 155 total orders, including 106 for the -8F and 47 for the -8I . The final 747-8F was delivered to Atlas Air on January 31, 2023.
Government, military, and other variants
VC-25 – This aircraft is the U.S. Air Force very important person (VIP) version of the 747-200B. The U.S. Air Force operates two of them in VIP configuration as the VC-25A. Tail numbers 28000 and 29000 are popularly known as Air Force One, which is technically the air-traffic call sign for any United States Air Force aircraft carrying the U.S. president. Partially completed aircraft from Everett, Washington, were flown to Wichita, Kansas, for final outfitting by Boeing Military Airplane Company. Two new aircraft, based around the , are being procured which will be designated as VC-25B.
E-4B – This is an airborne command post designed for use in nuclear war. Three E-4As, based on the 747-200B, with a fourth aircraft, with more powerful engines and upgraded systems delivered in 1979 as a E-4B, with the three E-4As upgraded to this standard. Formerly known as the National Emergency Airborne Command Post (referred to colloquially as "Kneecap"), this type is now referred to as the National Airborne Operations Center (NAOC).
YAL-1 – This was the experimental Airborne Laser, a planned component of the U.S. National Missile Defense.
Shuttle Carrier Aircraft (SCA) – Two 747s were modified to carry the Space Shuttle orbiter. The first was a 747-100 (N905NA), and the other was a 747-100SR (N911NA). The first SCA carried the prototype Enterprise during the Approach and Landing Tests in the late 1970s. The two SCA later carried all five operational Space Shuttle orbiters.
C-33 – This aircraft was a proposed U.S. military version of the 747-400F intended to augment the C-17 fleet. The plan was canceled in favor of additional C-17s.
KC-25/33 – A proposed 747-200F was also adapted as an aerial refueling tanker and was bid against the DC-10-30 during the 1970s Advanced Cargo Transport Aircraft (ACTA) program that produced the KC-10 Extender. Before the 1979 Iranian Revolution, Iran bought four 747-100 aircraft with air-refueling boom conversions to support its fleet of F-4 Phantoms. There is a report of the Iranians using a 747 Tanker in H-3 airstrike during Iran–Iraq War. It is unknown whether these aircraft remain usable as tankers. Since then there have been proposals to use a 747-400 for that role.
747F Airlifter – Proposed US military transport version of the 747-200F intended as an alternative to further purchases of the C-5 Galaxy. This 747 would have had a special nose jack to lower the sill height for the nose door. System tested in 1980 on a Flying Tiger Line 747-200F.
747 CMCA – This "Cruise Missile Carrier Aircraft" variant was considered by the U.S. Air Force during the development of the B-1 Lancer strategic bomber. It would have been equipped with 50 to 100 AGM-86 ALCM cruise missiles on rotary launchers. This plan was abandoned in favor of more conventional strategic bombers.
747 AAC – A Boeing study under contract from the USAF for an "airborne aircraft carrier" for up to 10 Boeing Model 985-121 "microfighters" with the ability to launch, retrieve, re-arm, and refuel. Boeing believed that the scheme would be able to deliver a flexible and fast carrier platform with global reach, particularly where other bases were not available. Modified versions of the 747-200 and Lockheed C-5A were considered as the base aircraft. The concept, which included a complementary 747 AWACS version with two reconnaissance "microfighters", was considered technically feasible in 1973.
Evergreen 747 Supertanker – A Boeing 747-200 modified as an aerial application platform for fire fighting using of firefighting chemicals.
Stratospheric Observatory for Infrared Astronomy (SOFIA) – A former Pan Am Boeing 747SP modified to carry a large infrared-sensitive telescope, in a joint venture of NASA and DLR. High altitudes are needed for infrared astronomy, to rise above infrared-absorbing water vapor in the atmosphere.
A number of other governments also use the 747 as a VIP transport, including Bahrain, Brunei, India, Iran, Japan, Kuwait, Oman, Pakistan, Qatar, Saudi Arabia and United Arab Emirates. Several Boeing 747-8s have been ordered by Boeing Business Jet for conversion to VIP transports for several unidentified customers.
Undeveloped variants
Boeing has studied a number of 747 variants that have not gone beyond the concept stage.
747 trijet
During the late 1960s and early 1970s, Boeing studied the development of a shorter 747 with three engines, to compete with the smaller Lockheed L-1011 TriStar and McDonnell Douglas DC-10. The center engine would have been fitted in the tail with an S-duct intake similar to the L-1011's. Overall, the 747 trijet would have had more payload, range, and passenger capacity than both of them. However, engineering studies showed that a major redesign of the 747 wing would be necessary. Maintaining the same 747 handling characteristics would be important to minimize pilot retraining. Boeing decided instead to pursue a shortened four-engine 747, resulting in the 747SP.
747-500
In January 1986, Boeing outlined preliminary studies to build a larger, ultra-long haul version named the , which would enter service in the mid- to late-1990s. The aircraft derivative would use engines evolved from unducted fan (UDF) (propfan) technology by General Electric, but the engines would have shrouds, sport a bypass ratio of 15–20, and have a propfan diameter of . The aircraft would be stretched (including the upper deck section) to a capacity of 500 seats, have a new wing to reduce drag, cruise at a faster speed to reduce flight times, and have a range of at least , which would allow airlines to fly nonstop between London, England and Sydney, Australia.
747 ASB
Boeing announced the 747 ASB (Advanced Short Body) in 1986 as a response to the Airbus A340 and the McDonnell Douglas MD-11. This aircraft design would have combined the advanced technology used on the 747-400 with the foreshortened 747SP fuselage. The aircraft was to carry 295 passengers over a range of . However, airlines were not interested in the project and it was canceled in 1988 in favor of the 777.
747-500X, -600X, and -700X
Boeing announced the 747-500X and -600X at the 1996 Farnborough Airshow. The proposed models would have combined the 747's fuselage with a new wing spanning derived from the 777. Other changes included adding more powerful engines and increasing the number of tires from two to four on the nose landing gear and from 16 to 20 on the main landing gear.
The 747-500X concept featured a fuselage length increased by to , and the aircraft was to carry 462 passengers over a range up to , with a gross weight of over 1.0 Mlb (450 tonnes). The 747-600X concept featured a greater stretch to with seating for 548 passengers, a range of up to , and a gross weight of 1.2 Mlb (540 tonnes). A third study concept, the 747-700X, would have combined the wing of the 747-600X with a widened fuselage, allowing it to carry 650 passengers over the same range as a . The cost of the changes from previous 747 models, in particular the new wing for the 747-500X and -600X, was estimated to be more than US$5 billion. Boeing was not able to attract enough interest to launch the aircraft.
747X and 747X Stretch
As Airbus progressed with its A3XX study, Boeing offered a 747 derivative as an alternative in 2000; a more modest proposal than the previous -500X and -600X that retained the 747's overall wing design and add a segment at the root, increasing the span to . Power would have been supplied by either the Engine Alliance GP7172 or the Rolls-Royce Trent 600, which were also proposed for the 767-400ERX. A new flight deck based on the 777's would be used. The 747X aircraft was to carry 430 passengers over ranges of up to . The 747X Stretch would be extended to long, allowing it to carry 500 passengers over ranges of up to . Both would feature an interior based on the 777. Freighter versions of the 747X and 747X Stretch were also studied.
Like its predecessor, the 747X family was unable to garner enough interest to justify production, and it was shelved along with the 767-400ERX in March 2001, when Boeing announced the Sonic Cruiser concept. Though the 747X design was less costly than the 747-500X and -600X, it was criticized for not offering a sufficient advance from the existing . The 747X did not make it beyond the drawing board, but the 747-400X being developed concurrently moved into production to become the 747-400ER.
747-400XQLR
After the end of the 747X program, Boeing continued to study improvements that could be made to the 747. The 747-400XQLR (Quiet Long Range) was meant to have an increased range of , with improvements to boost efficiency and reduce noise. Improvements studied included raked wingtips similar to those used on the 767-400ER and a sawtooth engine nacelle for noise reduction. Although the 747-400XQLR did not move to production, many of its features were used for the 747 Advanced, which was launched as the 747-8 in 2005.
Operators
In 1979, Qantas became the first airline in the world to operate an all Boeing 747 fleet, with seventeen aircraft.
, there were 462 Boeing 747s in airline service, with Atlas Air and British Airways being the largest operators with 33 747-400s each.
The last US passenger Boeing 747 was retired from Delta Air Lines in December 2017, after it flew for every American major carrier since its 1970 introduction. Delta flew three of its last four aircraft on a farewell tour, from Seattle to Atlanta on December 19 then to Los Angeles and Minneapolis/St Paul on December 20.
As the IATA forecast an increase in air freight from 4% to 5% in 2018 fueled by booming trade for time-sensitive goods, from smartphones to fresh flowers, demand for freighters is strong while passenger 747s are phased out.
Of the 1,544 produced, 890 are retired; , a small subset of those which were intended to be parted-out got $3 million D-checks before flying again.
Young -400s were sold for 320 million yuan ($50 million) and Boeing stopped converting freighters, which used to cost nearly $30 million.
This comeback helped the airframer financing arm Boeing Capital to shrink its exposure to the 747-8 from $1.07 billion in 2017 to $481 million in 2018.
In July 2020, British Airways announced that it was retiring its 747 fleet. The final British Airways 747 flights departed London Heathrow on October 8, 2020.
Orders and deliveries
Boeing 747 orders and deliveries (cumulative, by year):
Orders and deliveries through to the end of February 2023.
Model summary
Accidents and incidents
, the 747 has been involved in 173 aviation accidents and incidents, including 64 hull loss accidents causing fatalities. There have been several hijackings of Boeing 747s, such as Pan Am Flight 73, a 747-100 hijacked by four terrorists, causing 20 deaths.
Few crashes have been attributed to 747 design flaws. The Tenerife airport disaster resulted from pilot error and communications failure, while the Japan Airlines Flight 123 and China Airlines Flight 611 crashes stemmed from improper aircraft repair. United Airlines Flight 811, which suffered an explosive decompression mid-flight on February 24, 1989, led the National Transportation Safety Board (NTSB) to issue a recommendation that the Boeing 747-100 and 747-200 cargo doors similar to those on the Flight 811 aircraft be modified to those featured on the Boeing . Korean Air Lines Flight 007 was shot down by a Soviet fighter aircraft in 1983 after it had strayed into Soviet territory, causing US President Ronald Reagan to authorize the then-strictly-military global positioning system (GPS) for civilian use.
Accidents due to design deficiencies included TWA Flight 800, where a 747-100 exploded in mid-air on July 17, 1996, probably due to sparking electrical wires inside the fuel tank. This finding led the FAA to adopt a rule in July 2008 requiring installation of an inerting system in the center fuel tank of most large aircraft, after years of research into solutions. At the time, the new safety system was expected to cost US$100,000 to $450,000 per aircraft and weigh approximately . El Al Flight 1862 crashed after the fuse pins for an engine broke off shortly after take-off due to metal fatigue. Instead of simply dropping away from the wing, the engine knocked off the adjacent engine and damaged the wing.
Aircraft on display
As increasing numbers of "classic" 747-100 and series aircraft have been retired, some have been used for other uses such as museum displays. Some older 747-300s and 747-400s were later added to museum collections.
20235/001 – 747-121 registration N7470 City of Everett, the first 747 and prototype, is at the Museum of Flight, Seattle, Washington.
19651/025 – 747-121 registration N747GE at the Pima Air & Space Museum, Tucson, Arizona, US.
19778/027 – 747-151 registration N601US nose at the National Air and Space Museum, Washington, D.C.
19661/070 – 747-121(SF) registration N681UP preserved at a plaza on Jungong Road, Shanghai, China.
19896/072 – 747-132(SF) registration N481EV at the Evergreen Aviation & Space Museum, McMinnville, Oregon, US.
20107/086 – 747-123 registration N905NA, a NASA Shuttle Carrier Aircraft, at the Johnson Space Center, Houston, Texas.
20269/150 – 747-136 registration G-AWNG nose at Hiller Aviation Museum, San Carlos, California.
20239/160 – 747-244B registration ZS-SAN nicknamed Lebombo, at the South African Airways Museum Society, Rand Airport, Johannesburg, South Africa.
20541/200 – 747-128 registration F-BPVJ at Musée de l'Air et de l'Espace, Paris, France.
20770/213 – 747-2B5B registration HL7463 at Jeongseok Aviation Center, Jeju, South Korea.
20713/219 - 747-212B(SF) registration N482EV at the Evergreen Aviation & Space Museum, McMinnville, Oregon, US.
21134/288 – 747SP-44 registration ZS-SPC at the South African Airways Museum Society, Rand Airport, Johannesburg, South Africa.
21549/336 – 747-206B registration PH-BUK at the Aviodrome, Lelystad, Netherlands.
21588/342 – 747-230B(M) registration D-ABYM preserved at Technik Museum Speyer, Germany.
21650/354 – 747-2R7F/SCD registration G-MKGA preserved at Cotswold Airport as an event space.
22145/410 – 747-238B registration VH-EBQ at the Qantas Founders Outback Museum, Longreach, Queensland, Australia.
22455/515 – 747-256BM registration EC-DLD Lope de Vega nose at the National Museum of Science and Technology, A Coruña, Spain.
23223/606 – 747-338 registration VH-EBU at Melbourne Avalon Airport, Avalon, Victoria, Australia. VH-EBU is an ex-Qantas airframe formerly decorated in the Nalanji Dreaming livery, currently in use as a training aircraft and film set.
23719/696 – 747-451 registration N661US at the Delta Flight Museum, Atlanta, Georgia, US. This particular plane was the first in service, as well as the prototype.
24354/731 – 747-438 registration VH-OJA at Shellharbour Airport, Albion Park Rail, New South Wales, Australia.
21441/306 - SOFIA - 747SP-21 registration N747NA at Pima Air and Space Museum in Tucson, Arizona. Former Pan Am and United Airlines 747SP bought by NASA and converted into a flying telescope, for astronomy purposes. Named Clipper Lindbergh.
Other uses
Upon its retirement from service, the 747 which was number two in the production line was dismantled and shipped to Hopyeong, Namyangju, Gyeonggi-do, South Korea where it was re-assembled, repainted in a livery similar to that of Air Force One and converted into a restaurant. Originally flown commercially by Pan Am as N747PA, Clipper Juan T. Trippe, and repaired for service following a tailstrike, it stayed with the airline until its bankruptcy. The restaurant closed by 2009, and the aircraft was scrapped in 2010.
A former British Airways 747-200B, G-BDXJ, is parked at the Dunsfold Aerodrome in Surrey, England and has been used as a movie set for productions such as the 2006 James Bond film, Casino Royale. The airplane also appears frequently in the television series Top Gear, which is filmed at Dunsfold.
The Jumbo Stay hostel, using a converted 747-200 formerly registered as 9V-SQE, opened at Arlanda Airport, Stockholm in January 2009.
A former Pakistan International Airlines 747-300 was converted into a restaurant by Pakistan's Airports Security Force in 2017. It is located at Jinnah International Airport, Karachi.
The wings of a 747 have been repurposed as roofs of a house in Malibu, California.
In 2023, a 747-200B originally operated by Lufthansa as a combi aircraft bearing the registration D-ABYW and named Berlin, and later by Lufthansa Cargo and other airlines as a full freighter, was opened as a Coach outlet store at Freeport A'Famosa Outlet Mall in Malacca, Malaysia.
Specifications
Cultural impact
Following its debut, the 747 rapidly achieved iconic status. The aircraft entered the cultural lexicon as the original Jumbo Jet, a term coined by the aviation media to describe its size, and was also nicknamed Queen of the Skies. Test pilot David P. Davies described it as "a most impressive aeroplane with a number of exceptionally fine qualities", and praised its flight control system as "truly outstanding" because of its redundancy.
Appearing in over 300 film productions, the 747 is one of the most widely depicted civilian aircraft and is considered by many as one of the most iconic in film history. It has appeared in film productions such as the disaster films Airport 1975 and Airport '77, as well as Air Force One, Die Hard 2, and Executive Decision.
See also
References
Notes
Bibliography
Bowers, Peter M. Boeing Aircraft Since 1916. London: Putnam Aeronautical Books, 1989. .
Davies, R.E.G. Delta: An Airline and Its Aircraft: The Illustrated History of a Major U.S. Airline and the People Who Made It. McLean, VA: Paladwr Press, 1990. .
Donald, David and Lake, Jon. Encyclopedia of World Military Aircraft. London: Aerospace Publishing, 1996. .
Haenggi, Michael. Boeing Widebodies. St. Paul, MN: MBI Publishing Co., 2003. .
Irving, Clive. Wide Body: The Making of the Boeing 747. Philadelphia: Coronet, 1994. .
Itabashi, M., K. Kawata and S. Kusaka. "Pre-fatigued 2219-T87 and 6061-T6 aluminium alloys." Structural Failure: Technical, Legal and Insurance Aspects. Milton Park, Abingdon, Oxon.: Taylor & Francis, 1995. .
Jenkins, Dennis R. Boeing 747-100/200/300/SP (AirlinerTech Series, Vol. 6). North Branch, MN: Specialty Press, 2000. .
Kane, Robert M. Air Transportation: 1903–2003. Dubuque, IA: Kendall Hunt Publishing Co., 2004. .
Lawrence, Philip K. and David Weldon Thornton. Deep Stall: The Turbulent Story of Boeing Commercial Airplanes. Burlington, VT: Ashgate Publishing Co., 2005, .
Norris, Guy and Mark Wagner. Boeing 747: Design and Development Since 1969. St. Paul, MN: MBI Publishing Co., 1997. .
Norton, Bill. Lockheed Martin C-5 Galaxy. North Branch, MN: Specialty Press, 2003. .
Orlebar, Christopher. The Concorde Story. Oxford: Osprey Publishing, 5th ed., 2002. .
Seo, Hiroshi. Boeing 747. Worthing, West Sussex: Littlehampton Book Services Ltd., 1984. .
Sutter, Joe. 747: Creating the World's First Jumbo Jet and Other Adventures from a Life in Aviation. Washington, DC: Smithsonian Books, 2006. .
Taylor, John W. R. (editor). Jane's All the World's Aircraft 1988–89. Coulsdon, UK: Jane's Defence Data, 1988. .
Thisdell, Dan and Seymour, Chris. "World Airliner Census". Flight International, July 30 – August 5, 2019, Vol. 196, No. 5697. pp. 24–47. .
Further reading
Ingells, Douglas J. 747: Story of the Boeing Super Jet. Fallbrook, CA: Aero Publishers, 1970. .
The Great Gamble: The Boeing 747. The Boeing – Pan Am Project to Develop, Produce, and Introduce the 747. Tuscaloosa: University of Alabama Press, 1973. .
Lucas, Jim. Boeing 747 – The First 20 Years. Browcom Pub. Ltd, 1988. .
Wright, Alan J. Boeing 747. Hersham, Surrey: Ian Allan, 1989. .
Minton, David H. The Boeing 747 (Aero Series 40). Fallbrook, CA: Aero Publishers, 1991. .
Shaw, Robbie. Boeing 747 (Osprey Civil Aircraft series). London: Osprey, 1994. .
Baum, Brian. Boeing 747-SP (Great Airliners, Vol. 3). Osceola, WI: Motorbooks International, 1997. .
Falconer, Jonathan. Boeing 747 in Color. Hersham, Surrey: Ian Allan, 1997. .
Gilchrist, Peter. Boeing 747-400 (Airliner Color History). Osceola, WI: Motorbooks International, 1998. .
Henderson, Scott. Boeing 747-100/200 In Camera. Minneapolis, MN: Scoval Publishing, 1999. .
Pealing, Norman, and Savage, Mike. Jumbo Jetliners: Boeing's 747 and the Widebodies (Osprey Color Classics). Osceola, WI: Motorbooks International, 1999. .
Shaw, Robbie. Boeing 747-400: The Mega-Top (Osprey Civil Aircraft series)/ London: Osprey, 1999. .
Wilson, Stewart. Boeing 747 (Aviation Notebook Series). Queanbeyan, NSW: Wilson Media Pty. Ltd, 1999. .
Wilson, Stewart. Airliners of the World. Fyshwick, Australia: Aerospace Publications Pty Ltd., 1999. .
Birtles, Philip. Boeing 747-400. Hersham, Surrey: Ian Allan, 2000. .
Bowman, Martin. Boeing 747 (Crowood Aviation Series). Marlborough, Wilts.: Crowood, 2000.
Dorr, Robert F. Boeing 747-400 (AirlinerTech Series, Vol. 10). North Branch, MN: Specialty Press, 2000. .
Gesar, Aram. Boeing 747: The Jumbo. New York: Pyramid Media Group, 2000. .
Gilchrist, Peter. Boeing 747 Classic (Airliner Color History). Osceola, WI: Motorbooks International, 2000. .
Graham, Ian. In Control: How to Fly a 747. Somerville, MA: Candlewick, 2000. .
Nicholls, Mark. The Airliner World Book of the Boeing 747. New York: Osprey Publishing, 2002. .
March, Peter. The Boeing 747 Story. Stroud, Glos.: The History Press, 2009. .
External links
Boeing 747
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Aircraft first flown in 1969
Double-deck aircraft | 21 |
The Battle of Agincourt ( ; ) was an English victory in the Hundred Years' War. It took place on 25 October 1415 (Saint Crispin's Day) near Azincourt, in northern France. The unexpected English victory against the numerically superior French army boosted English morale and prestige, crippled France, and started a new period of English dominance in the war that would last for 14 years until England was defeated by France in the Siege of Orléans in 1429.
After several decades of relative peace, the English had resumed the war in 1415 amid the failure of negotiations with the French. In the ensuing campaign, many soldiers died from disease, and the English numbers dwindled; they tried to withdraw to English-held Calais but found their path blocked by a considerably larger French army. Despite the numerical disadvantage, the battle ended in an overwhelming victory for the English.
King Henry V of England led his troops into battle and participated in hand-to-hand fighting. King Charles VI of France did not command the French army as he suffered from psychotic illnesses and associated mental incapacity. The French were commanded by Constable Charles d'Albret and various prominent French noblemen of the Armagnac party. This battle is notable for the use of the English longbow in very large numbers, with the English and Welsh archers comprising nearly 80 per cent of Henry's army. Henry's standard-bearer was William Harrington, he being an official Standard Bearer of England.
The Battle of Agincourt is one of England's most celebrated victories and was one of the most important English triumphs in the Hundred Years' War, along with the Battle of Crécy (1346) and Battle of Poitiers (1356). Perhaps the most notable example of a last stand of a heavily outnumbered force resulting in an outright victory, it continues to fascinate scholars and the general public into the modern day. It forms the backdrop to notable works such as William Shakespeare's play Henry V, written in 1599.
Contemporary accounts
The Battle of Agincourt is well documented by at least seven contemporary accounts, three from eyewitnesses. The general location of the battle is not disputed and the site remains relatively unaltered after 600 years. A paucity of archeological evidence though, has led to a debate as to the exact location of the battlefield.
Immediately after the battle, Henry summoned the heralds of the two armies who had watched the battle together with principal French herald Montjoie, and they settled on the name of the battle as Azincourt, after the nearest fortified place. Two of the most frequently cited accounts come from Burgundian sources, one from Jean Le Fèvre de Saint-Remy who was present at the battle, and the other from Enguerrand de Monstrelet. The English eyewitness account comes from the anonymous author of the Gesta Henrici Quinti, believed to have been written by a chaplain in the King's household who would have been in the baggage train at the battle. A recent re-appraisal of Henry's strategy of the Agincourt campaign incorporates these three accounts and argues that war was seen as a legal due process for solving the disagreement over claims to the French throne.
Background
Henry V invaded France following the failure of negotiations with the French. He claimed the title of King of France through his great-grandfather Edward III of England, although in practice the English kings were generally prepared to renounce this claim if the French would acknowledge the English claim on Aquitaine and other French lands (the terms of the Treaty of Brétigny). He initially called a Great Council in the spring of 1414 to discuss going to war with France, but the lords insisted that he should negotiate further and moderate his claims. In the ensuing negotiations Henry said that he would give up his claim to the French throne if the French would pay the 1.6 million crowns outstanding from the ransom of John II (who had been captured at the Battle of Poitiers in 1356), and concede English ownership of the lands of Anjou, Brittany, Flanders, Normandy, and Touraine, as well as Aquitaine. Henry would marry Catherine, Charles VI's young daughter, and receive a dowry of 2 million crowns.
The French responded with what they considered the generous terms of marriage with Catherine, a dowry of 600,000 crowns, and an enlarged Aquitaine. In December 1414, the English parliament was persuaded to grant Henry a "double subsidy", a tax at twice the traditional rate, to recover his inheritance from the French. By 1415, negotiations had ground to a halt, with the English claiming that the French had mocked their claims and ridiculed Henry himself. On 19 April 1415, Henry again asked the Great Council to sanction war with France, and this time they agreed.
Henry's army landed in northern France on 13 August 1415, carried by a vast fleet. It was often reported to comprise 1,500 ships, but was probably far smaller. Theodore Beck also suggests that among Henry's army was "the king's physician and a little band of surgeons". Thomas Morstede, Henry V's royal surgeon, had previously been contracted by the king to supply a team of surgeons and makers of surgical instruments to take part in the Agincourt campaign. The army of about 12,000 men and up to 20,000 horses besieged the port of Harfleur. The siege took longer than expected. The town surrendered on 22 September, and the English army did not leave until 8 October. The campaign season was coming to an end, and the English army had suffered many casualties through disease. Rather than retire directly to England for the winter, with his costly expedition resulting in the capture of only one town, Henry decided to march most of his army (roughly 9,000) through Normandy to the port of Calais, the English stronghold in northern France, to demonstrate by his presence in the territory at the head of an army that his right to rule in the duchy was more than a mere abstract legal and historical claim. He also intended the manoeuvre as a deliberate provocation to battle aimed at the dauphin, who had failed to respond to Henry's personal challenge to combat at Harfleur.
During the siege, the French had raised an army which assembled around Rouen. This was not strictly a feudal army, but an army paid through a system similar to that of the English. The French hoped to raise 9,000 troops, but the army was not ready in time to relieve Harfleur.
After Henry V marched to the north, the French moved to block them along the River Somme. They were successful for a time, forcing Henry to move south, away from Calais, to find a ford. The English finally crossed the Somme south of Péronne, at Béthencourt and Voyennes and resumed marching north.
Without a river obstacle to defend, the French were hesitant to force a battle. They shadowed Henry's army while calling a semonce des nobles, calling on local nobles to join the army. By 24 October, both armies faced each other for battle, but the French declined, hoping for the arrival of more troops. The two armies spent the night of 24 October on open ground. The next day the French initiated negotiations as a delaying tactic, but Henry ordered his army to advance and to start a battle that, given the state of his army, he would have preferred to avoid, or to fight defensively: that was how Crécy and the other famous longbow victories had been won. The English had very little food, had marched in two and a half weeks, were suffering from sickness such as dysentery, and were greatly outnumbered by well-equipped French men-at-arms. The French army blocked Henry's way to the safety of Calais, and delaying battle would only further weaken his tired army and allow more French troops to arrive.
Setting
Battlefield
The precise location of the battle is not known. It may be in the narrow strip of open land formed between the woods of Tramecourt and Azincourt (close to the modern village of Azincourt). However, the lack of archaeological evidence at this traditional site has led to suggestions it was fought to the west of Azincourt. In 2019, the historian Michael Livingston also made the case for a site west of Azincourt, based on a review of sources and early maps.
English deployment
Early on the 25th, Henry deployed his army (approximately 1,500 men-at-arms and 7,000 longbowmen) across a part of the defile. The army was divided into three groups, with the right wing led by Edward, Duke of York, the centre led by the king himself, and the left wing under the old and experienced Baron Thomas Camoys. The archers were commanded by Sir Thomas Erpingham, another elderly veteran. It is likely that the English adopted their usual battle line of longbowmen on either flank, with men-at-arms and knights in the centre. They might also have deployed some archers in the centre of the line. The English men-at-arms in plate and mail were placed shoulder to shoulder four deep. The English and Welsh archers on the flanks drove pointed wooden stakes, or palings, into the ground at an angle to force cavalry to veer off. This use of stakes could have been inspired by the Battle of Nicopolis of 1396, where forces of the Ottoman Empire used the tactic against French cavalry.
The English made their confessions before the battle, as was customary. Henry, worried about the enemy launching surprise raids, and wanting his troops to remain focused, ordered all his men to spend the night before the battle in silence, on pain of having an ear cut off. He told his men that he would rather die in the coming battle than be captured and ransomed.
Henry made a speech emphasising the justness of his cause, and reminding his army of previous great defeats the kings of England had inflicted on the French. The Burgundian sources have him concluding the speech by telling his men that the French had boasted that they would cut off two fingers from the right hand of every archer, so that he could never draw a longbow again. Whether this was true is open to question and continues to be debated to this day; however, it seems likely that death was the normal fate of any soldier who could not be ransomed.
French deployment
The French army had 10,000 men-at arms plus some 4,000–5,000 miscellaneous footmen () including archers, crossbowmen () and shield-bearers (), totaling 14,000–15,000 men. Probably each man-at-arms would be accompanied by a gros valet (or varlet), an armed servant, adding up to another 10,000 potential fighting men, though some historians omit them from the number of combatants.
The French were organized into two main groups (or battles), a vanguard up front and a main battle behind, both composed principally of men-at-arms fighting on foot and flanked by more of the same in each wing. There was a special, elite cavalry force whose purpose was to break the formation of the English archers and thus clear the way for the infantry to advance. A second, smaller mounted force was to attack the rear of the English army, along with its baggage and servants. Many lords and gentlemen demanded – and got – places in the front lines, where they would have a higher chance to acquire glory and valuable ransoms; this resulted in the bulk of the men-at-arms being massed in the front lines and the other troops, for which there was no remaining space, to be placed behind. Although it had been planned for the archers and crossbowmen to be placed with the infantry wings, they were now regarded as unnecessary and placed behind them instead. On account of the lack of space, the French drew up a third battle, the rearguard, which was on horseback and mainly comprised the varlets mounted on the horses belonging to the men fighting on foot ahead.
The French vanguard and main battle numbered respectively 4,800 and 3,000 men-at-arms. Both lines were arrayed in tight, dense formations of about 16 ranks each, and were positioned a bowshot length from each other. Albret, Boucicaut and almost all the leading noblemen were assigned stations in the vanguard. The dukes of Alençon and Bar led the main battle. A further 600 dismounted men-at-arms stood in each wing, with the left under the Count of Vendôme and the right under the Count of Richemont. To disperse the enemy archers, a cavalry force of 800–1,200 picked men-at-arms, led by Clignet de Bréban and Louis de Bosredon, was distributed evenly between both flanks of the vanguard (standing slightly forward, like horns). Some 200 mounted men-at-arms would attack the English rear. The French apparently had no clear plan for deploying the rest of the army. The rearguard, leaderless, would serve as a "dumping ground" for the surplus troops.
Terrain
The field of battle was arguably the most significant factor in deciding the outcome. The recently ploughed land hemmed in by dense woodland favoured the English, both because of its narrowness, and because of the thick mud through which the French knights had to walk.
Accounts of the battle describe the French engaging the English men-at-arms before being rushed from the sides by the longbowmen as the mêlée developed. The English account in the Gesta Henrici says: "For when some of them, killed when battle was first joined, fall at the front, so great was the undisciplined violence and pressure of the mass of men behind them that the living fell on top of the dead, and others falling on top of the living were killed as well."
Although the French initially pushed the English back, they became so closely packed that they were described as having trouble using their weapons properly. The French monk of St. Denis says: "Their vanguard, composed of about 5,000 men, found itself at first so tightly packed that those who were in the third rank could scarcely use their swords," and the Burgundian sources have a similar passage.
Recent heavy rain made the battle field very muddy, proving very tiring to walk through in full plate armour. The French monk of St. Denis describes the French troops as "marching through the middle of the mud where they sank up to their knees. So they were already overcome with fatigue even before they advanced against the enemy". The deep, soft mud particularly favoured the English force because, once knocked to the ground, the heavily armoured French knights had a hard time getting back up to fight in the mêlée. Barker states that some knights, encumbered by their armour, actually drowned in their helmets.
Fighting
Opening moves
On the morning of 25 October, the French were still waiting for additional troops to arrive. The Duke of Brabant (about 2,000 men), the Duke of Anjou (about 600 men), and the Duke of Brittany (6,000 men, according to Monstrelet), were all marching to join the army.
For three hours after sunrise there was no fighting. Military textbooks of the time stated: "Everywhere and on all occasions that foot soldiers march against their enemy face to face, those who march lose and those who remain standing still and holding firm win." On top of this, the French were expecting thousands of men to join them if they waited. They were blocking Henry's retreat, and were perfectly happy to wait for as long as it took. There had even been a suggestion that the English would run away rather than give battle when they saw that they would be fighting so many French princes.
Henry's men were already very weary from hunger, illness and retreat. Apparently Henry believed his fleeing army would perform better on the defensive, but had to halt the retreat and somehow engage the French
before a defensive battle was possible. This entailed abandoning his chosen position and pulling out, advancing, and then re-installing the long sharpened wooden stakes pointed outwards toward the enemy, which helped protect the longbowmen from cavalry charges. (The use of stakes was an innovation for the English: during the Battle of Crécy, for example, the archers had been instead protected by pits and other obstacles.)
The tightness of the terrain also seems to have restricted the planned deployment of the French forces. The French had originally drawn up a battle plan that had archers and crossbowmen in front of their men-at-arms, with a cavalry force at the rear specifically designed to "fall upon the archers, and use their force to break them," but in the event, the French archers and crossbowmen were deployed behind and to the sides of the men-at-arms (where they seem to have played almost no part, except possibly for an initial volley of arrows at the start of the battle). The cavalry force, which could have devastated the English line if it had attacked while they moved their stakes, charged only after the initial volley of arrows from the English. It is unclear whether the delay occurred because the French were hoping the English would launch a frontal assault (and were surprised when the English instead started shooting from their new defensive position), or whether the French mounted knights instead did not react quickly enough to the English advance. French chroniclers agree that when the mounted charge did come, it did not contain as many men as it should have; Gilles le Bouvier states that some had wandered off to warm themselves and others were walking or feeding their horses.
French cavalry attack
The French cavalry, despite being disorganised and not at full numbers, charged towards the longbowmen. It was a disastrous attempt. The French knights were unable to outflank the longbowmen (because of the encroaching woodland) and unable to charge through the array of sharpened stakes that protected the archers. John Keegan argues that the longbows' main influence on the battle at this point was injuries to horses: armoured only on the head, many horses would have become dangerously out of control when struck in the back or flank from the high-elevation, long-range shots used as the charge started. The mounted charge and subsequent retreat churned up the already muddy terrain between the French and the English. Juliet Barker quotes a contemporary account by a monk from St. Denis who reports how the wounded and panicking horses galloped through the advancing infantry, scattering them and trampling them down in their headlong flight from the battlefield.
Main French assault
The plate armour of the French men-at-arms allowed them to close the 1,000 yards or so to the English lines while being under what the French monk of Saint Denis described as "a terrifying hail of arrow shot". A complete coat of plate was considered such good protection that shields were generally not used, although the Burgundian contemporary sources distinguish between Frenchmen who used shields and those who did not, and Rogers has suggested that the front elements of the French force used axes and shields. Modern historians are divided on how effective the longbows would have been against plate armour of the time. Modern test and contemporary accounts conclude that arrows could not penetrate the better quality steel armour, which became available to knights and men-at-arms of fairly modest means by the middle of the 14th century, but could penetrate the poorer quality wrought iron armour. Rogers suggested that the longbow could penetrate a wrought iron breastplate at short range and penetrate the thinner armour on the limbs even at . He considered a knight in the best-quality steel armour invulnerable to an arrow on the breastplate or top of the helmet, but vulnerable to shots hitting the limbs, particularly at close range. In any case, to protect themselves as much as possible from the arrows, the French had to lower their visors and bend their helmeted heads to avoid being shot in the face, as the eye- and air-holes in their helmets were among the weakest points in the armour. This head-lowered position restricted their breathing and their vision. Then they had to walk a few hundred yards (metres) through thick mud and a press of comrades while wearing armour weighing , gathering sticky clay all the way. Increasingly, they had to walk around or over fallen comrades.
The surviving French men-at-arms reached the front of the English line and pushed it back, with the longbowmen on the flanks continuing to shoot at point-blank range. When the archers ran out of arrows, they dropped their bows and, using hatchets, swords, and the mallets they had used to drive their stakes in, attacked the now disordered, fatigued and wounded French men-at-arms massed in front of them. The French could not cope with the thousands of lightly armoured longbowmen assailants (who were much less hindered by the mud and weight of their armour) combined with the English men-at-arms. The impact of thousands of arrows, combined with the slog in heavy armour through the mud, the heat and difficulty breathing in plate armour with the visor down, and the crush of their numbers, meant the French men-at-arms could "scarcely lift their weapons" when they finally engaged the English line. The exhausted French men-at-arms were unable to get up after being knocked to the ground by the English. As the mêlée developed, the French second line also joined the attack, but they too were swallowed up, with the narrow terrain meaning the extra numbers could not be used effectively. Rogers suggested that the French at the back of their deep formation would have been attempting to literally add their weight to the advance, without realising that they were hindering the ability of those at the front to manoeuvre and fight by pushing them into the English formation of lancepoints. After the initial wave, the French would have had to fight over and on the bodies of those who had fallen before them. In such a "press" of thousands of men, Rogers suggested that many could have suffocated in their armour, as was described by several sources, and which was also known to have happened in other battles.
The French men-at-arms were taken prisoner or killed in the thousands. The fighting lasted about three hours, but eventually the leaders of the second line were killed or captured, as those of the first line had been. The English Gesta Henrici described three great heaps of the slain around the three main English standards.
According to contemporary English accounts, Henry fought hand to hand. Upon hearing that his youngest brother Humphrey, Duke of Gloucester had been wounded in the groin, Henry took his household guard and stood over his brother, in the front rank of the fighting, until Humphrey could be dragged to safety. The king received an axe blow to the head, which knocked off a piece of the crown that formed part of his helmet.
Attack on the English baggage train
The only French success was an attack on the lightly protected English baggage train, with Ysembart d'Azincourt (leading a small number of men-at-arms and varlets plus about 600 peasants) seizing some of Henry's personal treasures, including a crown. Whether this was part of a deliberate French plan or an act of local brigandage is unclear from the sources. Certainly, d'Azincourt was a local knight but he might have been chosen to lead the attack because of his local knowledge and the lack of availability of a more senior soldier. In some accounts the attack happened towards the end of the battle, and led the English to think they were being attacked from the rear. Barker, following the Gesta Henrici, believed to have been written by an English chaplain who was actually in the baggage train, concluded that the attack happened at the start of the battle.
Henry executes the French prisoners
Regardless of when the baggage assault happened, at some point after the initial English victory, Henry became alarmed that the French were regrouping for another attack. The Gesta Henrici places this after the English had overcome the onslaught of the French men-at-arms and the weary English troops were eyeing the French rearguard ("in incomparable number and still fresh"). Le Fèvre and Wavrin similarly say that it was signs of the French rearguard regrouping and "marching forward in battle order" which made the English think they were still in danger. A slaughter of the French prisoners ensued. It seems it was purely a decision of Henry, since the English knights found it contrary to chivalry, and contrary to their interests, to kill valuable hostages for whom it was commonplace to ask ransom. Henry threatened to hang whomever did not obey his orders.
In any event, Henry ordered the slaughter of what were perhaps several thousand French prisoners, sparing only the highest ranked (presumably those most likely to fetch a large ransom under the chivalric system of warfare). According to most chroniclers, Henry's fear was that the prisoners (who, in an unusual turn of events, actually outnumbered their captors) would realise their advantage in numbers, rearm themselves with the weapons strewn about the field and overwhelm the exhausted English forces. Contemporary chroniclers did not criticise him for it. In his study of the battle John Keegan argued that the main aim was not to actually kill the French knights but rather to terrorise them into submission and quell any possibility they might resume the fight, which would probably have caused the uncommitted French reserve forces to join the fray, as well. Such an event would have posed a risk to the still-outnumbered English and could have easily turned a stunning victory into a mutually destructive defeat, as the English forces were now largely intermingled with the French and would have suffered grievously from the arrows of their own longbowmen had they needed to resume shooting. Keegan also speculated that due to the relatively low number of archers actually involved in killing the French knights (roughly 200 by his estimate), together with the refusal of the English knights to assist in a duty they saw as distastefully unchivalrous, and combined with the sheer difficulty of killing such a large number of prisoners in such a short space of time, the actual number of French prisoners put to death may not have been substantial before the French reserves fled the field and Henry rescinded the order.
Aftermath
The French had suffered a catastrophic defeat. In all, around 6,000 of their fighting men lay dead on the ground. The list of casualties, one historian has noted, "read like a roll call of the military and political leaders of the past generation". Among them were 90–120 great lords and bannerets killed, including three dukes (Alençon, Bar and Brabant), nine counts (Blâmont, Dreux, Fauquembergue, Grandpré, Marle, Nevers, Roucy, Vaucourt, Vaudémont) and one viscount (Puisaye), also an archbishop. Of the great royal office holders, France lost its constable (Albret), an admiral (the lord of Dampierre), the Master of Crossbowmen (David de Rambures, dead along with three sons), Master of the Royal Household (Guichard Dauphin) and prévôt of the marshals. According to the heralds, 3,069 knights and squires were killed, while at least 2,600 more corpses were found without coats of arms to identify them. Entire noble families were wiped out in the male line, and in some regions an entire generation of landed nobility was annihilated. The bailiffs of nine major northern towns were killed, often along with their sons, relatives and supporters. In the words of Juliet Barker, the battle "cut a great swath through the natural leaders of French society in Artois, Ponthieu, Normandy, Picardy."
Estimates of the number of prisoners vary between 700 and 2,200, amongst them the dukes of Orléans and Bourbon, the counts of Eu, Vendôme, Richemont (brother of the Duke of Brittany and stepbrother of Henry V) and Harcourt, and marshal Jean Le Maingre.
While numerous English sources give the English casualties in double figures, record evidence identifies at least 112 Englishmen killed in the fighting, while Monstrelet reported 600 English dead. These included the Duke of York, the young Earl of Suffolk and the Welsh esquire Dafydd ("Davy") Gam. Jean de Wavrin, a knight on the French side wrote that English fatalities were 1,600 "men of all ranks".
Although the victory had been militarily decisive, its impact was complex. It did not lead to further English conquests immediately as Henry's priority was to return to England, which he did on 16 November, to be received in triumph in London on the 23rd. Henry returned a conquering hero, seen as blessed by God in the eyes of his subjects and European powers outside France. It established the legitimacy of the Lancastrian monarchy and the future campaigns of Henry to pursue his "rights and privileges" in France. Other benefits to the English were longer term. Very quickly after the battle, the fragile truce between the Armagnac and Burgundian factions broke down. The brunt of the battle had fallen on the Armagnacs and it was they who suffered the majority of senior casualties and carried the blame for the defeat. The Burgundians seized on the opportunity and within 10 days of the battle had mustered their armies and marched on Paris. This lack of unity in France allowed Henry eighteen months to prepare militarily and politically for a renewed campaign. When that campaign took place, it was made easier by the damage done to the political and military structures of Normandy by the battle.
Numbers at Agincourt
Most primary sources which describe the battle have English outnumbered by several times. By contrast, Anne Curry in her 2005 book Agincourt: A New History, argued, based on research into the surviving administrative records, that the French army was 12,000 strong, and the English army 9,000, proportions of four to three. While not necessarily agreeing with the exact numbers Curry uses, Bertrand Schnerb, a professor of medieval history at the University of Lille, states the French probably had 12,000–15,000 troops. Juliet Barker, Jonathan Sumption and Clifford J. Rogers criticized Curry's reliance on administrative records, arguing that they are incomplete and that several of the available primary sources already offer a credible assessment of the numbers involved. Ian Mortimer endorsed Curry's methodology, though applied it more liberally, noting how she "minimises French numbers (by limiting her figures to those in the basic army and a few specific additional companies) and maximises English numbers (by assuming the numbers sent home from Harfleur were no greater than sick lists)", and concluded that "the most extreme imbalance which is credible" is 15,000 French against 8,000–9,000 English. Barker opined that "if the differential really was as low as three to four then this makes a nonsense of the course of the battle as described by eyewitnesses and contemporaries".
Barker, Sumption and Rogers all wrote that the English probably had 6,000 men, these being 5,000 archers and 900–1,000 men-at-arms. These numbers are based on the Gesta Henrici Quinti and the chronicle of Jean Le Fèvre, the only two eyewitness accounts on the English camp. Curry and Mortimer questioned the reliability of the Gesta, as there have been doubts as to how much it was written as propaganda for Henry V. Both note that the Gesta vastly overestimates the number of French in the battle; its proportions of English archers to men-at-arms at the battle are also different from those of the English army before the siege of Harfleur. Mortimer also considers that the Gesta vastly inflates the English casualties – 5,000 – at Harfleur, and that "despite the trials of the march, Henry had lost very few men to illness or death; and we have independent testimony that no more than 160 had been captured on the way". Rogers, on the other hand, finds the number 5,000 plausible, giving several analogous historical events to support his case, and Barker considers that the fragmentary pay records which Curry relies on actually support the lower estimates.
Historians disagree less about the French numbers. Rogers, Mortimer and Sumption all give more or less 10,000 men-at-arms for the French, using as a source the herald of the Duke of Berry, an eyewitness. The number is supported by many other contemporary accounts. Curry, Rogers and Mortimer all agree the French had 4 to 5 thousand missile troops. Sumption, thus, concludes that the French had 14,000 men, basing himself on the monk of St. Denis; Mortimer gives 14 or 15 thousand fighting men. One particular cause of confusion may have been the number of servants on both sides, or whether they should at all be counted as combatants. Since the French had many more men-at-arms than the English, they would accordingly be accompanied by a far greater number of servants. Rogers says each of the 10,000 men-at-arms would be accompanied by a gros valet (an armed, armoured and mounted military servant) and a noncombatant page, counts the former as fighting men, and concludes thus that the French in fact numbered 24,000. Barker, who believes the English were outnumbered by at least four to one, says that the armed servants formed the rearguard in the battle. Mortimer notes the presence of noncombatant pages only, indicating that they would ride the spare horses during the battle and be mistakenly thought of as combatants by the English.
Popular representations
The battle remains an important symbol in popular culture. Some notable examples are listed below.
Music
Soon after the victory at Agincourt, a number of popular folk songs were created about the battle, the most famous being the "Agincourt Carol", produced in the first half of the 15th century. Other ballads followed, including "King Henry Fifth's Conquest of France", raising the popular prominence of particular events mentioned only in passing by the original chroniclers, such as the gift of tennis balls before the campaign.
Literature
The most famous cultural depiction of the battle today is in Act IV of William Shakespeare's Henry V, written in 1599. The play focuses on the pressures of kingship, the tensions between how a king should appear – chivalric, honest, and just – and how a king must sometimes act – Machiavellian and ruthless. Shakespeare illustrates these tensions by depicting Henry's decision to kill some of the French prisoners, whilst attempting to justify it and distance himself from the event. This moment of the battle is portrayed both as a break with the traditions of chivalry and as a key example of the paradox of kingship.
Shakespeare's depiction of the battle also plays on the theme of modernity. He contrasts the modern, English king and his army with the medieval, chivalric, older model of the French.
Shakespeare's play presented Henry as leading a truly English force into battle, playing on the importance of the link between the monarch and the common soldiers in the fight. The original play does not, however, feature any scenes of the actual battle itself, leading critic Rose Zimbardo to characterise it as "full of warfare, yet empty of conflict."
The play introduced the famous St Crispin's Day Speech, considered one of Shakespeare's most heroic speeches, which Henry delivers movingly to his soldiers just before the battle, urging his "band of brothers" to stand together in the forthcoming fight. Critic David Margolies describes how it "oozes honour, military glory, love of country and self-sacrifice", and forms one of the first instances of English literature linking solidarity and comradeship to success in battle. Partially as a result, the battle was used as a metaphor at the beginning of the First World War, when the British Expeditionary Force's attempts to stop the German advances were widely likened to it.
Shakespeare's portrayal of the casualty loss is ahistorical in that the French are stated to have lost 10,000 and the English 'less than' thirty men, prompting Henry's remark, "O God, thy arm was here".
In 2008, English-American author Bernard Cornwell released a retelling of both the events leading up the battle and the battle itself, titled Azincourt. The story is told predominantly through the eyes of an English longbowman named Nicholas Hook.
Films
Shakespeare's version of the battle of Agincourt has been turned into several minor and two major films. The latter, each titled Henry V, star Laurence Olivier in 1944 and Kenneth Branagh in 1989. Made just prior to the invasion of Normandy, Olivier's rendition gives the battle what Sarah Hatchuel has termed an "exhilarating and heroic" tone, with an artificial, cinematic look to the battle scenes. Branagh's version gives a longer, more realist portrayal of the battle itself, drawing on both historical sources and images from the Vietnam and Falkland Wars.
In his 2007 film adaptation, director Peter Babakitis uses digital effects to exaggerate realist features during the battle scenes, producing a more avant-garde interpretation of the fighting at Agincourt. The battle also forms a central component of the 2019 Netflix film The King, which stars Timothée Chalamet as Henry V and Robert Pattinson as the Dauphin of Viennois. The film takes inspiration from Shakespeare's Henriad plays.
Mock trial
In March 2010, a mock trial of Henry V for the crimes associated with the slaughter of the prisoners was held in Washington, D.C., drawing from both the historical record and Shakespeare's play. Participating as judges were Justices Samuel Alito and Ruth Bader Ginsburg. The trial ranged widely over whether there was just cause for war and not simply the prisoner issue. Although an audience vote was "too close to call", Henry was unanimously found guilty by the court on the basis of "evolving standards of civil society".
Agincourt today
There is a modern museum in Azincourt village dedicated to the battle. The museum lists the names of combatants of both sides who died in the battle.
Notes
References
Citations
General sources
Further reading
Beck, Steve (2005). The Battle of Agincourt, Military History Online
Cooper, Stephen (2015). "Where was Agincourt fought?" , Agincourt 600 website
Family Chronicle.com, The Agincourt Honor Roll, Family Chronicle, March/April 1997.
The Fitzwilliam Museum, University of Cambridge Macclesfield Psalter CD
Grummitt, David. (Oxford University), A review of Agincourt 1415: Henry V, Sir Thomas Erpingham and the triumph of the English archers ed. Anne Curry, Pub: Tempus UK, 2000 . Accessed 15 April 2008.
Hansen, Mogens Herman (Copenhagen Polis Centre) The Little Grey Horse – Henry V's Speech at Agincourt and the Battle Exhortation in Ancient Historiography Histos volume 2 (March 1998), website of the Department of Classics and Ancient History, University of Durham
"Battle of Agincourt" in Military Heritage, October 2005, Volume 7, No. 2, pp. 36–43. .
External links
Battle of Agincourt memorial
The Agincourt Battlefield Archaeology Project, Tim Sutherland (Project Director)
Azincourt Museum
– Bragg, Melvyn (presenter), with Anne Curry, Michael Jones and John Watts, 16 September 2004.
Detailed list of French casualties
Contemporary account of battle by Enguerrand de Monstrelet (d.1453), governor of Cambrai and supporter of the French crown.
Battle of Agincourt on Medieval Archives Podcast
Battle of Agincourt animated map by David Crowther
Agincourt campaign animated map by David Crowther
[https://www.youtube.com/watch?v=GBJww-70sCU} Lt Col John Woodford and Excavations at Azincourt (17 September 2015, Agincourt600 conference) by Tim Sutherland
1410s in France
1415 in England
Agincourt
Agincourt 1415
Conflicts in 1415
Henry V of England
History of archery
Military history of the Pas-de-Calais
Hundred Years' War, 1415–1453 | 10 |
The Bronze Age is a historic period, lasting approximately from 3300 BC to 1200 BC, characterized by the use of bronze, the presence of writing in some areas, and other early features of urban civilization. The Bronze Age is the second principal period of the three-age system proposed in 1836 by Christian Jürgensen Thomsen for classifying and studying ancient societies and history. It is also considered the second phase, of three, in the Metal Ages.
An ancient civilization is deemed to be part of the Bronze Age because it either produced bronze by smelting its own copper and alloying it with tin, arsenic, or other metals, or traded other items for bronze from production areas elsewhere. Bronze is harder and more durable than the other metals available at the time, allowing Bronze Age civilizations to gain a technological advantage.
While terrestrial iron is naturally abundant, the higher temperature required for smelting, , in addition to the greater difficulty of working with the metal, placed it out of reach of common use until the end of the second millennium BC. Tin's low melting point of and copper's relatively moderate melting point of placed them within the capabilities of the Neolithic pottery kilns, which date back to 6,000 BC and were able to produce temperatures greater than . Copper and tin ores are rare, since there were no tin bronzes in Western Asia before trading in bronze began in the 3rd millennium BC. Worldwide, the Bronze Age generally followed the Neolithic period, with the Chalcolithic serving as a transition.
Bronze Age cultures differed in their development of writing. According to archaeological evidence, cultures in Mesopotamia (cuneiform script) and Egypt (hieroglyphs) developed the earliest practical writing systems.
The Bronze Age is said to have ended with the
Late Bronze Age collapse, a time of widespread societal collapse during the 12th century BC, between and 1150. The collapse affected a large area of the Eastern Mediterranean (North Africa and Southeast Europe) and the Near East, in particular Egypt, eastern Libya, the Balkans, the Aegean, Anatolia, and the Caucasus. It was sudden, violent, and culturally disruptive for many Bronze Age civilizations, and it brought a sharp economic decline to regional powers, notably ushering in the Greek Dark Ages.
Metal use
The period is characterized by the widespread use of bronze, even if only by elites in its early years, though the introduction and development of bronze technology were not universally synchronous. Human-made tin bronze technology requires set production techniques. Tin must be mined (mainly as the tin ore cassiterite) and smelted separately, then added to hot copper to make bronze alloy. The Bronze Age was a time of extensive use of metals and of developing trade networks (See Tin sources and trade in ancient times). A 2013 report suggests that the earliest tin-alloy bronze was a foil dated to the mid-5th millennium BC from a Vinča culture site in Pločnik (Serbia), although this culture is not conventionally considered part of the Bronze Age. The dating of the foil has been disputed.
Near East
Western Asia and the Near East were the first regions to enter the Bronze Age, which began with the rise of the Mesopotamian civilization of Sumer in the mid-4th millennium BC. Cultures in the ancient Near East (often called one of "the cradles of civilization") practiced intensive year-round agriculture, developed writing systems, invented the potter's wheel, created centralized governments (usually in the form of hereditary monarchies), written law codes, city-states and nation-states and empires, embarked on advanced architectural projects, introduced social stratification, economic and civil administration, slavery, and practiced organized warfare, medicine and religion. Societies in the region laid the foundations for astronomy, mathematics and astrology.
The following dates are approximate. For details, consult linked articles.
Near East Bronze Age divisions
The Bronze Age in the Near East can be conveniently divided into Early, Middle and Late periods. The dates and phases below are applicable solely to the Near East, not universally.
Early Bronze Age (EBA): 3300–2100 BC
3300–3000: EBA I
3000–2700: EBA II
2700–2200: EBA III
2200–2100: EBA IV
Middle Bronze Age (MBA) or Intermediate Bronze Age (IBA): 2100–1550 BC
2100–2000: MBA I
2000–1750: MBA II A
1750–1650: MBA II B
1650–1550: MBA II C
Late Bronze Age (LBA): 1550–1200 BC
1550–1400: LBA I
1400–1300: LBA II A
1300–1200: LBA II B (Bronze Age collapse)
Anatolia
The Hittite Empire was established in Hattusa in northern Anatolia from the 18th century BC. In the 14th century BC the Hittite Kingdom was at its height, encompassing central Anatolia, southwestern Syria as far as Ugarit, and upper Mesopotamia. After 1180 BC, amid general turmoil in the Levant conjectured to have been associated with the sudden arrival of the Sea Peoples, the kingdom disintegrated into several independent "Neo-Hittite" city-states, some of which survived until as late as the 8th century BC.
Arzawa in Western Anatolia during the second half of the second millennium BC likely extended along southern Anatolia in a belt that reaches from near the Turkish Lakes Region to the Aegean coast. Arzawa was the western neighbor—sometimes a rival and sometimes a vassal—of the Middle and New Hittite Kingdoms.
The Assuwa league was a confederation of states in western Anatolia that was defeated by the Hittites under an earlier Tudhaliya I, around 1400 BC. Arzawa has been associated with the much more obscure Assuwa generally located to its north. It probably bordered it, and may even be an alternative term for it (at least during some periods).
Egypt
Early Bronze dynasties
In Ancient Egypt, the Bronze Age begins in the Protodynastic period, 3150 BC. The archaic Early Bronze Age of Egypt, known as the Early Dynastic Period of Egypt, immediately follows the unification of Lower and Upper Egypt, 3100 BC. It is generally taken to include the First and Second Dynasties, lasting from the Protodynastic Period of Egypt until about 2686 BC, or the beginning of the Old Kingdom. With the First Dynasty, the capital moved from Abydos to Memphis with a unified Egypt ruled by an Egyptian god-king. Abydos remained the major holy land in the south. The hallmarks of ancient Egyptian civilization, such as art, architecture and many aspects of religion, took shape during the Early Dynastic Period. Memphis in the Early Bronze Age was the largest city of the time. The Old Kingdom of the regional Bronze Age is the name given to the period in the 3rd millennium BC when Egypt attained its first continuous peak of civilization in complexity and achievement—the first of three "Kingdom" periods, which mark the high points of civilization in the lower Nile Valley (the others being Middle Kingdom and the New Kingdom).
The First Intermediate Period of Egypt, often described as a "dark period" in ancient Egyptian history, spanned about 100 years after the end of the Old Kingdom from about 2181 to 2055 BC. Very little monumental evidence survives from this period, especially from the early part of it. The First Intermediate Period was a dynamic time when the rule of Egypt was roughly divided between two competing for power bases: Heracleopolis in Lower Egypt and Thebes in Upper Egypt. These two kingdoms would eventually come into conflict, with the Theban kings conquering the north, resulting in the reunification of Egypt under a single ruler during the second part of the Eleventh Dynasty.
Nubia
The Bronze Age in Nubia started as early as 2300 BC. Copper smelting was introduced by Egyptians to the Nubian city of Meroë, in modern-day Sudan, around 2600 BC. A furnace for bronze casting was found in Kerma that has been dated to 2300–1900 BC.
Middle Bronze dynasties
The Middle Kingdom of Egypt lasted from 2055 to 1650 BC. During this period, the Osiris funerary cult rose to dominate Egyptian popular religion. The period comprises two phases: the 11th Dynasty, which ruled from Thebes and the 12th and 13th Dynasties centered on el-Lisht. The unified kingdom was previously considered to comprise the 11th and 12th Dynasties, but historians now at least partially consider the 13th Dynasty to belong to the Middle Kingdom.
During the Second Intermediate Period, Ancient Egypt fell into disarray for a second time, between the end of the Middle Kingdom and the start of the New Kingdom. It is best known for the Hyksos, whose reign comprised the 15th and 16th dynasties. The Hyksos first appeared in Egypt during the 11th Dynasty, began their climb to power in the 13th Dynasty, and emerged from the Second Intermediate Period in control of Avaris and the Delta. By the 15th Dynasty, they ruled lower Egypt, and they were expelled at the end of the 17th Dynasty.
Late Bronze dynasties
The New Kingdom of Egypt, also referred to as the Egyptian Empire, lasted from the 16th to the 11th century BC. The New Kingdom followed the Second Intermediate Period and was succeeded by the Third Intermediate Period. It was Egypt's most prosperous time and marked the peak of Egypt's power. The later New Kingdom, i.e. the 19th and 20th Dynasties (1292–1069 BC), is also known as the Ramesside period, after the eleven pharaohs that took the name of Ramesses.
Iranian plateau
Elam was a pre-Iranian ancient civilization located to the east of Mesopotamia. In the Old Elamite period (Middle Bronze Age), Elam consisted of kingdoms on the Iranian Plateau, centered in Anshan, and from the mid-2nd millennium BC, it was centered in Susa in the Khuzestan lowlands. Its culture played a crucial role in the Gutian Empire and especially during the Iranian Achaemenid dynasty that succeeded it.
The Oxus civilization was a Bronze Age Central Asian culture dated to 2300–1700 BC and centered on the upper Amu Darya (Oxus). In the Early Bronze Age, the culture of the Kopet Dag oases and Altyndepe developed a proto-urban society. This corresponds to level IV at Namazga-Tepe. Altyndepe was a major center even then. Pottery was wheel-turned. Grapes were grown. The height of this urban development was reached in the Middle Bronze Age 2300 BC, corresponding to level V at Namazga-Depe. This Bronze Age culture is called the Bactria–Margiana Archaeological Complex (BMAC).
The Kulli culture, similar to that of the Indus Valley civilisation, was located in southern Balochistan (Gedrosia) 2500–2000 BC. Agriculture was the economic base of these people. At several places, dams were found, providing evidence for a highly developed water management system.
Konar Sandal is associated with the hypothesized "Jiroft culture", a 3rd-millennium-BC culture postulated based on a collection of artifacts confiscated in 2001.
Levant
In modern scholarship, the chronology of the Bronze Age Levant is divided into:
Early/Proto Syrian; corresponding to the Early Bronze.
Old Syrian; corresponding to the Middle Bronze.
Middle Syrian; corresponding to the Late Bronze.
The term Neo-Syria is used to designate the early Iron Age.
The old Syrian period was dominated by the Eblaite first kingdom, Nagar and the Mariote second kingdom. The Akkadians conquered large areas of the Levant and were followed by the Amorite kingdoms, 2000–1600 BC, which arose in Mari, Yamhad, Qatna, Assyria. From the 15th century BC onward, the term Amurru is usually applied to the region extending north of Canaan as far as Kadesh on the Orontes River.
The earliest-known contact of Ugarit with Egypt (and the first exact dating of Ugaritic civilization) comes from a carnelian bead identified with the Middle Kingdom pharaoh Senusret I, 1971–1926 BC. A stela and a statuette of the Egyptian pharaohs Senusret III and Amenemhet III have also been found. However, it is unclear when they got to Ugarit. In the Amarna letters, messages from Ugarit 1350 BC written by Ammittamru I, and Niqmaddu II and his queen, have been discovered. From the 16th to the 13th century BC, Ugarit remained in constant touch with Egypt and Cyprus (Alashiya).
Mitanni was a loosely organized state in northern Syria and south-east Anatolia from 1500–1300 BC. Founded by an [[Indo-Aryan peoples[Indo-Aryan]] ruling class that governed a predominantly Hurrian population, Mitanni came to be a regional power after the Hittite destruction of Kassite Babylon created a power vacuum in Mesopotamia. At its beginning, Mitanni's major rival was Egypt under the Thutmosids. However, with the ascent of the Hittite empire, Mitanni and Egypt allied to protect their mutual interests from the threat of Hittite domination. At the height of its power, during the 14th century BC, it had outposts centered on its capital, Washukanni, which archaeologists have located on the headwaters of the Khabur River. Eventually, Mitanni succumbed to Hittite, and later Assyrian attacks, and was reduced to a province of the Middle Assyrian Empire.
The Israelites were an ancient Semitic-speaking people of the Ancient Near East who inhabited part of Canaan during the tribal and monarchic periods (15th to 6th centuries BC), and lived in the region in smaller numbers after the fall of the monarchy. The name "Israel" first appears 1209 BC, at the end of the Late Bronze Age and the very beginning of the Iron Age, on the Merneptah Stele raised by the Egyptian pharaoh Merneptah.
The Arameans were a Northwest Semitic semi-nomadic and pastoralist people who originated in what is now modern Syria (Biblical Aram) during the Late Bronze Age and the early Iron Age. Large groups migrated to Mesopotamia, where they intermingled with the native Akkadian (Assyrian and Babylonian) population. The Aramaeans never had a unified empire; they were divided into independent kingdoms all across the Near East. After the Bronze Age collapse, their political influence was confined to many Syro-Hittite states, which were entirely absorbed into the Neo-Assyrian Empire by the 8th century BC.
Mesopotamia
The Mesopotamian Bronze Age began about 3500 BC and ended with the Kassite period ( 1500 BC – 1155 BC). The usual tripartite division into an Early, Middle and Late Bronze Age is not used. Instead, a division primarily based on art-historical and historical characteristics is more common.
The cities of the Ancient Near East housed several tens of thousands of people. Ur, Kish, Isin, Larsa and Nippur in the Middle Bronze Age and Babylon, Calah and Assur in the Late Bronze Age similarly had large populations. The Akkadian Empire (2335–2154 BC) became the dominant power in the region, and after its fall the Sumerians enjoyed a renaissance with the Neo-Sumerian Empire. Assyria became a regional power, under the Amorite king Shamshi-Adad I, with the Old Assyrian Empire ( 1800–1600 BC). The earliest mention of Babylon (then a small administrative town) appears on a tablet from the reign of Sargon of Akkad in the 23rd century BC. The Amorite dynasty established the city-state of Babylon in the 19th century BC. Over 100 years later, it briefly took over the other city-states and formed the short-lived First Babylonian Empire during what is also called the Old Babylonian Period. Akkad, Assyria, and Babylonia all used the written East Semitic Akkadian language for official use and as a spoken language. By that time, the Sumerian language was no longer spoken, but was still in religious use in Assyria and Babylonia, and would remain so until the 1st century AD. The Akkadian and Sumerian traditions played a major role in later Assyrian and Babylonian culture, even though Babylonia, unlike the more militarily powerful Assyria, itself was founded by non-native Amorites and often ruled by other non-indigenous peoples, such as Kassites, Aramaeans and Chaldeans, as well as its Assyrian neighbors.
Asia
Central Asia
Agropastoralism
For many decades scholars made superficial reference to Central Asia as the "pastoral realm" or alternatively, the "nomadic world", in what researchers have come to call the "Central Asian void": a 5,000 year span that was neglected in studies of the origins of agriculture. Foothill regions and glacial melt streams supported Bronze Age agropastoralists who developed complex east–west trade routes between Central Asia and China that introduced wheat and barley to China and spread millet across Central Asia.
Bactria–Margiana Archaeological Complex
The Bactria–Margiana Archaeological Complex (BMAC), also known as the Oxus civilization, was a Bronze Age civilization in Central Asia, dated to c. 2400–1600 BC, located in present-day northern Afghanistan, eastern Turkmenistan, southern Uzbekistan and western Tajikistan, centred on the upper Amu Darya (Oxus River). Its sites were discovered and named by the Soviet archaeologist Viktor Sarianidi (1976). Bactria was the Greek name for the area of Bactra (modern Balkh), in what is now northern Afghanistan, and Margiana was the Greek name for the Persian satrapy of Marguš, the capital of which was Merv, in modern-day southeastern Turkmenistan.
A wealth of information indicates that the BMAC had close international relations with the Indus Valley, the Iranian Plateau, and possibly even indirectly with Mesopotamia, and all civilizations were very familiar with lost wax casting.
According to recent studies, the BMAC was not a primary contributor to later South-Asian genetics.
Seima-Turbino phenomenon
The Altai Mountains in what is now southern Russia and central Mongolia have been identified as the point of origin of a cultural enigma termed the Seima-Turbino Phenomenon. It is conjectured that changes in climate in this region around 2000 BC and the ensuing ecological, economic and political changes triggered a rapid and massive migration westward into northeast Europe, eastward into China and southward into Vietnam and Thailand
across a frontier of some 4,000 miles. This migration took place in just five to six generations and led to peoples from Finland in the west to Thailand in the east employing the same metalworking technology and, in some areas, horse breeding and riding. It is further conjectured that the same migrations spread the Uralic group of languages across Europe and Asia: some 39 languages of this group are still extant, including Hungarian, Finnish and Estonian. However, recent genetic testings of sites in south Siberia and Kazakhstan (Andronovo horizon) would rather support spreading of the bronze technology via Indo-European migrations eastwards, as this technology had been well known for quite a while in western regions.
East Asia
China
In China, the earliest bronze artifacts have been found in the Majiayao culture site (between 3100 and 2700 BC).
The term "Bronze Age" has been transferred to the archaeology of China from that of Western Eurasia, and there is no consensus or universally used convention delimiting the "Bronze Age" in the context of Chinese prehistory. "Early Bronze Age" in China is sometimes taken as equivalent to the "Shang dynasty" period (16th to 11th centuries BC), and the "Later Bronze Age" as equivalent to the "Zhou dynasty" period (11th to 3rd centuries BC, from the 5th century, also dubbed "Iron Age"), although there is an argument to be made that the "Bronze Age" proper never ended in China, as there is no recognizable transition to an "Iron Age". Significantly, together with the jade art that precedes it, bronze was seen as a "fine" material for ritual art when compared with iron or stone.
Bronze metallurgy in China originated in what is referred to as the Erlitou () period, which some historians argue places it within the Shang dynasty. Others believe the Erlitou sites belong to the preceding Xia () dynasty. The U.S. National Gallery of Art defines the Chinese Bronze Age as the "period between about 2000 BC and 771 BC", a period that begins with the Erlitou culture and ends abruptly with the disintegration of Western Zhou rule.
There is reason to believe that bronze work developed inside China apart from outside influence. However, the discovery of Europoid mummies in Xinjiang has caused some scholars such as Johan Gunnar Andersson, Jan Romgard, and to suggest a possible route of transmission from the West eastwards. According to An Zhimin, "It can be imagined that initially, bronze and iron technology took its rise in West Asia, first influenced the Xinjiang region, and then reached the Yellow River valley, providing external impetus for the rise of the Shang and Zhou civilizations." According to Jan Romgard, "bronze and iron tools seems to have traveled from west to east as well as the use of wheeled wagons and the domestication of the horse." There are also possible links to Seima-Turbino culture, "a transcultural complex across northern Eurasia," the Eurasian steppe, and the Urals. However, the oldest bronze objects found in China so far were discovered at the Majiayao site in Gansu rather than at Xinjiang.
The Shang dynasty (also known as the Yin dynasty) of the Yellow River Valley rose to power after the Xia dynasty around 1600 BC. While some direct information about the Shang dynasty comes from Shang-era inscriptions on bronze artifacts, most comes from oracle bones—turtle shells, cattle scapulae, or other bones—which bear glyphs that form the first significant corpus of recorded Chinese characters.
The production of Erlitou in Henan represents the earliest large-scale metallurgy industry in the Central Plains of China. The influence of the Saima-Turbino metalworking tradition from the north is supported by a series of recent discoveries in China of many unique perforated spearheads with downward hooks and small loops on the same or opposite side of the socket, which could be associated with the Seima-Turbino visual vocabulary of southern Siberia. The metallurgical centers of northwestern China, especially Qijia in Gansu and Kexingzhuang culture in Shaanxi, played an intermediary role in this process.
Iron has been found from the Zhou dynasty, but its use was minimal. Chinese literature dating to the 6th century BC attests knowledge of iron smelting, yet bronze continues to occupy the seat of significance in the archaeological and historical record for some time after this. Historian W.C. White argues that iron did not supplant bronze "at any period before the end of the Zhou dynasty (256 BC)" and that bronze vessels make up the majority of metal vessels through the Later Han period, or to 221 BC.
The Chinese bronze artifacts generally are either utilitarian, like spear points or adze heads, or "ritual bronzes", which are more elaborate versions in precious materials of everyday vessels, as well as tools and weapons. Examples are the numerous large sacrificial tripods known as dings in Chinese; there are many other distinct shapes. Surviving identified Chinese ritual bronzes tend to be highly decorated, often with the taotie motif, which involves highly stylized animal faces. These appear in three main motif types: those of demons, symbolic animals, and abstract symbols. Many large bronzes also bear cast inscriptions that are the great bulk of the surviving body of early Chinese writing and have helped historians and archaeologists piece together the history of China, especially during the Zhou dynasty (1046–256 BC).
The bronzes of the Western Zhou dynasty document large portions of history not found in the extant texts that were often composed by persons of varying rank and possibly even social class. Further, the medium of cast bronze lends the record they preserve a permanence not enjoyed by manuscripts. These inscriptions can commonly be subdivided into four parts: a reference to the date and place, the naming of the event commemorated, the list of gifts given to the artisan in exchange for the bronze, and a dedication. The relative points of reference these vessels provide have enabled historians to place most of the vessels within a certain time frame of the Western Zhou period, allowing them to trace the evolution of the vessels and the events they record.
Korea
The beginning of the Bronze Age on the peninsula is around 1000–800 BC. Initially centered around Liaoning and southern Manchuria, Korean Bronze Age culture exhibits unique typology and styles, especially in ritual objects.
The Mumun pottery period is named after the Korean name for undecorated or plain cooking and storage vessels that form a large part of the pottery assemblage over the entire length of the period, but especially 850–550 BC. The Mumun period is known for the origins of intensive agriculture and complex societies in both the Korean Peninsula and the Japanese Archipelago.
The Middle Mumun pottery period culture of the southern Korean Peninsula gradually adopted bronze production ( 700–600? BC) after a period when Liaoning-style bronze daggers and other bronze artifacts were exchanged as far as the interior part of the Southern Peninsula ( 900–700 BC). The bronze daggers lent prestige and authority to the personages who wielded and were buried with them in high-status megalithic burials at south-coastal centers such as the Igeum-dong site. Bronze was an important element in ceremonies and for mortuary offerings until 100 BC.
Japan
The Japanese archipelago saw the introduction of bronze during the beginning of the Early Yayoi period (≈300 BC), which saw the introduction of metalworking and agricultural practices brought in by settlers arriving from the continent. Bronze and iron smelting techniques spread to the Japanese archipelago through contact with other ancient East Asian civilizations, particularly immigration and trade from the ancient Korean peninsula, and ancient mainland China. Iron was mainly used for agricultural and other tools, whereas ritual and ceremonial artifacts were mainly made of bronze.
South Asia
(Dates are approximate, consult linked articles for details)
Indus Valley
The Bronze Age on the Indian subcontinent began around 3300 BC with the beginning of the Indus Valley Civilization. Inhabitants of the Indus Valley, the Harappans, developed new techniques in metallurgy and produced copper, bronze, lead and tin. The Late Harappan culture, which dates from 1900 to 1400 BC, overlapped the transition from the Bronze Age to the Iron Age; thus it is difficult to date this transition accurately. It has been claimed that a 6,000-year-old copper amulet manufactured in Mehrgarh in the shape of wheel spoke is the earliest example of lost-wax casting in the world.
The civilization's cities were noted for their urban planning, baked brick houses, elaborate drainage systems, water supply systems, clusters of large non-residential buildings, and new techniques in handicraft (carnelian products, seal carving) and metallurgy (copper, bronze, lead, and tin). The large cities of Mohenjo-daro and Harappa very likely grew to contain between 30,000 and 60,000 individuals, and the civilization itself during its florescence may have contained between one and five million individuals.
Southeast Asia
The Vilabouly Complex in Laos is a significant archaeological site for dating the origin of bronze metallurgy in Southeast Asia.
Thailand
In Ban Chiang, Thailand, (Southeast Asia) bronze artifacts have been discovered dating to 2100 BC. However, according to the radiocarbon dating on the human and pig bones in Ban Chiang, some scholars propose that the initial Bronze Age in Ban Chiang was in the late 2nd millennium. In Nyaunggan, Burma, bronze tools have been excavated along with ceramics and stone artifacts. Dating is still currently broad (3500–500 BC). Ban Non Wat, excavated by Charles Higham, was a rich site with over 640 graves excavated that gleaned many complex bronze items that may have had social value connected to them.
Ban Chiang, however, is the most thoroughly documented site and has the clearest evidence of metallurgy when it comes to Southeast Asia. With a rough date range of the late 3rd millennium BC to the first millennium AD, this site alone has various artifacts such as burial pottery (dating from 2100 to 1700 BC), fragments of bronze and copper-base bangles. This technology suggested on-site casting from the very beginning. The on-site casting supports the theory that bronze was when first introduced in Southeast Asia, and so bronze came from a different country. Some scholars believe that copper-based metallurgy was disseminated from northwest and central China south and southwest via areas such as Guangdong province and Yunnan province and finally into southeast Asia around 1000 BC. Archaeology also suggests that Bronze Age metallurgy may not have been as significant a catalyst in social stratification and warfare in Southeast Asia as in other regions, and that social distribution shifted away from chiefdom-states to a heterarchical network. Data analyses of sites such as Ban Lum Khao, Ban Na Di, Non-Nok Tha, Khok Phanom Di, and Nong Nor have consistently led researchers to conclude that there was no entrenched hierarchy.
Vietnam
Dating back to the Neolithic Age, the first bronze drums, called the Dong Son drums, were uncovered in and around the Red River Delta regions of Northern Vietnam and Southern China. These relate to the Dong Son culture of Vietnam.
Archaeological research in Northern Vietnam indicates an increase in rates of infectious disease following the advent of metallurgy; skeletal fragments in sites dating to the early and mid-Bronze Age evidence a greater proportion of lesions than in sites of earlier periods. There are a few possible implications of this. One is the increased contact with bacterial and/or fungal pathogens due to increased population density and land clearing/cultivation. The other one is decreased levels of immunocompetence in the Metal age due to changes in diet caused by agriculture. The last is that there may have been an emergence of infectious disease that evolved into a more virulent form in the metal period.
Myanmar
Europe
A few examples of named Bronze Age cultures in Europe in roughly relative order.
(Dates are approximate, consult linked articles for details)
The chosen cultures overlapped in time and the indicated periods do not fully correspond to their estimated extents.
Southeast Europe
Radivojevic et al. (2013) reported the discovery of a tin bronze foil from the Pločnik archaeological site securely dated to c. 4650 BC as well as 14 other artifacts from Serbia and Bulgaria dated to before 4000 BC, showing that early tin bronze was more common than previously thought and developed independently in Europe 1500 years before the first tin bronze alloys in the Near East. The production of complex tin bronzes lasted for c. 500 years in the Balkans. The authors reported that evidence for the production of such complex bronzes disappears at the end of the 5th millennium, coinciding with the "collapse of large cultural complexes in north-eastern Bulgaria and Thrace in the late fifth millennium BC". Tin bronzes using cassiterite tin were reintroduced to the area some 1500 years later.
The oldest golden artifacts in the world (4600 BC - 4200 BC) were found in the Necropolis of Varna. These artefacts are on display in the Varna Archaeological Museum
The Dabene Treasure was unearthed from 2004 to 2007 near Karlovo, Plovdiv Province, central Bulgaria. The whole treasure consists of 20,000 gold jewelry items from 18 to 23 carats. The most important of them was a dagger made of gold and platinum with an unusual edge. The treasure was dated to the end of the 3rd millennium B.C. Scientists suggest that the Karlovo valley used to be a major crafts center that exported golden jewelry all over Europe. It is considered one of the largest prehistoric golden treasures in the world.
Aegean
The Aegean Bronze Age began around 3200 BC, when civilizations first established a far-ranging trade network. This network imported tin and charcoal to Cyprus, where copper was mined and alloyed with tin to produce bronze. Bronze objects were then exported far and wide and supported the trade. Isotopic analysis of tin in some Mediterranean bronze artifacts suggests that they may have originated from Great Britain.
Knowledge of navigation was well-developed by this time and reached a peak of skill not exceeded (except perhaps by Polynesian sailors) until 1730 when the invention of the chronometer enabled the precise determination of longitude.
The Minoan civilization based in Knossos on the island of Crete appears to have coordinated and defended its Bronze Age trade. Ancient empires valued luxury goods in contrast to staple foods, leading to famine.
Aegean collapse
Bronze Age collapse theories have described aspects of the end of the Bronze Age in this region. At the end of the Bronze Age in the Aegean region, the Mycenaean administration of the regional trade empire followed the decline of Minoan primacy. Several Minoan client states lost much of their population to famine and/or pestilence. This would indicate that the trade network may have failed, preventing the trade that would previously have relieved such famines and prevented illness caused by malnutrition. It is also known that in this era the breadbasket of the Minoan empire, the area north of the Black Sea, also suddenly lost much of its population, and thus probably some capacity to cultivate crops. Drought and famine in Anatolia may have also led to the Aegean collapse by disrupting trade networks, and therefore preventing the Aegean from accessing bronze and luxury goods.
The Aegean collapse has been attributed to the exhaustion of the Cypriot forests causing the end of the bronze trade. These forests are known to have existed in later times, and experiments have shown that charcoal production on the scale necessary for the bronze production of the late Bronze Age would have exhausted them in less than fifty years.
The Aegean collapse has also been attributed to the fact that as iron tools became more common, the main justification for the tin trade ended, and that trade network ceased to function as it did formerly. The colonies of the Minoan empire then suffered drought, famine, war, or some combination of the three, and had no access to the distant resources of an empire by which they could easily recover.
The Thera eruption occurred 1600 BC, north of Crete. Speculation includes that a tsunami from Thera (more commonly known today as Santorini) destroyed Cretan cities. A tsunami may have destroyed the Cretan navy in its home harbor, which then lost crucial naval battles; so that in the LMIB/LMII event ( 1450 BC) the cities of Crete burned and the Mycenaean civilization took Knossos over. If the eruption occurred in the late 17th century BC (as most chronologists now think) then its immediate effects belong to the Middle to Late Bronze Age transition, and not to the end of the Late Bronze Age, but it could have triggered the instability that led to the collapse first of Knossos and then of Bronze Age society overall. One such theory highlights the role of Cretan expertise in administering the empire, post–Thera. If this expertise was concentrated in Crete, then the Mycenaeans may have made political and commercial mistakes in administering the Cretan empire.
Archaeological findings, including some on the island of Thera, suggest that the center of the Minoan civilization at the time of the eruption was actually on Thera rather than on Crete. According to this theory, the catastrophic loss of the political, administrative and economic center due to the eruption, as well as the damage wrought by the tsunami to the coastal towns and villages of Crete precipitated the decline of the Minoans. A weakened political entity with a reduced economic and military capability and fabled riches would have then been more vulnerable to conquest. Indeed, the Santorini eruption is usually dated to 1630 BC, while the Mycenaean Greeks first enter the historical record a few decades later, 1600 BC. The later Mycenaean assaults on Crete ( 1450 BC) and Troy ( 1250 BC) would have been a continuation of the steady encroachment of the Greeks upon the weakened Minoan world.
Central Europe
In Central Europe, the early Bronze Age Unetice culture (2300–1600 BC) includes numerous smaller groups like the Straubing, Adlerberg and Hatvan cultures. Some very rich burials, such as the one located at Leubingen with grave gifts crafted from gold, point to an increase of social stratification already present in the Unetice culture. All in all, cemeteries of this period are small and rare. The Unetice culture was followed by the middle Bronze Age (1600–1200 BC) tumulus culture, characterised by inhumation burials in tumuli (barrows). In the eastern Hungarian Körös tributaries, the early Bronze Age first saw the introduction of the Mako culture, followed by the Otomani and Gyulavarsand cultures.
The late Bronze Age Urnfield culture (1300–700 BC) was characterized by cremation burials. It included the Lusatian culture in eastern Germany and Poland (1300–500 BC) that continues into the Iron Age. The Central European Bronze Age was followed by the Iron Age Hallstatt culture (700–450 BC).
Important sites include:
Biskupin (Poland)
Nebra (Germany)
Vráble (Slovakia)
Zug-Sumpf, Zug, Switzerland
German prehistorian Paul Reinecke described Bronze A1 (Bz A1) period (2300–2000 BC: triangular daggers, flat axes, stone wrist-guards, flint arrowheads) and Bronze A2 (Bz A2) period (1950–1700 BC: daggers with metal hilt, flanged axes, halberds, pins with perforated spherical heads, solid bracelets) and phases Hallstatt A and B (Ha A and B).
Southern Europe
The Apennine culture (also called Italian Bronze Age) is a technology complex of central and southern Italy spanning the Chalcolithic and Bronze Age proper. The Camuni were an ancient people of uncertain origin (according to Pliny the Elder, they were Euganei; according to Strabo, they were Rhaetians) who lived in Val Camonica—in what is now northern Lombardy—during the Iron Age, although groups of hunters, shepherds, and farmers are known to have lived in the area since the Neolithic.
Located in Sardinia and Corsica, the Nuragic civilization lasted from the early Bronze Age (18th century BC) to the 2nd century AD, when the islands were already Romanized. They take their name from the characteristic Nuragic towers, which evolved from the pre-existing megalithic culture, which built dolmens and menhirs.
The towers are unanimously considered the best-preserved and largest megalithic remains in Europe. Their purpose is still debated: some scholars consider them monumental tombs, others as Houses of the Giants, other as fortresses, ovens for metal fusion, prisons, or, finally, temples for a solar cult. Around the end of the 3rd millennium BC, Sardinia exported to Sicily a culture that built small dolmens, trilithic or polygonal shaped, that served as tombs, as in the Sicilian dolmen of "Cava dei Servi". From this region, they reached Malta and other countries of Mediterranean basin.
The Terramare was an early Indo-European civilization in the area of what is now Pianura Padana (in northern Italy) before the arrival of the Celts, and in other parts of Europe. They lived in square villages of wooden stilt houses. These villages were built on land, but generally near a stream, with roads that crossed each other at right angles. The whole complex was of the nature of a fortified settlement. The Terramare culture was widespread in the Pianura Padana, especially along the Panaro river, between Modena and Bologna, and in the rest of Europe. The civilization developed in the Middle and Late Bronze Age, between the 17th and the 13th centuries BC.
The Castellieri culture developed in Istria during the Middle Bronze Age. It lasted for more than a millennium, from the 15th century BC until the Roman conquest in the 3rd century BC. It takes its name from the fortified boroughs (Castellieri, Friulian: cjastelir) that characterized the culture.
The Canegrate culture developed from the mid-Bronze Age (13th century BC) until the Iron Age in the Pianura Padana, in what are now western Lombardy, eastern Piedmont, and Ticino. It takes its name from the township of Canegrate, where, in the 20th century, some fifty tombs with ceramics and metal objects were found. The Canegrate culture migrated from the northwest part of the Alps and descended to Pianura Padana from the Swiss Alps passes and the Ticino.
The Golasecca culture developed starting from the late Bronze Age in the Po plain. It takes its name from Golasecca, a locality next to the Ticino, where, in the early 19th century, abbot excavated its first findings (some fifty tombs with ceramics and metal objects). Remains of the Golasecca culture span an area of c. 20,000 square kilometers south to the Alps, between the Po, Sesia, and Serio rivers, dating from the 9th to the 4th century BC.
West Europe
Great Britain
In Great Britain, the Bronze Age is considered to have been the period from around 2100 to 750 BC. Migration brought new people to the islands from the continent. Recent tooth enamel isotope research on bodies found in early Bronze Age graves around Stonehenge indicates that at least some of the migrants came from the area of modern Switzerland. Another example site is Must Farm near Whittlesey, host to the most complete Bronze Age wheel ever to be found. The Beaker culture displayed different behaviors from earlier Neolithic people, and cultural change was significant. Integration is thought to have been peaceful, as many of the early henge sites were seemingly adopted by the newcomers. The rich Wessex culture developed in southern Britain at this time. Additionally, the climate was deteriorating; where once the weather was warm and dry it became much wetter as the Bronze Age continued, forcing the population away from easily defended sites in the hills and into the fertile valleys. Large livestock farms developed in the lowlands and appear to have contributed to economic growth and inspired increasing forest clearances. The Deverel-Rimbury culture began to emerge in the second half of the Middle Bronze Age ( 1400–1100 BC) to exploit these conditions. Devon and Cornwall were major sources of tin for much of western Europe and copper was extracted from sites such as the Great Orme mine in northern Wales. Social groups appear to have been tribal but with growing complexity and hierarchies becoming apparent.
The burials, which until this period had usually been communal, became more individual. For example, whereas in the Neolithic a large chambered cairn or long barrow housed the dead, Early Bronze Age people buried their dead in individual barrows (commonly known and marked on modern British Ordnance Survey maps as tumuli), or sometimes in cists covered with cairns.
The greatest quantities of bronze objects in England were discovered in East Cambridgeshire, with the most important finds recovered in Isleham (more than 6500 pieces).
Alloying of copper with zinc or tin to make brass or bronze was practiced soon after the discovery of copper itself. One copper mine at Great Orme in North Wales, reached a depth of 70 meters. At Alderley Edge in Cheshire, carbon dating has established mining at around 2280 to 1890 BC (95% probability). The earliest identified metalworking site (Sigwells, Somerset) came much later, dated by globular urn-style pottery to approximately the 12th century BC. The identifiable sherds from over 500 mould fragments included a perfect fit of the hilt of a sword in the Wilburton style held in Somerset County Museum.
Atlantic Bronze Age
The Atlantic Bronze Age is a cultural complex of the period of approximately 1300–700 BC that includes different cultures in Portugal, Andalusia, Galicia, Britain and Ireland. It is marked by economic and cultural exchange. Commercial contacts extend to Denmark and the Mediterranean. The Atlantic Bronze Age was defined by many distinct regional centers of metal production, unified by a regular maritime exchange of products.
Ireland
The Bronze Age in Ireland commenced around 2000 BC when copper was alloyed with tin and used to manufacture Ballybeg type flat axes and associated metalwork. The preceding period is known as the Copper Age and is characterised by the production of flat axes, daggers, halberds and awls in copper. The period is divided into three phases: Early Bronze Age (2000–1500 BC), Middle Bronze Age (1500–1200 BC), and Late Bronze Age (1200– 500 BC). Ireland is also known for a relatively large number of Early Bronze Age burials.
One of the characteristic types of artifact of the Early Bronze Age in Ireland is the flat axe. There are five main types of flat axes: Lough Ravel crannog ( 2200 BC), Ballybeg ( 2000 BC), Killaha ( 2000 BC), Ballyvalley ( 2000–1600 BC), Derryniggin ( 1600 BC), and a number of metal ingots in the shape of axes.
Northern Europe
The Bronze Age in Northern Europe spans the entire 2nd millennium BC, (Unetice culture, Urnfield culture, Tumulus culture, Terramare culture and Lusatian culture) lasting until 600 BC. The Northern Bronze Age was both a period and a Bronze Age culture in Scandinavian pre-history, 1700–500 BC, with sites as far east as Estonia. Succeeding the Late Neolithic culture, its ethnic and linguistic affinities are unknown in the absence of written sources. It was followed by the Pre-Roman Iron Age.
Even though Northern European Bronze Age cultures came relatively late, and came into existence via trade, sites present rich and well-preserved objects made of wool, wood and imported Central European bronze and gold. Many rock carvings depict ships, and the large stone burial monuments known as stone ships suggest that shipping played an important role. Thousands of rock carvings depict ships, most probably representing sewn plank-built canoes for warfare, fishing, and trade. These may have a history as far back as the neolithic period and continue into the Pre-Roman Iron Age, as shown by the Hjortspring boat. There are many mounds and rock carving sites from the period. Numerous artifacts of bronze and gold are found. No written language existed in the Nordic countries during the Bronze Age. The rock carvings have been dated through comparison with depicted artifacts.
Eastern Europe
The Yamnaya culture (c.3300–2600 BC) was a Late Copper Age/Early Bronze Age culture of the Pontic-Caspian steppe, and is associated with early Indo-Europeans. It was followed on the steppe by the Catacomb culture ( 2800–2200 BC) and the Poltavka culture (c.2800–2200 BC). The closely-related Corded Ware culture in the forest-steppe region to the north (c. 3000–2350 BC) spread eastwards with the Fatyanovo culture (c.2900–2050 BC), which subsequently developed into the Abashevo culture (c.2200–1850 BC) and the Sintashta culture (c. 2200–1750 BC). The earliest known chariots have been found in Sintashta burials and there is earlier evidence for chariot use in the Abashevo culture. The Sintashta culture expanded further eastwards into central Asia becoming the Andronovo culture, whilst the Srubnaya culture (c.1900–1200 BC) continued the use of chariots in eastern Europe.
Caucasus
Arsenical bronze artifacts of the Maykop culture in the North Caucasus have been dated to around the 4th millennium BC. This innovation resulted in the circulation of arsenical bronze technology through southern and eastern Europe.
Africa
Sub-Saharan Africa
Iron and copper smelting appeared around the same time in most parts of Africa. As such, most African civilizations outside of Egypt did not experience a distinct Bronze Age. Evidence for iron smelting appears earlier or at the same time as copper smelting in Nigeria –800 BC, Rwanda and Burundi –500 BC and Tanzania .
There is a longstanding debate about whether both copper and iron metallurgy were independently developed in sub-Saharan Africa or introduced from the outside across the Sahara Desert from North Africa or the Indian Ocean. Evidence for theories of independent development and outside introduction are scarce and the subject of active scholarly debate. Scholars have suggested that both the relative dearth of archeological research in sub-Saharan Africa as well as long-standing prejudices have limited or biased our understanding of pre-historic metallurgy on the continent. One scholar characterized the state of historical knowledge: "To say that the history of metallurgy in sub-Saharan Africa is complicated is perhaps an understatement."
West Africa
Copper smelting took place in West Africa prior to the appearance of iron smelting in the region. Evidence for copper smelting furnaces was found near Agadez, Niger that has been dated as early as 2200 BC. However, evidence for copper production in this region before 1000 BC is debated. Evidence of copper mining and smelting has been found at Akjoujt, Mauretania that suggests small scale production 800 to 400 BC.
Americas
The Moche civilization of South America independently discovered and developed bronze smelting. Bronze technology was developed further by the Incas and used widely both for utilitarian objects and sculpture. A later appearance of limited bronze smelting in West Mexico suggests either contact of that region with Andean cultures or separate discovery of the technology. The Calchaquí people of Northwest Argentina had bronze technology.
Trade
Trade and industry played a major role in the development of the ancient Bronze Age civilizations. With artifacts of the Indus Valley civilization found in ancient Mesopotamia and Egypt, it is clear that these civilizations were not only in touch with one other, but also trading. Early long-distance trade was limited almost exclusively to luxury goods like spices, textiles, and precious metals. Not only did this make cities with ample amounts of these products extremely rich, but it also led to an intermingling of cultures for the first time in history.
Trade routes were also over water. The first and most extensive trade routes were along rivers such as the Nile, the Tigris, and the Euphrates, which led to the growth of cities on the banks of these rivers. The domestication of camels at a later time also helped encourage trade routes overland, linking the Indus Valley with the Mediterranean. This further led to towns sprouting up everywhere there was a pit-stop or caravan-to-ship port.
See also
Altyndepe
Dover Bronze Age Boat
Ferriby Boats
Hillfort
Human timeline
Langdon Bay hoard
Middle Bronze Age migrations (Ancient Near East)
Namazga
Oxhide ingot
Shropshire bulla
Tollense valley battlefield
Notes
References
Eogan, George (1983). The hoards of the Irish later Bronze Age, Dublin: University College, 331 p.,
Hall, David and Coles, John (1994). Fenland survey : an essay in landscape and persistence, Archaeological report 1, London : English Heritage, 170 p.,
Pernicka, E., Eibner, C., Öztunah, Ö., Wagener, G.A. (2003). "Early Bronze Age Metallurgy in the Northeast Aegean", In: Wagner, G.A., Pernicka, E. and Uerpmann, H-P. (eds), Troia and the Troad: scientific approaches, Natural science in archaeology, Berlin; London : Springer, , pp. 143–172
Piccolo, Salvatore (2013). Ancient Stones: The Prehistoric Dolmens of Sicily. Abingdon (GB): Brazen Head Publishing, ,
Waddell, John (1998). The prehistoric archaeology of Ireland, Galway University Press, 433 p.,
Further reading
External links
Links to the Bronze Age in Europe and beyond Commented web index, geographically structured (private website)
Bronze Age Experimental Archeology and Museum Reproductions
Umha Aois – Reconstructed Bronze Age metal casting
Umha Aois – ancient bronze casting videoclip
Aegean and Balkan Prehistory articles, site-reports and bibliography database concerning the Aegean, Balkans and Western Anatolia
"The Transmission of Early Bronze Technology to Thailand: New Perspectives"
Human Timeline (Interactive) – Smithsonian, National Museum of Natural History (August 2016).
Seafaring
Divers unearth Bronze Age hoard off the coast of Devon
Articles which contain graphical timelines
Historical eras | 10 |
The BBC News channel is a British free-to-air public broadcast television news channel owned and operated by the BBC. The channel is based at and broadcasts from Broadcasting House in the West End of London from which it is anchored during British daytime, with overnight broadcasts anchored from Washington, D.C. and Singapore. It was launched as BBC News 24 on 9 November 1997 at 5:30 pm as part of the BBC's foray into digital domestic television channels, becoming the first competitor to Sky News, which had been running since 1989.
On 22 February 2006, the channel was named News Channel of the Year at the Royal Television Society Television Journalism Awards for the first time in its history. The judges remarked that this was the year that the channel had "really come into its own." The channel won the accolade for a second time in 2017. From May 2007, viewers in the UK could watch the channel via the BBC News website. In April 2008, the channel was renamed BBC News as part of a £550,000 rebranding of the BBC's news output, complete with a new studio and presentation.
The channel's international counterpart, formerly known as BBC World News, initially operated as a counterpart carrying international news, as well as selected programmes from the domestic service. Unlike BBC News in the UK, which is a free-to-air channel funded by the licence fee, the world feed is a pay television service distributed by BBC Studios and funded by advertising. Some of its programmes had been simulcast by the domestic BBC News channel, especially in the overnight hours.
In 2022, the BBC announced that it would further consolidate the programming and talent of the BBC News and World News channels as a cost-cutting move; these changes took place on 3 April 2023, when BBC World News was renamed "BBC News". The UK feed occasionally opts out when it airs UK-specific content not deemed significant enough to warrant carriage globally.
History
Rolling news began in the UK on 5 February 1989 when Sky News was launched and on 16 January 1995, the BBC launched an international news channel BBC World. However it was meant for global audiences and wasn't available to viewers in the UK and in May 1996, the BBC announced that it was to launch a UK rolling news service as part of its move into digital broadcasting.
BBC News 24 went on air on 9 November 1997, nearly a year before digital television was launched in the UK and due to a lack of space on satellite, the channel was only available on cable, with an overnight shop window on BBC One when that channel was not on air. However, Sky News had complained about the costs associated with running a channel that only a minority could view from the licence fee. Sky News claimed that a number of British cable operators had been incentivised to carry News 24 (which, as a licence-fee funded channel was made available to such operators for free) in preference to the commercial Sky News. However, in September 1999 the European Commission ruled against a complaint made by Sky News that the publicly funded channel was unfair and illegal under EU law. The Commission ruled that the licence fee should be considered state aid but that such aid was justified due to the public service remit of the BBC and that it did not exceed actual costs.
The advent of digital television in the United Kingdom in autumn 1998 saw the channel launch on Sky's new digital satellite service and a month later it started to broadcast via digital terrestrial television. Initially it was difficult to obtain a digital satellite or terrestrial receiver without a subscription to Sky or ONdigital respectively, but following the demise of ITV Digital in 2002 and the subsequent launch of Freeview, the channel started to become much more widely available and the BBC Governors' annual report for 2005/2006 reported that average audience figures for fifteen-minute periods had reached 8.6% in multichannel homes. The 2004 report also claimed that the channel outperformed Sky News in both weekly and monthly reach in multichannel homes for the January 2004 period, and for the first time in two years moved ahead of Sky News in being perceived as the channel best for news.
In 2005, the Head of television news Peter Horrocks outlined plans to provide more funding and resources for the channel and shift the corporation's emphasis regarding news away from the traditional BBC One bulletins and across to the rolling news channel. The introduction of simulcasts of the main bulletins on the channel was to allow the news bulletins to pool resources rather than work against each other at key times in the face of competition particularly from Sky News.
2008 rebranding
On 21 April 2008, BBC News 24 was renamed BBC News on the channel itself, and referred to as the BBC News Channel on other BBC services. This was part of the creative futures plan, launched in 2006, to bring all BBC News output under the single brand name.
The BBC News Channel moved from the Studio N8 set, which became home to BBC World News, to what was the home of the national news in Studio N6, allowing the channel to share its set with the BBC News at One and the BBC News at Ten – with other bulletins moving to Studio TC7.
Move to Broadcasting House
The channel relocated, along with the remaining BBC News services at Television Centre, to the newly refurbished Broadcasting House on 18 March 2013 at 13:00 GMT. Presentation and on-screen graphics were refreshed, with new full HD studios and a live newsroom backdrop. Moving cameras in the newsroom form part of the top of the hour title sequence and are used at the start of weather bulletins.
Consolidation with BBC World News
On 26 May 2022, as part of planned cuts and streamlining across the broadcaster, the BBC announced plans for consolidation of the domestic BBC News channel in the UK with BBC World News. The domestic and international versions would share content, while maintaining the ability to opt out from the shared feed for domestic coverage if warranted. The BBC promoted that the service would offer "new flagship programmes built around high-profile journalists, and programmes commissioned for multiple platforms".
The BBC announced a new presenter lineup for the merged service in February 2023, led by Matthew Amroliwala, Christian Fraser, Yalda Hakim, Lucy Hockings, and Maryam Moshiri. On 3 April 2023, the BBC World News channel rebranded as BBC News, formally marking the implementation of the unified service with the UK feed opting out for UK-specific programming, such as BBC television newscasts and Newsnight, and coverage of UK-specific news not judged to be significant enough to warrant rolling coverage globally. Overall, the changes resulted in the layoffs of about 50 employees, including presenters David Eades, Joanna Gosling, and Tim Willcox.
BBC News HD
On 16 July 2013, the BBC announced that a high-definition (HD) simulcast of BBC News would be launched by early 2014. The channel broadcasts on the BBC's new HD multiplex on Freeview. HD output from BBC News has been simulcast on BBC One HD and BBC Two HD since the move to Broadcasting House in March 2013. The channel launched on 10 December 2013 (at an earlier date than originally planned) and rolled out nationwide over the next six months (as did BBC Four HD, CBBC HD and CBeebies HD).
Programming
Breaking news
The BBC maintains guidelines for procedures to be taken for breaking news. With domestic news, the correspondent first recorded a "generic minute" summary (for use by all stations and channels) and then priority was to report on BBC Radio 5 Live, then on the BBC News channel and any other programmes that are on air. Since 5 Live's move to Manchester, this has been reversed. For foreign news, first a "generic minute" is recorded, then reports are to World Service radio, then the reporter talks to any other programmes that are on air.
A key claim made by Lord Lambert in his report had been that the channel was slower to react to breaking news compared with its main rival Sky News. To counteract this, a new feature introduced with the 2003 relaunch was a "breaking news sting": a globe shown briefly onscreen to direct a viewer's attention to the breaking news.
The graphics relaunch in January 2007 saw the globe sting replaced by a red strapline to highlight the breaking story immediately.
To complement this, a permanent live news ticker had earlier been introduced in 2006: this had previously been in use only sporadically. News statements are shown as continuously scrolling upper-case text located at the bottom of the screen; some past ambiguities noted have included spelling the plural of MPs as "MPS", together with other occasional spelling and grammatical errors. The design of this ticker was slightly altered with the 2007 graphics redesign and from June turned red to indicate breaking news, as Newswatch reported viewers' confusion. The ticker was removed during trails and weather forecasts.
A new set of graphics, including a change to font style, was officially launched in July 2019 although it was broadcast in error up to a couple of months before. The news ticker, which had been a long-running feature of the Channel, was replaced by a flipper as stories no longer scroll across the screen. The headlines now have a limited length and appear in full in turn. The word "BREAKING" may appear on screen and flash to indicate breaking news. Occasionally a breaking news sting may appear on the Channel to call attention to breaking news. This sting gained some notoriety in June 2017 when a technical error caused it to appear several times in a row, delaying the start of the BBC News at Ten. Usually the BBC News Channel crosses over to live events, such as press conferences, without using the sting and the presenter on air introduces what viewers are seeing.
BBC World News simulcasts
The BBC began simulcasting the channel overnight on terrestrial channel BBC One with the launch of the channel, ending the tradition of a closedown but at the same time effectively making the service available to many more viewers. In the early 2000s, BBC Two also started simulcasting the channel, although the weekend morning show Weekend 24 had been simulcast on the channel in the early days. During major breaking news events, the BBC News Channel has been broadcast on BBC One; examples of special broadcasts include the 11 September 2001 attacks, 7 July 2005 London bombings, the capture of Saddam Hussein, the death of Osama bin Laden and the death and funerals of Prince Philip and Elizabeth II. In 2020, shared programming between BBC One and the News Channel often included the UK Government's Coronavirus Daily Update. This was usually broadcast during late afternoons when the Government made announcements.
Coverage of major events has also been simulcast on BBC World News. Currently, overnight viewers receive 25-minute editions of BBC News every hour, and on weekdays 23:00–02:00 receive Newsday, live from Singapore and from London which also includes Asia Business Report and Sport Today between 00:30 and 01:00 and also between 01:30 and 02:00
From 02:00–05:00 (00:00–06:00 on weekends) receive BBC World News. The Briefing airs between 05:00–06:00 on weekdays.
These simulcasts were expanded as a result of the COVID-19 pandemic. The BBC introduced a streamlined schedule and the News Channel and BBC World News now share major parts of evening and weekend coverage. From August 2020 this was changed and made permanent to 10:00 to 12:00 and on weekdays 19:00 to 06:00, with opt-outs for BBC News at Ten and half an hour at 20:30, weekends 21:00 to 06:00, apart from the evening BBC One bulletin.
BBC One, BBC Two and BBC World News simulcasts
BBC Breakfast has been simulcast since launch (in 2000) on BBC One and BBC News, replacing the individual breakfast shows that had run on both channels. Since May 2006 until 17 March 2020, the simulcast generally ran from 06:00 until 08:30 during the week. Breakfast on BBC One continued from MediaCityUK until 09:15 with entertainment and features, whilst BBC News usually went to Business Live until 09:00 and reverted to its traditional format from 09:00. Since 18 March 2020, the COVID-19 pandemic has caused changes to these arrangements. Business Live, which had become Worklife, is no longer on air. Weekdays, BBC Breakfast now runs until 09:00 on both BBC One and the BBC News Channel and there is then an hour of news, now called the BBC News at Nine, on both channels. This continues as the first half of two hours of programming on the BBC News Channel, the second hour usually taken by BBC Two presented by Victoria Derbyshire on Mondays to Wednesdays and generally by Annita McVeigh on the other two days of the week.
BBC Two simulcasts the News Channel on weekday mornings from 09:00 until 12:15 or 13:00. Coverage switches to BBC One in the form of the simulcast BBC News at One. The BBC News at One may be broadcast on BBC One only however during periods of breaking news or major announcements in the House of Commons carried only on the News Channel, if it's an international story coverage will switch for the hour to simulcast with BBC World News. A similar arrangement applies for the BBC News at Six, generally simulcast on both BBC One and the News Channel but, as ever, subject to change for breaking news for the News Channel.
The BBC News at Ten began simulcasting on the channel on 30 January 2006 as part of the Ten O'Clock Newshour, followed by extended sport and business news updates. The bulletin was joined in being simulcast on 10 April 2006 when the BBC News at One (with British Sign Language in-vision signing) and BBC News at Six bulletins were added to the schedule following a similar format to the News at Ten in terms of content on the channel once each simulcast ends.
During the summer, the hour-long programme News 24 Sunday was broadcast both on BBC One and the BBC News Channel at 09:00, to replace The Andrew Marr Show, which is off air. It was presented by a news presenter, and came from the main News channel studio. The programme was made up mostly of interviews focusing on current affairs, and included a full paper review, a weather summary, and a news update at 09:00, 09:30 and 10:00. Sunday Morning Live and alternative programming now fill this slot.
From 2013, a new programme was created for BBC Two for 11:00–12:00 weekdays, consisting of 30 minutes of domestic news and 30 minutes of BBC World News. On Wednesdays, when parliament is sitting the latter is replaced by the Daily Politics for coverage of Prime Minister's Questions (PMQ). In March 2016 the channel started showing Newsnight at 23:15.
The coverage from 10:00 to 13:00 on BBC Two and the News Channel is part of three-hour block of BBC World News simulcast due to the Coronavirus Pandemic. However, by the end of 2021 the simulcast had been cut back to a single hour on weekdays, between 10:00 and 11:00 with all-morning simulcasts continuing at the weekend. BBC World News produces the three-hour BBC News / BBC World News simulcast between 19:00 to 22:00 and 23:00 to 06:00, including one edition of The Papers. From August 2020 this was changed and made permanent to 10:00 to 12:00 and on weekdays 19:00 to 06:00, with opt-outs for BBC News at Ten and half an hour at 20:30, weekends 21:00 to 06:00, these exclude BBC One bulletin.
Exclusive programmes
BBC News – The latest national and international news as they break from the BBC.
Asia Business Report – Live from Singapore, it is a look ahead to the news that will shape the business day. This is presented by whoever covered the Newsday shift.
The Context – The latest news from both sides of the Atlantic, presented by Christian Fraser in London (Monday to Thursday).
Newsday – Live international news from Singapore. Presented by Karishma Vaswani. Usually airs three 30-minute editions each hour from 23:00 between Sunday to Thursday.
Sportsday / Sport Today – All the latest sports news and results from around the globe.
Sunday with Laura Kuenssberg – Interviews and analysis of the weeks big news from the UK and around the world stories, including interviews with key politicians and personalities from all walks of life.
World Business Report – The latest business news.
BBC News Now – Reactive and fast-paced international breaking news, business and sport, covering several stories in an immersive format with as much detail as possible. Launched on 22 May 2023.
Verified Live – Forensic analysis and journalism from the BBC Verify team, using advanced editorial tools and techniques to investigate, source and verify information, video, and images. Launched on 22 May 2023.
The Daily Global – A deep-dive into some of the significant news stories of the day, using in-depth interviews combined with a unique global perspective. Launched on 22 May 2023.
Other programmes
BBC World News America – News and analysis with Laura Trevelyan. Broadcast from the BBC's Washington D.C. studio. This programme was broadcast during a few weeks of the year when daylight savings schedules of the UK and the USA ran out of sync. It is now broadcast occasionally when BBC News at Ten is running late due to programming on BBC One and sometimes shown live when broadcasting significant events are happening in the Americas.
Click – A guide to gadgets, websites, games and computer industry news.
Global Questions – The panels and contributing audiences discuss topical themes put to representatives from global politics, finance, business, the arts, media and other areas.
HARDtalk – Stephen Sackur talks to newsmakers and personalities from across the globe.
Our World – Features the BBC's news programmes on current issues around the world. The documentaries are intended to showcase BBC journalism at its best.
Panorama – Current affairs programme, featuring interviews and investigative reports on a wide variety of subjects.
Reporters – This programme, a showcase of reports from the BBC's global network of correspondents, occasionally airs on BBC News.
Talking Business – BBC business presenters, based in London, New York, Mumbai, Johannesburg and Singapore, discuss with the most important and influential people from the world of business and finance, the key issues of the day.
The Travel Show
Witness – A monthly round-up of BBC News stories of global events told by the people who were there.
Previous programming
BBC News at Five – An hour of news live from Broadcasting House in London, usually presented by Huw Edwards or Jane Hill, covering the day's national and international news, sports events, and weather. On 13 March 2020, the last edition of the BBC News at Five was broadcast and was suspended until further notice in light of the COVID-19 pandemic. The UK Government's daily press conference on the pandemic was broadcast in place of BBC News at Five on BBC One and the BBC News Channel. The new schedule under the COVID-19 pandemic involves the BBC News at One presenter continuing on air until 16:00, replacing Afternoon Live. The programme did not return after the daily news briefings ended later in 2020.
BBC News at Nine – An in-depth look at the morning news and briefing on the day's events. This programme included News Briefing, involving a look at top stories on the BBC News website through smartphone access.
The Briefing – Sally Bundock with news, business, and sports from BBC News. It is currently airing unbranded as part of an hour block of BBC News.
Business Briefing – Sally Bundock with the latest business, economic and financial news, market updates and interviews with the key news-makers in the business world. It is currently airing unbranded as part of an hour block of BBC News.
Business Live – Sally Bundock and Ben Thompson or Tanya Beckett with the latest business news and a look ahead to the news that will shape the business day. With the latest news from end of trading in Asia, Europe, Middle East and Americas.
Dateline London – Foreign correspondents based in London give their views on the week's international news. The final episode was broadcast on 15 October 2022.
News Briefing - A summary of the latest headlines. It is currently airing unbranded as part of an hour block of BBC News.
Outside Source – Ros Atkins hosts live reports linking up with the BBC's global network of correspondents. This was occasionally simulcast at 18:00 weekdays during major stories. It was broadcast at 19:00 to 20:00 (Monday to Thursday).
The Papers – From 2013 until 2023, the channel broadcast The Papers which featured lively and informed conversation about the next day's or today's headlines as featured in the national newspapers. From around 2017 the nightly editions were usually to Clive Myrie and Martine Croxall, the latter having also generally covered some late weekday and weekend shifts. Other News Channel presenters filled in across the week. A Sunday-morning edition was usually presented by Ben Brown as part of his News Channel 09:00 to 14:00 shift. The Papers was axed in January 2023 ahead of the merger between the UK news channel with BBC World News.
STORYFix – A short-lived weekly programme which was broadcast in 2006 and 2007. It took a mildly satirical view of the week's events – although the satire was aimed more at the way the news was reported than at the news itself. The programme ended after just a year as it had been seen as being part of a video podcasting trial, and that the production team 'will be moving on to other projects'.
Victoria Derbyshire – From 2015 until 2020, Victoria Derbyshire was broadcast on weekday mornings. The programme had featured original stories, exclusive interviews, audience debate and breaking news. On 22 January 2020, it was announced that the programme would be axed later in 2020 as part of BBC cuts. However, due to priority put on coverage of the COVID-19 pandemic, the BBC suspended the programme earlier than initially planned with the final episode airing on 17 March 2020. Derbyshire has remained as a presenter in the same time slot, instead presenting a standardly structured BBC News newscast.
World News Today – This programme focused on the UK, Europe, Middle East and Africa and was presented by Kasia Madera, Nancy Kacungira, Lukwesa Burak and Lewis Vaughan Jones. It was broadcast at 19:00, 21:00 and 03:00. The 19:00 programme was simulcast on BBC Four, when Beyond 100 Days was not on air, and the 03:00 programme was simulcast on BBC One. Under COVID-19, the programme effectively ended when it became part of the news coverage simulcast with BBC World News during the weekends (including Friday mid-evening and the approximate half hour slot from 21:00 on Saturday and Sunday).
Your News – A user-generated news programme which was part of the channel's weekend schedule from November 2006 until December 2008.
Other programmes previous broadcast on BBC News Channel included Head 2 Head, E24, The Record Europe, Politics Europe and News 24 Tonight, a weekday evening programme which ran from 2005 to 2008, providing a round up of the day's news.
2015 schedule changes
As part of budget cuts, major changes to the channel were announced in late 2014 / early 2015. This included axing some bulletins and replacing them with Victoria Derbyshire and BBC Business Live with Sally Bundock and Ben Thompson in the morning. Outside Source with Ros Atkins – an "interactive" show already broadcast on BBC World News – aired Mondays-Thursday at (during major stories at 18:00) and 21:00 and a new edition of World News Today Friday-Sunday at 21:00 (during major stories at 19:00/20:00 Monday-Friday) adding to the 19:00 edition on BBC Four. HARDtalk was moved to 20:30 in May. The 00:00 edition was replaced on Sundays–Thursday with Newsday and on Friday-Saturday a standard edition of BBC World News.
BBC World News shared programming
On 1 October 2007, BBC World News started broadcasting BBC World News America and World News Today at 00:00 and 03:00 GMT respectively. World News Today was simulcast on the BBC News channel at 03:00 GMT. BBC World News America used to be aired as a reduced length, time-delayed version at 00:30 GMT, with ABC World News Tonight with David Muir also being shown at 01:30 every Tuesday-Friday.
From 13 June 2011, the weekday editions of BBC News at 01:00, 02:00, 03:00 and 04:00 were replaced with Newsday. The programme acts as a morning news bulletin for the Asia-Pacific region and is broadcast as a double-headed news bulletin with Rico Hizon in Singapore and Babita Sharma in London. Asia Business Report and Sport Today are aired at the back of the first three hours of Newsday. But Newsday changed to 23:00–02:00 on BBC News a year later meaning Mike Embley presents Tuesday-Friday BBC World News 23:00–02:00 with Kasia Madera on Saturdays and Daniela Ritorto 00:00–06:00 Sunday, 02:00–05:00 Friday/Monday.
BBC World News and World Business Report air at 05:00. This was previously known as The World Today, However, since November 2017 this was rebranded as The Briefing and Business Briefing on both channels and in lieu of commercials seen on the international broadcasts, the presenters gave a brief update on UK news for domestic audiences.
In June 2015, BBC News began simulcasting Outside Source with Ros Atkins on Mondays-Thursday at (during major stories 18:00) / at 21:00 and a new edition of World News Today Friday-Sunday at (during major stories Monday-Friday 19:00) 21:00. Since January 2017, they began simulcasting Beyond 100 Days (previously '100 Days and 100 Days +) Monday to Thursday at 19:00, presented from London and Washington. During August, Beyond 100 Days is replaced by another edition of World News Today.
On 26 May 2022, as part of planned cuts and streamlining to create a "digital first" broadcaster, the BBC announced plans to consolidate the BBC News and BBC World News networks into a single service under the "BBC News" name. The merged service was slated to launch in April 2023, with the BBC stating that it would offer "new flagship programmes built around high-profile journalists, and programmes commissioned for multiple platforms". The international version of the BBC News channel remains an advertising-supported service distributed by the corporation's commercial arm, BBC Studios. The domestic channel may opt out from the shared schedule to provide coverage of UK-specific breaking news, and would continue to carry UK-specific programmes (such as simulcasts of BBC One bulletins and Newsnight) that are not cleared by the international channel.
By the end of 2022, sharing had extended to 23:00–06:00 UK time, BBC News and BBC World News simulcast for the first 25 minutes of each hour with world news shown all through the simulcasts. In addition, the 10:00 hour on weekdays was simulcast and at the weekend, simulcasts run throughout the morning UK-time. The two channels also simulcast between 19:00 and 22:00. UK-specific rolling coverage had, by now, been restricted to daytime hours.
Sports
Since 5 March 2012, sports bulletins come from the BBC Sport Centre in MediaCityUK in Salford Quays, where the sports network BBC Radio 5 Live is also based.
Headlines are usually provided at 15 minutes past the hour with a full bulletin after the bottom-of-the-hour headlines. There are also extended sports bulletins per day, entitled Sportsday or Sport Today (when simulcasting with BBC World News) broadcast at 00:45, 01:45, 02:45, 03:45, 13:30, 18:30, 19:30 (weekends only), 22:30 (weekdays only). Each bulletin is read by a single sports presenter, with the exception of Saturday Sportsday, which is double headed.
The channel's sports bulletins (internally known as Sport 24) have always had a separate, dedicated production gallery, which is also responsible for the graphics.
Bulletins during BBC Breakfast are presented by Sally Nugent or Mike Bushell, with the latter also appearing on other sports bulletins on the channel. the main sports presenters on the channel are Olly Foster, Gavin Ramjaun, Katie Gornall, Chetan Pathak, Katherine Downes, Tulsen Tollett, Lizzie Greenwood-Hughes and John Watson.
Until March 2012, bulletins came from the News Channel studio at the quarter to the hour. Presenters for bulletins on the channel have included: Reshmin Chowdhury, Amanda Davies, Sean Fletcher, Matt Gooderick, Celina Hinchcliffe, Rachael Hodges, Damian Johnson, Adnan Nawaz and Olympic gold medallist turned journalist Matthew Pinsent.
Business
Before BBC News moved to Broadcasting House, an hourly business update was included during the weekday schedule from the BBC Business Unit. There were two shifts, from 08:30 to 14:00 and 14:00 to 23:00, presented by Penny Haslam, Maryam Moshiri, Ben Thompson, Adam Parsons, Susannah Streeter, Joe Lynam, Sara Coburn or Sally Eden. News Channel updates were usually broadcast at 40 minutes past the hour between 08:00 and 23:00. The 21:40 round-up was often earlier and the 22:40 bulletin is an extended round-up of the day's business news. Until May 2009, the business updates on the BBC News Channel were broadcast from one of the London Stock Exchange's studios in central London. From then until March 2013 the bulletins were provided from the channel's studio at BBC Television Centre. The business updates were axed in March 2013 as part of the BBC's Delivering Quality First plan. But after complaints returned in November 2013.
Stock market updates now only appear during the quarter-to-the-hour headlines. Rachel Horne is the main presenter from 13:30 to 18:00, with Vishala Sri-Pathma, Alice Baxter, Jamie Robertson, Aaron Heslehurst and Sally Bundock. There is normally an extended bulletin at 16:45 when the main business stories of the day are discussed on Afternoon Live. Bundock and Thompson present Business Live on weekdays at 08:30. Declan Curry presented Your Money, a weekly round-up on a Saturday morning.
Alice Baxter and Sally Bundock presented World Business Report.
News presenters
Presentation
Graphics
The channel was criticised at launch for its style of presentation, with accusations of it being less authoritative than the BBC One news bulletins, with presenters appearing on-screen without jackets. Jenny Abramsky had originally planned to have a television version of the informal news radio channel BBC Radio 5 Live, or a TV version of Radio 4 News FM both of which she had run. The bright design of the set was also blamed for this – one insider reportedly described it as a "car crash in a shower" – and was subject to the network relaunch on 25 October 1999. The channel swapped studios with sister channel BBC World, moving to studio N8 within the newsroom, where it remained until 2008. New music and title sequences accompanied this set change, following the look of newly relaunched BBC One bulletins.
Graphics and titles were developed by the Lambie-Nairn design agency and were gradually rolled out across the whole of BBC News, including a similar design for regional news starting with Newsroom South East and the three 'BBC Nations' – Scotland, Wales and Northern Ireland. The similarity of main BBC News output was intended to increase the credibility of the channel as well as aiding cross-channel promotion.
A graphics relaunch in January 2007 saw the channel updated, with redesigned headline straplines, a redesigned 'digital on-screen graphic' and repositioned clock. The clock was originally placed to the left hand side of the channel name though following complaints that this could only be viewed in widescreen, it was moved to the right in February 2007. Bulletins on BBC World News and BBC One also introduced similar graphics and title sequences on the same day.
In 2008, the graphics were again relaunched, using the style introduced in 2007 and a new colour scheme. The typeface of the on-screen text was changed from Helvetica to Gill Sans.
In 2013 the graphics were changed again, to coincide with the move to New Broadcasting House. The typeface was changed back to Helvetica.
These were updated again in July 2019 when the BBC redesigned its on-air look with the growth of television viewing on smartphones and tablets. These included again redesigned, larger headline straplines sharply contrasting with the background (drawing criticism for obscuring content) using the BBC Reith typeface with larger text. Despite this, the 2008 titles and music continue to be used for the updated local titles.
The Lambert Report
The Lambert Report into the channel's performance in 2002 called upon News 24 to develop a better brand of its own, to allow viewers to differentiate between itself and similar channels such as Sky News. As a direct result of this, a brand new style across all presentation for the channel launched on 8 December 2003 at 09:00. Philip Hayton and Anna Jones were the first two presenters on the set, the relaunch of which had been put back a week due to previous power disruptions at Television Centre where the channel was based. The new designs also featured a dynamic set of titles for the channel; the globe would begin spinning from where the main story was taking place, while the headline scrolled around in a ribbon; this was occasionally replaced by the BBC News logo. The titles concluded with a red globe surrounded by a red stylised clamshell and BBC News ribbons forming above the BBC News logo.
Bulletins on BBC One moved into a new set in January 2003 although retained the previous ivory Lambie-Nairn titles until February 2004. News 24 updated the title colours slightly to match those of BBC One bulletins in time for the 50th anniversary of BBC television news on 5 July 2004.
Countdown sequence
An important part of the channel's presentation since launch has been the top of the hour countdown sequence, since there is no presentation system with continuity announcers so the countdown provides a link to the beginning of the next hour. A similar musical device is used on BBC Radio 5 Live, and mirrors the pips on BBC Radio 4.
Previous styles have included a series of fictional flags set to music between 1997 and 1999 before the major relaunch, incorporating the new contemporary music composed by David Lowe, and graphics developed by Lambie-Nairn. Various images, originally ivory numbers fully animated against a deep red background, were designed to fit the pace of the channel, and the music soon gained notoriety, and was often satirised and parodied in popular culture. Images of life around the UK were added in replacement later with the same music, together with footage of the newsroom and exterior of Television Centre. The 2003 relaunch saw a small change to this style with less of a metropolitan feel to the footage.
A new sequence was introduced on 28 March 2005, designed and created by Red Bee Media and directed by Mark Chaudoir. The full version ran for 60 seconds, though only around 30 seconds were usually shown on air. The music was revised completely but the biggest change came in the footage used – reflecting the methods and nature of newsgathering, while a strong emphasis was placed on the BBC logo itself. Satellite dishes are shown transmitting and receiving red "data streams". In production of the countdown sequence, Clive Norman filmed images around the United Kingdom, Richard Jopson in the United States, while BBC News camerapeople filmed images from Iraq, Beijing (Tiananmen Square), Bund of Shanghai, Africa, as well as areas affected by the 2004 Asian tsunami and others.
The sequence has since seen several remixes to the music and a change in visuals to focus more on the well-known journalists, with less footage of camera crews and production teams. Changes have also seen the channel logo included during the sequences and at the end, as well as the fonts used for the time. The conclusion of the countdown was altered in 2008 to feature the new presentation style, rather than a data stream moving in towards the camera. Also in 2008, the graphic for the countdown changed, resembling the BBC One Rhythm and Movement idents, due to the logo being in a red square in the bottom left corner.
To coincide with the move of BBC News to Broadcasting House, on 18 March 2013 the countdown was updated again along with several other presentation elements. Three of the most striking features of the new countdown include music performed by the BBC Concert Orchestra, a redesign of the "data streams" and the ending of the sequence no longer fading to the BBC News globe and logo, but instead stopping with a time-lapse shot outside the corporation's headquarters. The countdown was also extended to 87 seconds, which was fully shown before the first hour from Broadcasting House. In 2019, the countdown started using the BBC's new Reith font but otherwise retained the same style.
A full three-minute version of the countdown music was made available on BBC News Online and David Lowe's own website after a remix on 16 May 2006.
An international version of the countdown was launched on BBC World News on 5 September 2005 featuring more international content and similar music. Various changes have been made to the music and visuals since then, with presentation following the style of BBC News. The visuals in the sequence were updated on 10 May 2010. In June 2011, further imagery was added relating to recent events, including the conflict in Libya and views of outside 10 Downing Street. In January 2013, as part of the relocation of BBC News to Broadcasting House in Central London, BBC World News received a new countdown in the same style as the BBC News Channel's updated countdown, with some minor differences.
In April 2021, a new "sombre" version of the countdown was played, with no "data streams" and slower shots of places within the UK, or in the case of the international version, timelapse shots across the world. Both were introduced to run up to programmes immediately following the death of Prince Philip, Duke of Edinburgh, and were used again following the death of Queen Elizabeth II in 2022.
To coincide with the integration of BBC World News into BBC News, the countdown sequence was slightly refreshed in April 2023 to follow the new "Chameleon" branding scheme used by BBC television since October 2021, with the countdown now centred between the BBC and "News" wordmarks at the top- and bottom-centre of the screen respectively.
Viewing audience figures
The Daily Telegraph reported in November 2021, "BBC News reaches 370,000 for its best performing slots".
See also
List of television channels in the United Kingdom
List of news television channels
List of world news channels
References
Notes
External links
via BBC iPlayer (available to UK viewers only – TV Licence required)
1997 establishments in the United Kingdom
24-hour television news channels in the United Kingdom
BBC News channels
BBC television channels in the United Kingdom
Lost BBC episodes
Television channels and stations established in 1997 | 9 |
Broadway () is a road in the U.S. state of New York. Broadway runs from State Street at Bowling Green for through the borough of Manhattan and through the Bronx, exiting north from New York City to run an additional through the Westchester County municipalities of Yonkers, Hastings-On-Hudson, Dobbs Ferry, Irvington, and Tarrytown, and terminating north of Sleepy Hollow.
It is the oldest north–south main thoroughfare in New York City, with much of the current street beginning as the Wickquasgeck trail before the arrival of Europeans. This then formed the basis for one of the primary thoroughfares of the Dutch New Amsterdam colony, which continued under British rule, although most of it did not bear its current name until the late 19th century.
Broadway in Manhattan is known widely as the heart of the American commercial theatrical industry, and is used as a metonym for it, as well as in the names of alternative theatrical ventures such as Off-Broadway and Off-off-Broadway.
History
Colonial history
Broadway was originally the Wickquasgeck trail, carved into the brush of Manhattan by its Native American inhabitants. This trail originally snaked through swamps and rocks along the length of Manhattan Island.
Upon the arrival of the Dutch, the trail was widened and soon became the main road through the island from Nieuw Amsterdam at the southern tip. The Dutch explorer and entrepreneur David Pietersz. de Vries gives the first mention of it in his journal for the year 1642 ("the Wickquasgeck Road over which the Indians passed daily"). The Dutch called it the Heeren Wegh or Heeren Straat, meaning "Gentlemen's Way" or "Gentlemen's Street" – echoing the name of a similar street in Amsterdam – or "High Street" or "the Highway"; it was renamed "Broadway" after the British took over the city, because of its unusual width. Although currently the name of the street is simply "Broadway", in a 1776 map of New York City, it is labeled as "Broadway Street".
18th century
In the 18th century, Broadway ended at the town commons north of Wall Street. The part of Broadway in what is now Lower Manhattan was initially known as Great George Street. Traffic continued up the East Side of the island via Eastern Post Road and the West Side via Bloomingdale Road, which opened in 1703, continued up to 117th Street and contributed to the development of the modern Upper West Side into an upscale area with mansions.
In her 1832 book Domestic Manners of the Americans, Fanny Trollope wrote of her impressions of New York City in general and of Broadway in particular:
19th century
In 1868, Bloomingdale Road between 59th Street (at the Grand Circle, now Columbus Circle) and 155th Streets would be paved and widened, becoming an avenue with landscaped medians. It was called "Western Boulevard" or "The Boulevard". An 1897 official map of the city shows a segment of what is now Broadway as "Kingsbridge Road" in the vicinity of Washington Heights.
On February 14, 1899, the name "Broadway" was extended to the entire Broadway / Bloomingdale / Boulevard / Kingsbridge complex.
20th century
In the 20th century, a 30-block stretch of Broadway, extending mainly between Times Square at 42nd Street and Sherman Square at 72nd Street, formed part of Manhattan's "Automobile Row". Before the first decade of the 20th century, the area was occupied mostly by equestrian industries and was "thoroughly lifeless", but by 1907, The New York Times characterized this section of Broadway as having "almost a solid line of motor vehicle signs all the way from Times Square to Sherman Square". In the late 1900s and early 1910s, several large automobile showrooms, stores, and garages were built on Broadway, including the U.S. Rubber Company Building at 58th Street, the B.F. Goodrich showroom at 1780 Broadway (between 58th and 57th Streets), the Fisk Building at 250 West 57th Street, and the Demarest and Peerless Buildings at 224 West 57th Street.
Broadway once was a two-way street for its entire length. The present status, in which it runs one-way southbound south of Columbus Circle (59th Street), came about in several stages. On June 6, 1954, Seventh Avenue became southbound and Eighth Avenue became northbound south of Broadway. None of Broadway became one-way, but the increased southbound traffic between Columbus Circle (Eighth Avenue) and Times Square (Seventh Avenue) caused the city to re-stripe that section of Broadway for four southbound and two northbound lanes. Broadway became one-way from Columbus Circle south to Herald Square (34th Street) on March 10, 1957, in conjunction with Sixth Avenue becoming one-way from Herald Square north to 59th Street and Seventh Avenue becoming one-way from 59th Street south to Times Square (where it crosses Broadway). On June 3, 1962, Broadway became one-way south of Canal Street, with Trinity Place and Church Street carrying northbound traffic.
Another change was made on November 10, 1963, when Broadway became one-way southbound from Herald Square to Madison Square (23rd Street) and Union Square (14th Street) to Canal Street, and two routes – Sixth Avenue south of Herald Square and Centre Street, Lafayette Street, and Fourth Avenue south of Union Square – became one-way northbound. Finally, at the same time as Madison Avenue became one-way northbound and Fifth Avenue became one-way southbound, Broadway was made one-way southbound between Madison Square (where Fifth Avenue crosses) and Union Square on January 14, 1966, completing its conversion south of Columbus Circle.
21st century
In 2001, a one-block section of Broadway between 72nd Street and 73rd Street at Verdi Square was reconfigured. Its easternmost lanes, which formerly hosted northbound traffic, were turned into a public park when a new subway entrance for the 72nd Street station was built in the exact location of these lanes. Northbound traffic on Broadway is now channeled onto Amsterdam Avenue to 73rd Street, makes a left turn on the three-lane 73rd Street, and then a right turn on Broadway shortly afterward.
In August 2008, two traffic lanes from 42nd to 35th Streets were taken out of service and converted to public plazas. Bike lanes were added on Broadway from 42nd Street to Union Square.
Since May 2009, the portions of Broadway through Duffy Square, Times Square, and Herald Square have been closed entirely to automobile traffic, except for cross traffic on the Streets and Avenues, as part of a traffic and pedestrianization experiment, with the pavement reserved exclusively for walkers, cyclists, and those lounging in temporary seating placed by the city. The city decided that the experiment was successful, and decided to make the change permanent in February 2010. Though the anticipated benefits to traffic flow were not as large as hoped, pedestrian injuries dropped dramatically and foot traffic increased in the designated areas; the project was popular with both residents and businesses. The current portions converted into pedestrian plazas are between West 47th and 42nd Streets within Times and Duffy Squares, and between West 35th and 33rd Streets in the Herald Square area. Additionally, portions of Broadway in Madison Square and Union Square have been dramatically narrowed, allowing ample pedestrian plazas to exist along the side of the road.
2010s
A terrorist attempted to set off a bomb on Broadway in Times Square on May 1, 2010. The attempted bomber was sentenced to life in prison.
In May 2013, the NYCDOT decided to redesign Broadway between 35th and 42nd Streets for the second time in five years, owing to poor connections between pedestrian plazas and decreased vehicular traffic. With the new redesign, the bike lane is now on the right side of the street; it was formerly on the left side adjacent to the pedestrian plazas, causing conflicts between pedestrian and bicycle traffic.
In spring 2017, as part of a capital reconstruction of Worth Square, Broadway between 24th and 25th Streets was converted to a shared street, where through vehicles are banned and delivery vehicles are restricted to . Delivery vehicles go northbound from Fifth Avenue to 25th Street for that one block, reversing the direction of traffic and preventing vehicles from going south on Broadway south of 25th Street. The capital project expands on a 2008 initiative where part of the intersection of Broadway and Fifth Avenue was repurposed into a public plaza, simplifying that intersection. As part of the 2017 project, Worth Square was expanded, converting the adjoining block of Broadway into a "shared street".
In September 2019, the pedestrian space in the Herald Square area was expanded between 33rd and 32nd Streets alongside Greeley Square. Five blocks of Broadway—from 50th to 48th, 39th to 39th, and 23rd to 21st Street—were converted into shared streets in late 2021. The block between 40th and 39th Streets, known as Golda Meir Square, was closed to vehicular traffic at that time.
2020s
During 2020, the section from 31st to 25th Street was converted to a temporary pedestrian-only street called NoMad Piazza as part of the New York City Department of Transportation's Open Streets program. Following the success of the pedestrian-only street, the Flatiron/23rd Street Partnership BID closed the section between 25th and 27th Streets to vehicular traffic again during 2021 and 2022.
City officials announced in March 2023 that the section of Broadway between 32nd and 21st Streets would be redesigned as part of a project called Broadway Vision. The section between 32nd and 25th Streets would receive a bidirectional bike lane and would be converted to a shared street. Cars would be banned permanently from 27th to 25th Street.
Route
Route description
Broadway runs the length of Manhattan Island, roughly parallel to the North River (the portion of the Hudson River bordering Manhattan), from Bowling Green at the south to Inwood at the northern tip of the island. South of Columbus Circle, it is a one-way southbound street. Since 2009, vehicular traffic has been banned at Times Square between 47th and 42nd Streets, and at Herald Square between 35th and 33rd Streets as part of a pilot program; the right-of-way is intact and reserved for cyclists and pedestrians. From the northern shore of Manhattan, Broadway crosses Spuyten Duyvil Creek via the Broadway Bridge and continues through Marble Hill (a discontiguous portion of the borough of Manhattan) and the Bronx into Westchester County. U.S. 9 continues to be known as Broadway until its junction with NY 117.
Lower Manhattan
The section of lower Broadway from its origin at Bowling Green to City Hall Park is the historical location for the city's ticker-tape parades, and is sometimes called the "Canyon of Heroes" during such events. West of Broadway, as far as Canal Street, was the city's fashionable residential area until ; landfill has more than tripled the area, and the Hudson River shore now lies far to the west, beyond Tribeca and Battery Park City.
Broadway marks the boundary between Greenwich Village to the west and the East Village to the east, passing Astor Place. It is a short walk from there to New York University near Washington Square Park, which is at the foot of Fifth Avenue. A bend in front of Grace Church allegedly avoids an earlier tavern; from 10th Street it begins its long diagonal course across Manhattan, headed almost due north.
Midtown Manhattan
Because Broadway preceded the grid that the Commissioners' Plan of 1811 imposed on the island, Broadway crosses midtown Manhattan diagonally, intersecting with both the east–west streets and north–south avenues. Broadway's intersections with avenues, marked by "squares" (some merely triangular slivers of open space), have induced some interesting architecture, such as the Flatiron Building.
At Union Square, Broadway crosses 14th Street, merges with Fourth Avenue, and continues its diagonal uptown course from the Square's northwest corner; Union Square is the only location wherein the physical section of Broadway is discontinuous in Manhattan (other portions of Broadway in Manhattan are pedestrian-only plazas). At Madison Square, the location of the Flatiron Building, Broadway crosses Fifth Avenue at 23rd Street, and is discontinuous to vehicles for a one-block stretch between 24th and 25th Streets. At Greeley Square (West 32nd Street), Broadway crosses Sixth Avenue (Avenue of the Americas), and is discontinuous to vehicles until West 35th Street. Macy's Herald Square department store, one block north of the vehicular discontinuity, is located on the northwest corner of Broadway and West 34th Street and southwest corner of Broadway and West 35th Street; it is one of the largest department stores in the world.
One famous stretch near Times Square, where Broadway crosses Seventh Avenue in midtown Manhattan, is the home of many Broadway theatres, housing an ever-changing array of commercial, large-scale plays, particularly musicals. This area of Manhattan is often called the Theater District or the Great White Way, a nickname originating in the headline "Found on the Great White Way" in the February 3, 1902, edition of the New York Evening Telegram. The journalistic nickname was inspired by the millions of lights on theater marquees and billboard advertisements that illuminate the area. After becoming the city's de facto red-light district in the 1960s and 1970s (as can be seen in the films Taxi Driver and Midnight Cowboy), since the late 1980s Times Square has emerged as a family tourist center, in effect being Disneyfied following the company's purchase and renovation of the New Amsterdam Theatre on 42nd Street in 1993.
The New York Times, from which the Square gets its name, was published at offices at 239 West 43rd Street; the paper stopped printing papers there on June 15, 2007.
Upper West Side
At the southwest corner of Central Park, Broadway crosses Eighth Avenue (called Central Park West north of 59th Street) at West 59th Street and Columbus Circle; on the site of the former New York Coliseum convention center is the new shopping center at the foot of the Time Warner Center, headquarters of Time Warner. From Columbus Circle northward, Broadway becomes a wide boulevard to 169th Street; it retains landscaped center islands that separate northbound from southbound traffic. The medians are a vestige of the central mall of "The Boulevard" that had become the spine of the Upper West Side, and many of these contain public seating.
Broadway intersects with Columbus Avenue (known as Ninth Avenue south of West 59th Street) at West 65th and 66th Streets where the Juilliard School and Lincoln Center, both well-known performing arts landmarks, as well as the Manhattan New York Temple of the Church of Jesus Christ of Latter-day Saints are located.
Between West 70th and 73rd Streets, Broadway intersects with Amsterdam Avenue (known as 10th Avenue south of West 59th Street). The wide intersection of the two thoroughfares has historically been the site of numerous traffic accidents and pedestrian casualties, partly due to the long crosswalks. Two small triangular plots of land were created at points where Broadway slices through Amsterdam Avenue. One is a tiny fenced-in patch of shrubbery and plants at West 70th Street called Sherman Square (although it and the surrounding intersection have also been known collectively as Sherman Square), and the other triangle is a lush tree-filled garden bordering Amsterdam Avenue from just above West 72nd Street to West 73rd Street. Named Verdi Square in 1921 for its monument to Italian composer Giuseppe Verdi, which was erected in 1909, this triangular sliver of public space was designated a Scenic Landmark by the Landmarks Preservation Commission in 1974, one of nine city parks that have received the designation. In the 1960s and 1970s, the area surrounding both Verdi Square and Sherman Square was known by local drug users and dealers as "Needle Park", and was featured prominently in the gritty 1971 dramatic film The Panic in Needle Park, directed by Jerry Schatzberg and starring Al Pacino in his second onscreen role.
The original brick and stone shelter leading to the entrance of the 72nd Street subway station, one of the first 28 subway stations in Manhattan, remains located on one of the wide islands in the center of Broadway, on the south side of West 72nd Street. For many years, all traffic on Broadway flowed on either side of this median and its subway entrance, and its uptown lanes went past it along the western edge of triangular Verdi Square. In 2001 and 2002, renovation of the historic 72nd Street station and the addition of a second subway control house and passenger shelter on an adjacent center median just north of 72nd Street, across from the original building, resulted in the creation of a public plaza with stone pavers and extensive seating, connecting the newer building with Verdi Square, and making it necessary to divert northbound traffic to Amsterdam Avenue for one block. While Broadway's southbound lanes at this intersection were unaffected by the new construction, its northbound lanes are no longer contiguous at this intersection. Drivers can either continue along Amsterdam Avenue to head uptown or turn left on West 73rd Street to resume traveling on Broadway.
Several notable apartment buildings are in close proximity to this intersection, including The Ansonia, its ornate architecture dominating the cityscape here. After the Ansonia first opened as a hotel, live seals were kept in indoor fountains inside its lobby. Later, it was home to the infamous Plato's Retreat nightclub. Immediately north of Verdi Square is the formidable Apple Bank for Savings building, formerly the Central Savings Bank, which was built in 1926 and designed to resemble the Federal Reserve Bank of New York. Broadway is also home to the Beacon Theatre at West 74th Street, designated a national landmark in 1979 and still in operation as a concert venue after its establishment in 1929 as a vaudeville and music hall, and "sister" venue to Radio City Music Hall.
At its intersection with West 78th Street, Broadway shifts direction and continues directly uptown and aligned approximately with the Commissioners' grid. Past the bend are the historic Apthorp apartment building, built in 1908, and the First Baptist Church in the City of New York, incorporated in New York in 1762, its current building on Broadway erected in 1891. The road heads north and passes historically important apartment houses such as the Belnord, the Astor Court Building, and the Art Nouveau Cornwall.
At Broadway and 95th Street is Symphony Space, established in 1978 as home to avant-garde and classical music and dance performances in the former Symphony Theatre, which was originally built in 1918 as a premier "music and motion-picture house". At 99th Street, Broadway passes between the controversial skyscrapers of the Ariel East and West.
At 107th Street, Broadway merges with West End Avenue, with the intersection forming Straus Park with its Titanic Memorial by Augustus Lukeman.
Northern Manhattan and the Bronx
Broadway then passes the campus of Columbia University at 116th Street in Morningside Heights, in part on the tract that housed the Bloomingdale Insane Asylum from 1808 until it moved to Westchester County in 1894. Still in Morningside Heights, Broadway passes the park-like campus of Barnard College. Next, the Gothic quadrangle of Union Theological Seminary, and the brick buildings of the Jewish Theological Seminary of America with their landscaped interior courtyards, face one another across Broadway. On the next block is the Manhattan School of Music.
Broadway then runs past the Manhattanville campus of Columbia University, and the main campus of CUNY–City College near 135th Street; the Gothic buildings of the original City College campus are out of sight, a block to the east. Also to the east are the brownstones of Hamilton Heights. Hamilton Place is a surviving section of Bloomingdale Road, and originally the address of Alexander Hamilton's house, The Grange, which has been moved.
Broadway achieves a verdant, park-like effect, particularly in the spring, when it runs between the uptown Trinity Church Cemetery and the former Trinity Chapel, now the Church of the Intercession near 155th Street.
NewYork–Presbyterian Hospital lies on Broadway near 166th, 167th, and 168th Streets in Washington Heights. The intersection with St. Nicholas Avenue at 167th Street forms Mitchell Square Park. At 178th Street, US 9 becomes concurrent with Broadway.
Broadway crosses the Harlem River on the Broadway Bridge to Marble Hill. Afterward, it then enters the Bronx, where it is the eastern border of Riverdale and the western border of Van Cortlandt Park. At 253rd Street, NY 9A joins with US 9 and Broadway. (NY 9A splits off Broadway at Ashburton Avenue in Yonkers.)
Westchester County
The northwestern corner of the park marks the New York City limit and Broadway enters Westchester County in Yonkers, where it is now known as South Broadway. It trends ever westward, closer to the Hudson River, remaining a busy urban commercial street. In downtown Yonkers, it drops close to the river, becomes North Broadway and 9A leaves via Ashburton Avenue. Broadway climbs to the nearby ridgetop runs parallel to the river and the railroad, a few blocks east of both as it passes St. John's Riverside Hospital. The neighborhoods become more residential and the road gently undulates along the ridgetop. In Yonkers, Broadway passes the historic Philipse Manor house, which dates back to colonial times.
It remains Broadway as it leaves Yonkers for Hastings-on-Hudson, where it splits into separate north and south routes for . The trees become taller and the houses, many separated from the road by stone fences, become larger. Another National Historic Landmark, the John William Draper House, was the site of the first astrophotograph of the Moon.
In the next village, Dobbs Ferry, Broadway has various views of the Hudson River while passing through the residential section. Broadway passes by the Old Croton Aqueduct and nearby the shopping district of the village. After intersecting with Ashford Avenue, Broadway passes Mercy College, then turns left again at the center of town just past South Presbyterian Church, headed for equally comfortable Ardsley-on-Hudson and Irvington. Villa Lewaro, the home of Madam C. J. Walker, the first African-American millionaire, is along the highway here. At the north end of the village of Irvington, a memorial to writer Washington Irving, after whom the village was renamed, marks the turnoff to his home at Sunnyside. Entering into the southern portion of Tarrytown, Broadway passes by historic Lyndhurst mansion, a massive mansion built along the Hudson River built in the early 1800s.
North of here, at the Kraft Foods technical center, the Tappan Zee Bridge becomes visible. After crossing under the Thruway and I-87 again, here concurrent with I-287, and then intersecting with the four-lane NY 119, where 119 splits off to the east, Broadway becomes the busy main street of Tarrytown. Christ Episcopal Church, where Irving worshiped, is along the street. Many high-quality restaurants and shops are along this main road. This downtown ends at the eastern terminus of NY 448, where Broadway slopes off to the left, downhill, and four signs indicate that Broadway turns left, passing the Old Dutch Church of Sleepy Hollow, another NHL. The road then enters Sleepy Hollow (formerly North Tarrytown), passing the visitors' center for Kykuit, the National Historic Landmark that was (and partially still is) the Rockefeller family's estate. Broadway then passes the historic Sleepy Hollow Cemetery, which includes the resting place of Washington Irving and the setting for "The Legend of Sleepy Hollow".
Broadway expands to four lanes at the trumpet intersection with NY 117, where it finally ends and U.S. 9 becomes Albany Post Road (and Highland Avenue) at the northern border of Sleepy Hollow, New York.
Nicknamed sections
Canyon of Heroes
Canyon of Heroes is occasionally used to refer to the section of lower Broadway in the Financial District that is the location of the city's ticker-tape parades. The traditional route of the parade is northward from Bowling Green to City Hall Park. Most of the route is lined with tall office buildings along both sides, affording a view of the parade for thousands of office workers who create the snowstorm-like jettison of shredded paper products that characterize the parade.
While typical sports championship parades have been showered with some 50 tons of confetti and shredded paper, the V-J Day parade on August 14–15, 1945 – marking the end of World War II – was covered with 5,438 tons of paper, based on estimates provided by the New York City Department of Sanitation.
More than 200 black granite strips embedded in the sidewalks along the Canyon of Heroes list honorees of past ticker-tape parades.
Great White Way
"The Great White Way" is a nickname for a section of Broadway in Midtown Manhattan, specifically the portion that encompasses the Theater District, between 42nd and 53rd Streets, and encompassing Times Square.
In 1880, a stretch of Broadway between Union Square and Madison Square was illuminated by Brush arc lamps, making it among the first electrically lighted streets in the United States. By the 1890s, the portion from 23rd Street to 34th Street was so brightly illuminated by electrical advertising signs, that people began calling it "The Great White Way". When the theater district moved uptown, the name was transferred to the Times Square area.
The phrase "Great White Way" has been attributed to Shep Friedman, columnist for the New York Morning Telegraph in 1901, who lifted the term from the title of a book about the Arctic by Albert Paine. The headline "Found on the Great White Way" appeared in the February 3, 1902, edition of the New York Evening Telegram.
A portrait of Broadway in the early part of the 20th century and "The Great White Way" late at night appeared in "Artist In Manhattan" (1940) written by the artist-historian Jerome Myers:
Transportation
From south to north, Broadway at one point or another runs over or under various New York City Subway lines, including the IRT Lexington Avenue Line, the BMT Broadway Line, IRT Broadway–Seventh Avenue Line, and IND Eighth Avenue Line (the IND Sixth Avenue Line is the only north–south trunk line in Manhattan that does not run along Broadway).
The IRT Lexington Avenue Line runs under Broadway from Bowling Green to Fulton Street ().
The BMT Broadway Line runs under it from City Hall to Times Square–42nd Street ().
The IRT Broadway–Seventh Avenue Line runs under and over Broadway from Times Square to 168th Street (), and again from 218th Street to its terminal in the Bronx at Van Cortlandt Park–242nd Street ().
The northern portion of the IND Eighth Avenue Line runs under Broadway from Dyckman Street to Inwood–207th Street ().
Early street railways on Broadway included the Broadway and Seventh Avenue Railroad's Broadway and University Place Line (1864?) between Union Square (14th Street) and Times Square (42nd Street), the Ninth Avenue Railroad's Ninth and Amsterdam Avenues Line (1884) between 65th Street and 71st Street, the Forty-second Street, Manhattanville and St. Nicholas Avenue Railway's Broadway Branch Line (1885?) between Times Square and 125th Street, and the Kingsbridge Railway's Kingsbridge Line north of 169th Street. The Broadway Surface Railroad's Broadway Line, a cable car line, opened on lower Broadway (below Times Square) in 1893, and soon became the core of the Metropolitan Street Railway, with two cable branches: the Broadway and Lexington Avenue Line and Broadway and Columbus Avenue Line.
These streetcar lines were replaced with bus routes in the 1930s and 1940s. Before Broadway became one-way, the main bus routes along it were the New York City Omnibus Company's (NYCO) 6 (Broadway below Times Square), 7 (Broadway and Columbus Avenue), and 11 (Ninth and Amsterdam Avenues), and the Surface Transportation Corporation's M100 (Kingsbridge) and M104 (Broadway Branch). Additionally, the Fifth Avenue Coach Company's (FACCo) 4 and 5 used Broadway from 135th Street north to Washington Heights, and their 5 and 6 used Broadway between 57th Street and 72nd Street. With the implementation of one-way traffic, the northbound 6 and 7 were moved to Sixth Avenue.
, Broadway is served by the M4 (ex-FACCo 4), M7 (ex-NYCO 7), M55, M100, and M104. Other routes that use part of Broadway include the M5 (ex-FACCo 5), M10, M20, M60 Select Bus Service, Bx7, Bx9, and Bx20.
Bee-Line buses also serves Broadway within Riverdale and Westchester County. Routes 1, 2, 3, 4, 6, 13, and several others run on a portion of Broadway.
Notable buildings
Broadway is lined with many famous and otherwise noted and historic buildings, such as:
2 Broadway
280 Broadway (also known as the Marble Palace, the A.T. Stewart Company Store, or The Sun Building)
Alexander Hamilton U.S. Custom House (1 Bowling Green, between the two legs of the southern end of Broadway)
American Surety Building (100 Broadway)
Ansonia Hotel (2109 Broadway)
Bowling Green Fence and Park (between 25 and 26 Broadway)
Bowling Green Offices Building (11 Broadway)
Brill Building (1619 Broadway)
Corbin Building (196 Broadway)
Cunard Building (25 Broadway)
Dyckman House (4881 Broadway)
Equitable Building (120 Broadway)
Flatiron Building (Fifth Avenue and Broadway at 23rd Street)
Gilsey House (1200 Broadway)
Gorham Manufacturing Company Building (889-91 Broadway)
Home Life Building (253, 256 Broadway)
International Mercantile Marine Company Building (1 Broadway)
Morgan Stanley Building (1585 Broadway)
One Times Square (1475 Broadway)
Paramount Building (1501 Broadway)
Standard Oil Building (26 Broadway)
Trinity Church (79 Broadway)
Union Theological Seminary (3041 Broadway)
United Palace (4140 Broadway)
United States Lines-Panama Pacific Lines Building (1 Broadway)
Winter Garden Theatre (1634 Broadway)
Woolworth Building (233 Broadway)
Historic buildings on Broadway that are now demolished include:
Appleton Building
Alexander Macomb House
Barnum's American Museum
Equitable Life Building
Grand Central Hotel (673 Broadway)
Mechanics' Hall
Metropolitan Opera House, from 1883 to 1966, between 39th and 40th Streets
Singer Tower (Liberty Street and Broadway)
St. Nicholas Hotel
References
Notes
Citations
Bibliography
External links
Great White Way; historical citations from etymologist Barry Popik
New York Songlines: Broadway; a virtual walking tour of the street
Green Light for Midtown; New York City Department of Transportation pilot program for Broadway traffic
Walking the length of Broadway
Harlem
Inwood, Manhattan
Lower Manhattan
Midtown Manhattan
Morningside Heights, Manhattan
Riverdale, Bronx
Streets in Manhattan
Streets in the Bronx
U.S. Route 9
Union Square, Manhattan
Upper West Side
Washington Heights, Manhattan | 8 |
The bilinear transform (also known as Tustin's method, after Arnold Tustin) is used in digital signal processing and discrete-time control theory to transform continuous-time system representations to discrete-time and vice versa.
The bilinear transform is a special case of a conformal mapping (namely, a Möbius transformation), often used to convert a transfer function of a linear, time-invariant (LTI) filter in the continuous-time domain (often called an analog filter) to a transfer function of a linear, shift-invariant filter in the discrete-time domain (often called a digital filter although there are analog filters constructed with switched capacitors that are discrete-time filters). It maps positions on the axis, , in the s-plane to the unit circle, , in the z-plane. Other bilinear transforms can be used to warp the frequency response of any discrete-time linear system (for example to approximate the non-linear frequency resolution of the human auditory system) and are implementable in the discrete domain by replacing a system's unit delays with first order all-pass filters.
The transform preserves stability and maps every point of the frequency response of the continuous-time filter, to a corresponding point in the frequency response of the discrete-time filter, although to a somewhat different frequency, as shown in the Frequency warping section below. This means that for every feature that one sees in the frequency response of the analog filter, there is a corresponding feature, with identical gain and phase shift, in the frequency response of the digital filter but, perhaps, at a somewhat different frequency. This is barely noticeable at low frequencies but is quite evident at frequencies close to the Nyquist frequency.
Discrete-time approximation
The bilinear transform is a first-order Padé approximant of the natural logarithm function that is an exact mapping of the z-plane to the s-plane. When the Laplace transform is performed on a discrete-time signal (with each element of the discrete-time sequence attached to a correspondingly delayed unit impulse), the result is precisely the Z transform of the discrete-time sequence with the substitution of
where is the numerical integration step size of the trapezoidal rule used in the bilinear transform derivation; or, in other words, the sampling period. The above bilinear approximation can be solved for or a similar approximation for can be performed.
The inverse of this mapping (and its first-order bilinear approximation) is
The bilinear transform essentially uses this first order approximation and substitutes into the continuous-time transfer function,
That is
Stability and minimum-phase property preserved
A continuous-time causal filter is stable if the poles of its transfer function fall in the left half of the complex s-plane. A discrete-time causal filter is stable if the poles of its transfer function fall inside the unit circle in the complex z-plane. The bilinear transform maps the left half of the complex s-plane to the interior of the unit circle in the z-plane. Thus, filters designed in the continuous-time domain that are stable are converted to filters in the discrete-time domain that preserve that stability.
Likewise, a continuous-time filter is minimum-phase if the zeros of its transfer function fall in the left half of the complex s-plane. A discrete-time filter is minimum-phase if the zeros of its transfer function fall inside the unit circle in the complex z-plane. Then the same mapping property assures that continuous-time filters that are minimum-phase are converted to discrete-time filters that preserve that property of being minimum-phase.
Transformation of a General LTI System
A general LTI system has the transfer function
The order of the transfer function is the greater of and (in practice this is most likely as the transfer function must be proper for the system to be stable). Applying the bilinear transform
where is defined as either or otherwise if using frequency warping, gives
Multiplying the numerator and denominator by the largest power of present, , gives
It can be seen here that after the transformation, the degree of the numerator and denominator are both .
Consider then the pole-zero form of the continuous-time transfer function
The roots of the numerator and denominator polynomials, and , are the zeros and poles of the system. The bilinear transform is a one-to-one mapping, hence these can be transformed to the z-domain using
yielding some of the discretized transfer function's zeros and poles and
As described above, the degree of the numerator and denominator are now both , in other words there is now an equal number of zeros and poles. The multiplication by means the additional zeros or poles are
Given the full set of zeros and poles, the z-domain transfer function is then
Example
As an example take a simple low-pass RC filter. This continuous-time filter has a transfer function
If we wish to implement this filter as a digital filter, we can apply the bilinear transform by substituting for the formula above; after some reworking, we get the following filter representation:
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The coefficients of the denominator are the 'feed-backward' coefficients and the coefficients of the numerator are the 'feed-forward' coefficients used to implement a real-time digital filter.
Transformation for a general first-order continuous-time filter
It is possible to relate the coefficients of a continuous-time, analog filter with those of a similar discrete-time digital filter created through the bilinear transform process. Transforming a general, first-order continuous-time filter with the given transfer function
using the bilinear transform (without prewarping any frequency specification) requires the substitution of
where
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However, if the frequency warping compensation as described below is used in the bilinear transform, so that both analog and digital filter gain and phase agree at frequency , then
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This results in a discrete-time digital filter with coefficients expressed in terms of the coefficients of the original continuous time filter:
Normally the constant term in the denominator must be normalized to 1 before deriving the corresponding difference equation. This results in
The difference equation (using the Direct form I) is
General second-order biquad transformation
A similar process can be used for a general second-order filter with the given transfer function
This results in a discrete-time digital biquad filter with coefficients expressed in terms of the coefficients of the original continuous time filter:
Again, the constant term in the denominator is generally normalized to 1 before deriving the corresponding difference equation. This results in
The difference equation (using the Direct form I) is
Frequency warping
To determine the frequency response of a continuous-time filter, the transfer function is evaluated at which is on the axis. Likewise, to determine the frequency response of a discrete-time filter, the transfer function is evaluated at which is on the unit circle, . The bilinear transform maps the axis of the s-plane (of which is the domain of ) to the unit circle of the z-plane, (which is the domain of ), but it is not the same mapping which also maps the axis to the unit circle. When the actual frequency of is input to the discrete-time filter designed by use of the bilinear transform, then it is desired to know at what frequency, , for the continuous-time filter that this is mapped to.
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This shows that every point on the unit circle in the discrete-time filter z-plane, is mapped to a point on the axis on the continuous-time filter s-plane, . That is, the discrete-time to continuous-time frequency mapping of the bilinear transform is
and the inverse mapping is
The discrete-time filter behaves at frequency the same way that the continuous-time filter behaves at frequency . Specifically, the gain and phase shift that the discrete-time filter has at frequency is the same gain and phase shift that the continuous-time filter has at frequency . This means that every feature, every "bump" that is visible in the frequency response of the continuous-time filter is also visible in the discrete-time filter, but at a different frequency. For low frequencies (that is, when or ), then the features are mapped to a slightly different frequency; .
One can see that the entire continuous frequency range
is mapped onto the fundamental frequency interval
The continuous-time filter frequency corresponds to the discrete-time filter frequency and the continuous-time filter frequency correspond to the discrete-time filter frequency
One can also see that there is a nonlinear relationship between and This effect of the bilinear transform is called frequency warping. The continuous-time filter can be designed to compensate for this frequency warping by setting for every frequency specification that the designer has control over (such as corner frequency or center frequency). This is called pre-warping the filter design.
It is possible, however, to compensate for the frequency warping by pre-warping a frequency specification (usually a resonant frequency or the frequency of the most significant feature of the frequency response) of the continuous-time system. These pre-warped specifications may then be used in the bilinear transform to obtain the desired discrete-time system. When designing a digital filter as an approximation of a continuous time filter, the frequency response (both amplitude and phase) of the digital filter can be made to match the frequency response of the continuous filter at a specified frequency , as well as matching at DC, if the following transform is substituted into the continuous filter transfer function. This is a modified version of Tustin's transform shown above.
However, note that this transform becomes the original transform
as .
The main advantage of the warping phenomenon is the absence of aliasing distortion of the frequency response characteristic, such as observed with Impulse invariance.
See also
Impulse invariance
Matched Z-transform method
References
External links
MIT OpenCourseWare Signal Processing: Continuous to Discrete Filter Design
Lecture Notes on Discrete Equivalents
The Art of VA Filter Design
Digital signal processing
Transforms
Control theory | 7 |
This is a list of political scandals in the United Kingdom in chronological order. Scandals implicating political figures or governments of the UK, often reported in the mass media, have long had repercussions for their popularity. Issues in political scandals have included alleged or proven financial and sexual matters, or various other allegations or actions taken by politicians that led to controversy. In British media and political discourse, such scandals have sometimes been referred to as political sleaze since the 1990s. Notable scandals include the Marconi scandal, Profumo affair and the 2009 expenses scandal.
1890s
Liberator Building Society scandal, in which the Liberal Party MP Jabez Balfour was exposed as running several fraudulent companies to conceal financial losses. Balfour fled to Argentina, but was eventually arrested and imprisoned.
1910s
Marconi scandal of insider trading by Liberal Party Ministers including:
Rufus Isaacs, 1st Marquess of Reading, the Attorney General
The Master of Elibank, Lord Murray, the Treasurer of the Liberal Party,
David Lloyd George, 1st Earl Lloyd-George of Dwyfor, the Chancellor of the Exchequer
Herbert Samuel, 1st Viscount Samuel, Postmaster General; was falsely implicated. (1912)
Shell Crisis of 1915, which led to the fall of H. H. Asquith's Liberal Party government during World War I.
1920s
Lloyd George and the honours scandal. Honours sold for large campaign contributions (1922)
Zinoviev Letter (1924)
1930s
Jimmy Thomas budget leak (1936)
1940s
Hugh Dalton budget leak (1947)
John Belcher corruptly influenced – led to Lynskey Tribunal
1950s
Crichel Down and the resignation of Thomas Dugdale (1954)
Suez Crisis (1956)
1960s
Vassall affair (1963): civil servant John Vassall, working for Minister Tam Galbraith, was revealed to be a spy for the Soviet Union and was arrested. The affair was investigated in the Vassall tribunal.
Profumo affair (1963): Secretary of State for War John Profumo had an affair with Christine Keeler (to whom he had been introduced by artist Stephen Ward) who was having an affair with a Soviet spy at the same time.
The Robert Boothby (Tory), Tom Driberg (Labour), Kray brothers affair and consequent cover-up involving senior politicians of both parties. The Daily Mirror published some details of the matter and was falsely sued for libel.
1970s
Corrupt architect John Poulson and links to Conservative Home Secretary Reginald Maudling, Labour council leader T. Dan Smith and others (1972–1974): Maudling resigned, Smith sentenced to imprisonment.
Earl Jellicoe and Lord Lambton sex scandal (1973): Conservatives, junior defence minister Lambton is arrested for using prostitutes and Cabinet minister Jellicoe also confesses.
Labour MP John Stonehouse's faked suicide (1974)
Harold Wilson's Prime Minister's Resignation Honours (known satirically as the "Lavender List") gives honours to a number of wealthy businessmen whose principles were considered antipathetic to those held by the Labour Party (May 1976)
Peter Jay's appointment as British Ambassador to the US by his father in law, the then Labour Prime Minister James Callaghan. At the time Jay was a journalist with little diplomatic experience. (1976)
"Rinkagate": the Thorpe affair. Liberal Party leader Jeremy Thorpe was arrested and tried for allegedly paying a hitman to murder his lover, model Norman Scott, while walking his dog on Exmoor; the hitman only shot the dog, Rinka. Thorpe was forced to resign due to his clandestine gay affairs, but was acquitted of conspiracy to murder.
1980s
Joseph Kagan, Baron Kagan, earlier ennobled by the Labour Prime Minister Harold Wilson's notorious Lavender List (1976), was convicted of fraud (1980)
Cecil Parkinson affair with secretary Sara Keays resulting in their child, Flora Keays (1983)
Al Yamamah contract alleged to have been obtained by bribery (1985)
Westland affair (1986): The Defence Secretary, Michael Heseltine resigned from his Cabinet job in a disagreement with Prime Minister Margaret Thatcher over the Westland affair. Heseltine walked out of a meeting at Number 10 as his views on the future of the Westland helicopter company were being ignored at the time.
Jeffrey Archer and the prostitute allegations (1986), and his subsequent conviction for perjury (2001)
Westminster cemeteries scandal (1987)
Edwina Currie resigns as a junior Health minister after claiming that millions of British eggs were infected with salmonella, stating that "most of [British] egg production" was infected (1988)
"Homes for votes" gerrymandering scandal (1987–1989)
1990s
Arms-to-Iraq and the closely connected Iraqi Supergun affair (1990)
David Mellor resignation after press disclosure of his affair with Antonia de Sancha and gratis holiday from a daughter of a PLO official (1992)
Michael Mates gift of a watch ("Don't let the bastards grind you down") to Asil Nadir (1993)
Monklandsgate dominated the 1994 Monklands East by-election. It mainly consisted of allegations of sectarian spending discrepancies between Protestant Airdrie and Catholic Coatbridge, fuelled by the fact that all 17 of the ruling Labour group were Roman Catholics. (1994)
Back to Basics, a government policy slogan portrayed by opponents and the press as a morality campaign to compare it with a contemporaneous succession of sex scandals in John Major's government which led to the resignation of Tim Yeo and the Earl of Caithness, among others (1994)
Cash-for-questions affair involving Neil Hamilton, Tim Smith and Mohamed Al-Fayed (1994)
Jonathan Aitken and the Paris Ritz Hotel bill allegations, and his subsequent conviction for perjury after his failed libel action against The Guardian, resulting in Aitken being only the third person to have to resign from the Privy Council in the 20th century. (1995)
Conservative MP Jerry Hayes was "outed" as a homosexual by the News of the World with the headline "TORY MP 2-TIMED WIFE WITH UNDER-AGE GAY LOVER". Hayes had met Young Conservative Paul Stone at the 1991 Conservative conference and that same evening, "committed a lewd act which was in breach of the law at the time". Stone had been 18 at the time, whilst the legal age for homosexual sex in 1991 was 21. He had previously supported Section 28 and other anti-gay legislation. (1997)
Bernie Ecclestone was involved in a political scandal when it transpired he had given the Labour Party a million pound donation – which raised eyebrows when the incoming Labour government changed its policy to allow Formula One to continue being sponsored by tobacco manufacturers. The Labour Party returned the donation when the scandal came to light. (1997)
Peter Mandelson, Trade and Industry Secretary, resigned after failing to disclose £373,000 loan from Paymaster General Geoffrey Robinson. (1998)
Ron Davies resigned from the cabinet after being robbed by a man he met at Clapham Common (a well-known gay cruising ground) and then lying about it (1998)
2000s
Officegate (2001). Henry McLeish, Labour First Minister of Scotland, failed to refund the House of Commons for income he had received from the sub-let of his constituency office in Glenrothes while still a Westminster MP.
Keith Vaz, Peter Mandelson and the Hinduja brothers. Mandelson forced to resign for a second time due to misleading statements. (2001)
Jo Moore, within an hour of the September 11 attacks, sent an email to the press office of her department suggesting: "It's now a very good day to get out anything we want to bury. Councillors' expenses?" Although prior to the catastrophic collapse of the towers, the phrase "a good day to bury bad news" (not actually used by Moore) has since been used to refer to other instances of attempting to hide one item of news behind a more publicised issue.
Betsygate (2002), which revolved around the level of pay that Iain Duncan Smith's wife Elisabeth received as his diary secretary.
In 2002, Edwina Currie revealed that she had had an affair, beginning in 1984, with John Major before he became Prime Minister of the United Kingdom. This was criticised as Major had frequently pushed his Back To Basics agenda (see above), which was taken by the media as a form of moral absolutism.
The Burrell affair – allegations about the behaviour of the British royal family and their servants with possible constitutional implications. (2002)
Ron Davies stood down from the Welsh assembly following accusations of illicit gay sex. Davies had claimed he had been badger-watching in the area. (2003)
The apparent suicide of Dr. David Kelly and the Hutton Inquiry. On 17 July 2003, Kelly, an employee of the Ministry of Defence, apparently committed suicide after being misquoted by BBC journalist Andrew Gilligan as saying that Tony Blair's Labour government had knowingly "sexed up" the "September Dossier", a report into Iraq and weapons of mass destruction. The government was cleared of wrongdoing, while the BBC was strongly criticised by the subsequent inquiry, leading to the resignation of the BBC's chairman and director-general.
In April 2004, Beverly Hughes was forced to resign as minister for Immigration, Citizenship and Counter Terrorism when it was shown that she had been informed of procedural improprieties concerning the granting of visas to certain categories of workers from Eastern Europe. She had earlier told the House of Commons that if she had been aware of such facts she would have done something about it.
In 2005, David McLetchie, leader of the Scottish Conservatives, was forced to resign after claiming the highest taxi expenses of any MSP. These included personal journeys, journeys related solely with his second job as a solicitor, and Conservative Party business, for example travel to Conservative conferences. Conservative backbench MSP Brian Monteith had the whip withdrawn for briefing against his leader to the Scotland on Sunday newspaper.
Liberal Democrats Home Affairs spokesman Mark Oaten resigned after it was revealed by the News of the World that he paid rentboys to perform sexual acts on him.
David Mills financial allegations (2006). Tessa Jowell, Labour cabinet minister, was embroiled in a scandal about a property remortgage allegedly arranged to enable her husband, David Mills, to realise £350,000 from an off-shore hedge fund, money he allegedly received as a gift following testimony he had provided for Silvio Berlusconi in the 1990s. Nicknamed by the press as "Jowellgate".
Cash for Honours (2006). In March 2006 it emerged that the Labour Party had borrowed millions of pounds in 2005 to help fund their general election campaign. While not illegal, on 15 March the Treasurer of the party, Jack Dromey stated publicly that he had neither knowledge of nor involvement in these loans and had only become aware when he read about it in the newspapers. A story was running at the time that Dr Chai Patel and others had been recommended for life peerages after lending the Labour party money. He called on the Electoral Commission to investigate the issue of political parties taking out loans from non-commercial sources.
Following revelations about Dr Chai Patel and others who were recommended for peerages after lending the Labour party money, the Treasurer of the party, Jack Dromey said he had not been involved and did not know the party had secretly borrowed millions of pounds in 2005. He called on the Electoral Commission to investigate the issue of political parties taking out loans from non-commercial sources.
Angus McNeil (2007). The married SNP MP who made the initial police complaint over the cash for honours scandal was forced to make an apology after it was revealed that in 2005 he had a "heavy petting" session with two teenage girls aged 17 and 18 in a hotel room at the same time his wife was pregnant with their third child.
News of the World royal phone hacking scandal
In November 2007, it emerged that more than £400,000 had been accepted by the Labour Party from one person through a series of third parties, causing the Electoral Commission to seek an explanation. Peter Watt resigned as the General Secretary of the party the day after the story broke and was quoted as saying that he knew about the arrangement but had not appreciated that he had failed to comply with the reporting requirements.
On 24 January 2008, Peter Hain resigned his two cabinet posts (Secretary of State for Work and Pensions and Secretary of State for Wales) after the Electoral Commission referred donations to his Deputy Leadership campaign to the police.
Derek Conway (2008). The Conservative Party MP was found to have reclaimed salaries he had paid to his two sons who had in fact not carried out the work to the extent claimed. He was ordered to repay £16,918, suspended from the House of Commons for 10 days and removed from the party whip.
Cash for Influence (2009). Details of covertly recorded discussions with four Labour Party peers which their ability to influence legislation and the consultancy fees that they charged (including retainer payments of up to £120,000) were published by The Sunday Times.
United Kingdom parliamentary expenses scandal (2009). Widespread actual and alleged misuse of the permitted allowances and expenses claimed by Members of Parliament and attempts by MPs and peers to exempt themselves from Freedom of Information legislation.
2010s
2010
The Iris Robinson scandal in which First Minister of Northern Ireland Peter Robinson stepped aside for six weeks in January 2010 following revelations of his wife's involvement in an extramarital affair, her attempted suicide, and allegations that he had failed to properly declare details of loans she had procured for her lover to develop a business venture.
Red Sky scandal, involving contracts given to company Red Sky by the Northern Ireland Housing Executive.
The 2010 cash for influence scandal, in which undercover reporters for the Dispatches television series posed as political lobbyists offering to pay Members of Parliament to influence policy.
On 29 May 2010 Chief Secretary to the Treasury David Laws resigned from the Cabinet and was referred to the Parliamentary Commissioner for Standards after The Daily Telegraph newspaper published details of Laws claiming around £40,000 in expenses on a second home owned by a secret partner between 2004 and 2009, whilst House of Commons rules have prevented MPs from claiming second home expenses on properties owned by a partner since 2006. By resigning Laws became the shortest serving Minister in modern British political history with less than 18 days' service as a Cabinet Minister.
2011
On 14 October 2011 Secretary of State for Defence Liam Fox resigned from the Cabinet after he "mistakenly allowed the distinction between [his] personal interest and [his] government activities to become blurred" over his friendship with Adam Werritty. (He again served as a cabinet minister under Theresa May.)
News International phone hacking scandal
The Ed Balls document leak was exposed by the Daily Telegraph and showed that shadow chancellor Ed Balls was involved in a supposed plot known as 'Project Volvo' to oust Tony Blair as leader and replace him with Gordon Brown shortly after the 2005 election.
2012
Conservative Party 'cash for access' scandal involving Peter Cruddas and Sarah Southern, March 2012.
In February 2012 Liberal Democrat MP Chris Huhne resigned from the Cabinet when he was charged with perverting the course of justice over a 2003 speeding case. His wife Vicky Pryce had claimed that she was driving the car, and accepted the licence penalty points on his behalf so that he could avoid being banned from driving. Huhne pleaded guilty at his trial, resigned as a member of parliament, and he and Pryce were sentenced to eight months in prison for perverting the course of justice.
In April 2012, Conservative Party MP and Culture Secretary Jeremy Hunt came under pressure to resign as a result of his closeness to Rupert Murdoch's media empire and alleged corruption in dealing with Murdoch's bid for News Corporation's takeover of BSkyB.
In October 2012, Andrew Mitchell resigned from his post as Chief Whip following allegations made about his conduct during an altercation with police at Downing Street on 19 September, the incident becoming known as "plebgate".
2013
In the 2013 Labour Party Falkirk candidate selection, which began following the announcement that the incumbent MP Eric Joyce was to step down at the 2015 general election, allegations were made on the significant infiltration of the selection process by the Unite trade union, the Labour Party's largest financial backer.
2014
In April 2014 Maria Miller, the Culture Secretary, resigned following pressure relating to the results of an investigation into her past expenses claims.
On 20 November 2014 Emily Thornberry resigned her shadow cabinet position shortly after polls closed in the Rochester and Strood by-election. Earlier in the day, she had received criticism after tweeting a photograph of a house in the constituency adorned with three flags of St. George and the owner's white van parked outside on the driveway, under the caption "Image from #Rochester", provoking accusations of snobbery. She was criticised by fellow Labour Party MPs, including leader Ed Miliband who said her tweet conveyed a "sense of disrespect".
Namagate, involving allegations that First Minister of Northern Ireland Peter Robinson may have financially benefitted from a deal with National Asset Management Agency (NAMA).
2015
In September 2015, Lord Ashcroft published a biography of David Cameron, which suggested that the then Prime Minister took drugs regularly and performed an "outrageous initiation ceremony" which involved inserting "a private part of his anatomy" into the mouth of a dead pig during his time in university. This became known as "piggate". It also led to questions about the Prime Minister's honesty with party donors' known tax statuses as Lord Ashcroft suggested he had openly discussed his non-domiciled status with him in 2009, earlier than previously thought.
2017
In 2017 the contaminated blood scandal, in which many haemophiliacs died from infected Factor medicine, hit the headlines and Parliament with allegations of an "industrial scale" criminal cover-up. MP Ken Clarke retracted remarks from his autobiography relating to the scandal and a public inquiry is now underway.
The Renewable Heat Incentive scandal in Northern Ireland, in which Arlene Foster set up a green energy scheme but failed to introduce cost controls, creating perverse incentives which eventually led to a £480m bill to the Northern Ireland budget. There were allegations that members of the Democratic Unionist Party attempted to postpone the closure of the scheme, which gave way to a spike in applications and causing the public purse millions of pounds. In January 2017, the scandal caused the resignation of the deputy First Minister, Martin McGuinness, after Foster refused to stand aside as First Minister pending an investigation, collapsing the Executive Office and triggering an early election of the Northern Ireland Assembly. The resulting political rifts meant the Assembly did not meet again until 2020.
2018
The 2018 Windrush scandal, involving members of the Windrush generation being wrongly detained, deported, or threatened with deportation which caused the resignation of then Home Secretary, Amber Rudd.
2020s
2020
The Dominic Cummings scandal, where Dominic Cummings, chief strategist of Prime Minister Boris Johnson, broke COVID-19 pandemic restrictions during the UK's first nationwide lockdown while experiencing symptoms of the disease. Cummings and Johnson rejected calls for the former to resign. It was suggested that the scandal undermined the public's compliance with pandemic restrictions.
The Alex Salmond scandal concerned how the Scottish Government, led by incumbent First Minister of Scotland Nicola Sturgeon, breached its own guidelines in its investigation into the harassment claims against Sturgeon's predecessor as First Minister, Alex Salmond. The Scottish Government lost a judicial review into their actions and had to pay over £500,000 to Salmond for legal expenses. Salmond claimed that senior figures in Sturgeon's government and the ruling Scottish National Party (SNP) conspired against him for political reasons. Critics accused Sturgeon of breaking the Ministerial Code which resulted in calls for her resignation. Sturgeon disputed the allegations, arguing that while mistakes had been made, her government acted appropriately.
2021
The Greensill scandal, where former Prime Minister David Cameron approached a number of government ministers on behalf of Greensill Capital to lobby for the company to receive Covid Corporate Financing Facility loans.
The Sun published pictures and then video of leaked CCTV footage from inside the Department of Health of Health Secretary Matt Hancock and Gina Coladangelo kissing in a breach of COVID-19 social distancing guidance. Boris Johnson accepted Matt Hancock's apology and stated that he "considers the matter closed", however the Health Secretary resigned the following day.
In November 2021, Conservative MP Owen Paterson was found to have broken paid advocacy rules Parliamentary Commissioner for Standards but instead of approving his suspension, the government enforced a three-line whip on Conservative MPs to pass a motion that the investigation was "clearly flawed". After an outcry from opposition parties, the government made a U-turn and Paterson resigned.
Partygate involving social gatherings by Downing Street and Conservative Party staff during COVID-19 restrictions in late 2020.
2022
Neil Parish, Conservative MP for Tiverton and Honiton, was forced to resign in April after it was discovered that he had watched pornography in the House of Commons on at least two occasions.
Chris Pincher scandal. Chris Pincher, the Deputy Chief Whip of the Conservative Party, resigned on 30th June following allegations about him groping two men. Further allegations of harassment emerged against Pincher, along with claims that Prime Minister Boris Johnson had already been informed of his behaviour. The incremental effect of this and other recent controversies led to the resignation of 59 Conservative politicians, most notably Rishi Sunak as Chancellor and Sajid Javid as Health Secretary. This in turn, led to Boris Johnson committing to resign as leader of the Conservative Party, and thus as prime minister, when his replacement as leader had been chosen by his party.
References
United Kingdom
United Kingdom politics-related lists
Political scandals | 5 |
Bombardier Inc. () is a Canadian business jet manufacturer. Headquartered in Montreal, the company was founded in 1942 by Joseph-Armand Bombardier to market his snowmobiles and became one of the world's biggest producers of aircraft and trains.
In the 1970s and 1980s, the company diversified into public transport vehicles and commercial jets and became a multinational corporation. It grew particularly fast at the end of the 1980s when the turnover multiplied sixfold within six years. At that time it was North America's most important producer of railway vehicles, Canada's most important aerospace producer and the worldwide leading snowmobile manufacturer. The growth came mainly from buying failing government-owned companies at a low price and orchestrating a turnaround.
However, the launch of the CSeries aircraft sent the company into deep debt, pushing it to the brink of bankruptcy by 2015. As a result, the company sold nearly all of its operations except business jet manufacturing.
Bombardier manufactures several series of corporate jets: Global 7500, Global Express, Challenger 650 and Challenger 3500.
Divested lines of business
Commercial aviation
In 1986, Bombardier acquired Canadair for C$120 million from the Government of Canada after it recorded the largest corporate loss in Canadian history.
In 1989, the company acquired Short Brothers.
By 1990, the first product of the company, the Ski-Doo snowmobile, had become its weakest part gaging up deficits and high inventories.
In 1990, it acquired Learjet. In 1992, the company acquired de Havilland Canada from Boeing.
In 1995, the company founded Flexjet. In December 2013, the division was sold for $195 million.
On June 29, 2016, Bombardier delivered the first CSeries CS100 aircraft (now called the Airbus A220) to Swiss International Air Lines. Air Canada placed an order for the aircraft one day earlier.
In April 2016, Delta Air Lines placed an order for the aircraft. On September 26, 2017, after Boeing complained that Bombardier was selling the CS100 to Delta Air Lines below cost due to subsidies from the governments of Canada and Quebec, the United States Department of Commerce proposed a 219% tariff on the aircraft. Boeing's complaint stated that the CS100 planes were being sold at US$19.6 million each, below the US$33.2 million production cost. The governments of Canada and the United Kingdom threatened to stop ordering Boeing aircraft since the company was putting aerospace jobs at risk. On January 26, 2018, the United States International Trade Commission overturned the tariffs. Boeing did not appeal.
In July 2018, Airbus acquired a 50.01% stake in the CSeries for one Canadian dollar, with an option to acquire the remaining interest by 2024. Airbus built a second CSeries assembly line at its A320 assembly facility in Mobile, Alabama.
In November 2018, the company announced the sale of its turboprop passenger aircraft unit to an affiliate of Viking Air. It also announced 5,000 layoffs.
In March 2019, the company sold its Business Aircraft Training business to CAE Inc. for $645 million. The business included flight simulators and training devices for the Bombardier Learjet, Challenger, and Global product lines.
On 25 June 2019, Bombardier agreed with Mitsubishi Heavy Industries to sell the CRJ programme, a deal was expected to close in early 2020 subject to regulatory approval. Bombardier will retain the Mirabel assembly facility and produce the CRJ on behalf of Mitsubishi until the current order backlog is complete.
In October 2019, Bombardier announced the sale agreement of its remaining aerostructure division to US company Spirit AeroSystems. The division at time of sale involved component manufacture for new and after-market Bombardier group and Airbus group aircraft models, and also operated in aircraft maintenance, repair and overhaul. Due to how the 2020 pandemic affected the industry, the agreement was renegotiated with the sale to Spirit concluded finally in October 2020. Bombardier's former aerostructures division purchased by Spirit consisted at time of sale of operations in Belfast, UK; Casablanca, Morocco; and Dallas, USA.
The 2019-20, aerostructures division sell-off was described at the time as supporting Bombardier's "strategic decision to reposition itself as a pure-play business aircraft company".
In February 2020, Airbus acquired an additional 25% stake in the A220 for US$591 million. This transaction was the final step to get Bombardier Aviation out of the commercial jet industry.
In December 2022, Bombardier broke ground on the new service center at the Abu Dhabi International Airport. This new facility in Abu Dhabi will be Bombardier’s first full-service facility in the United Arab Emirates.
Bombardier Capital
From 1973, when it was based in Colchester, Vermont, Bombardier Capital offered financial services such as lending and leasing.
In 1997, the company began transitioning some services to Jacksonville, Florida.
In 2001, it ceased taking on new consumer loans.
In 2005, Bombardier sold its inventory finance division to GE Commercial Finance.
Military
The company acquired the rights to the Volkswagen Iltis in 1981. Production ceased in 1989.
When UTDC was acquired by Bombardier in 1991 several military products were added:
UTDC 24M32 - HLVW military trucks based on the Steyr 91 (Percheron)
MLVW military trucks based on the M35 2-1/2 ton cargo truck
In 2003, the company sold its arms industry division in Canada. Military Aviation Services was sold to SPAR Aerospace. Land-based arms industry products made by Urban Transportation Development Corporation ceased operations.
Public transport bus in Ireland
In the late 1970s, in the Republic of Ireland, CIÉ (now Bus Éireann and Dublin Bus) commissioned a range of single and double-decker buses to be designed and produced.
CIÉ looked for partners to build these buses in Ireland, eventually finding two: Bombardier, and the United States-based General Automotive Corporation (GAC) from Ann Arbor, Michigan. The two companies formed a new company Bombardier Ireland Limited, 51% owned by Bombardier and 49% owned by GAC. In August 1983, Bombardier sold its shares to GAC, with the company renamed GAC Ireland Limited.
The prototypes were devised in Germany and production of 51 express coaches (KE type) and 366 double-decker buses (KD type) were assembled between 1980 and 1983 at a facility in Shannon, County Clare. They remained in service until 1997 and 2000, respectively. Some surviving examples are now exhibited at the National Transport Museum of Ireland at Howth Castle.
Rail equipment
The company diversified into rail transport after the 1970s energy crisis reduced demand for snowmobiles.
In 1974, the company received its first order – to build MR-73 trains for Société de transport de Montréal for use on the Montreal Metro.
In 1975, the company acquired Montreal Locomotive Works. It was sold to General Electric in 1988.
In 1982, the company won a contract from New York's Metropolitan Transportation Authority to build 825 R62A cars for the New York City Subway for $663 million.
In 1985, the company ceased manufacturing locomotives and concentrated on producing passenger train rolling stock. It acquired a 45% stake in La Brugeoise et Nivelles (formerly BN Constructions Ferroviaires et Métalliques) based in Bruges in 1986, the assets of U.S. railcar manufacturers Budd Company and Pullman Company in 1987, and ANF Industrie based in Crespin, Nord, France in 1989. A series of acquisitions in the United Kingdom, Germany, Switzerland, Canada, and Mexico further increased operations.
In 1996, the company was selected as the lead developer for the Acela Express trains, the fastest trains in North America, in a $710 million contract. Problems with the trains resulted in lawsuits between the company and Amtrak.
In 2001, Bombardier acquired Adtranz (DaimlerChrysler Rail Systems), a manufacturer of trains which were widely used throughout Germany and Great Britain, becoming one of the largest manufacturers of railway rolling stock in the world. This division produced the Bombardier Turbostar.
In 2005, it launched the Bombardier Zefiro high-speed rail, with speeds of 200–380 kilometres per hour, for the Ministry of Railways (China).
On February 13, 2020, Alstom agreed to buy the Bombardier Transportation division for €7 billion. The acquisition deal was completed on January 29, 2021.
Bombardier Recreational Products
In January 1934, a blizzard prevented Joseph-Armand Bombardier from reaching the nearest hospital in time to save his two-year-old son, Yvon, who died from appendicitis complicated by peritonitis.
Bombardier was a mechanic who dreamed of building a vehicle that could "float on snow". In 1935, in a repair shop in Valcourt, Quebec, he designed and produced the first snowmobile using a drive system he developed that revolutionized travel in snow and swampy conditions.
In 1937, he patented and sold 12 of the 7-passenger "B7" snow coaches. They were used in rural Quebec to take children to school, carry freight, deliver mail, and as ambulances. In 1941, Bombardier opened a factory in Valcourt.
In 1942, L'Auto-Neige Bombardier Limitée ("Bombardier Snow Car Limited") was founded in Valcourt.
During World War II, the Government of Canada issued wartime rationing regulations. Bombardier customers had to prove that snowmobiles were essential to their livelihood in order to buy one. The company then shifted its focus to the arms industry.
In 1947, during a blizzard in Saskatchewan, the company received positive press coverage when army snowmobiles resupplied isolated radio communication towers.
In 1948, the Government of Quebec passed a law requiring all roads to be cleared of snow; Bombardier's sales fell by nearly half in one year. Armand Bombardier therefore decided to diversify his business, first by producing tracked snowplows sized specifically for use on municipal sidewalks, replacing horse-drawn vehicles, then by making all-terrain vehicles for the mining, petroleum, and forestry industries.
The machines had removable front skis that could be replaced with front wheels for use on paved or hard surfaces, thus providing greater utility to his large snowmobiles. In 1951, the wooden bodies were replaced with sheet steel, and these vehicles were powered by Chrysler flathead six-cylinder engines and 3-speed manual transmissions.
In the early 1950s, Bombardier focused on developing a snowmobile for 1 or 2 passengers. A breakthrough occurred in 1957 when Bombardier developed a one-piece molded rubber continuous track with enough durability to provide snow-gripping traction for lightweight vehicles. The vehicle was called the "Ski-Dog" because it was meant to replace the dog sled for hunters and trappers. However, in 1958, "Ski-Doo" was accidentally painted on the first prototype, and immediately became the popular name.
The public soon discovered the great fun of speedy vehicles zooming over snow, and a new winter sport was born, centered in Quebec. In the first year, Bombardier sold 225 Ski-Doos; four years later, 8,210 were sold. Bombardier slowed promotion of the Ski-Doo line to prevent it from crowding out other company products, while still dominating the snowmobile industry against competitors Polaris Industries and Arctic Cat.
In 1963, Roski was created in Roxton Falls, Quebec as a manufacturer of composite parts for the Ski-Doo. In the 1960s, V-8 engines were added.
On February 18, 1964, J. Armand Bombardier died of cancer at age 56. Until then, he oversaw all areas of operation and controlled the research department, making all the drawings himself. The younger generation took over, led by Armand's sons and sons-in-law, reorganizing and decentralizing the company. The company adopted computer inventory, accounting, and billing. Distribution networks were improved and increased, and an incentive program was developed for sales staff. That year, a survey was mailed to Ski-Doo owners to find out how the product was being used. Germain Bombardier, who had been groomed by his father, took over the company upon his father's death in 1964. However, he quit and sold his shares in 1966 after a disagreement with other family members. Laurent Beaudoin, the son-in-law of the founder, then became president, a position he held until 1999. He had joined the company as controller in 1963 and was president for 25 years.
In 1967, the company was renamed Bombardier Limited. By that time, the snowmobiles were very useful for the Inuit.
In 1968, Clayton Jacobson II invented the jet ski and the company licensed his patents to create the Sea-Doo personal watercraft.
On January 23, 1969, the company became a public company, listing on the Montreal Exchange and the Toronto Stock Exchange.
In 1969–1970, the standard round windows reminiscent of portholes were replaced with larger rectangular windows that provided more interior light. A change was made to the Chrysler Industrial 318 engines with the automatic Loadflite transmissions.
In 1970, the company acquired Rotax, an engine manufacturer based in Gunskirchen, Austria.
In 1971, Bombardier acquired Moto-Ski. Also in 1971, Bombardier launched Operation SnoPlan, a program to promote snowmobile safety after a mounting death toll due to snowmobile accidents.
In the 1970s, the company began producing Can-Am motorcycles, which included Rotax engines.
In 2003, the company sold Bombardier Recreational Products to a group of investors: Bain Capital (50%), Bombardier Family (35%) and Caisse de dépôt et placement du Québec (15%) for $875 million.
Aircraft fleet
As of February 2023, Bombardier Inc. has the following aircraft listed with Transport Canada and operate as ICAO airline designator BBA, and telephony BOMBARDIER.
Bell 206 helicopter – 1
Challenger 600 – 1
Bombardier BD-100 (CL30) – 1
Bombardier BD-700 – 9
Bombardier Museum
The Museum of Ingenuity J. Armand Bombardier is a museum in Valcourt, Quebec dedicated to the life of Joseph-Armand Bombardier and the snowmobile industry. Opened in 1971, with substantial renovations in 1990, the museum is professionally curated and features a wide array of Ski-Doos, other industrial designs, and a selection of related books, booklets and other items of interest to snowmobile enthusiasts.
The museum includes the original garage "factory" where the first snowmobile was built. The garage was carefully removed from its original location in Valcourt and moved to its present site at the museum, which is located blocks away from the present-day Bombardier Recreational Products factory.
Sponsorships
For the 2021 Formula 1 season, Bombardier was a sponsor of the Aston Martin Cognizant F1 Team.
Bombardier served as the primary sponsor for Ben Rhodes and ThorSport Racing during their 2021 NASCAR Camping World Truck Series Championship season.
References
Further reading
Hadekel, Peter. Silent Partners: Taxpayers and the Bankrolling of Bombardier. Toronto: Key Porter Books Limited, 2004. .
MacDonald, Larry.The Bombardier Story: Planes, Trains and Snowmobiles. Toronto: J. Wiley & Sons, 2001. .
External links
Bombardier Inc. Corporate Reports – McGill University Library & Archives
1942 establishments in Quebec
Bombardier
Canadian brands
Companies listed on the Toronto Stock Exchange
Conglomerate companies of Canada
Multinational companies headquartered in Canada
S&P/TSX 60
Truck manufacturers of Canada
Vehicle manufacturing companies established in 1942 | 13 |
The Break key (or the symbol ⎉) of a computer keyboard refers to breaking a telegraph circuit and originated with 19th century practice. In modern usage, the key has no well-defined purpose, but while this is the case, it can be used by software for miscellaneous tasks, such as to switch between multiple login sessions, to terminate a program, or to interrupt a modem connection.
Because the break function is usually combined with the pause function on one key since the introduction of the IBM Model M 101-key keyboard in 1985, the Break key is also called the Pause key. It can be used to pause some computer games.
History
A standard telegraph circuit connects all the keys, sounders and batteries in a single series loop. Thus the sounders actuate only when both keys are down (closed, also known as "marking" — after the ink marks made on paper tape by early printing telegraphs). So the receiving operator has to hold their key down or close a built-in shorting switch in order to let the other operator send. As a consequence, the receiving operator could interrupt the sending operator by opening their key, breaking the circuit and forcing it into a "spacing" condition. Both sounders stop responding to the sender's keying, alerting the sender. (A physical break in the telegraph line would have the same effect.)
The teleprinter operated in a very similar fashion except that the sending station kept the loop closed (logic 1, or "marking") even during short pauses between characters. Holding down a special "break" key opened the loop, forcing it into a continuous logic 0, or "spacing", condition. When this occurred, the teleprinter mechanisms continually actuated without printing anything, as the all-0s character is the non-printing NUL in both Baudot and ASCII. The resulting noise got the sending operator's attention.
This practice carried over to teleprinter use on time-sharing computers. A continuous spacing (logical 0) condition violates the rule that every valid character has to end with one or more logic 1 (marking) "stop" bits. The computer (specifically the UART) recognized this as a special "break" condition and generated an interrupt that typically stopped a running program or forced the operating system to prompt for a login. Although asynchronous serial telegraphy is now rare, the key once used with terminal emulators can still be used by software for similar purposes.
Sinclair
On the ZX80 and ZX81 computers, the Break is accessed by pressing . On the ZX Spectrum it is accessed by . The Spectrum+ and later computers have a dedicated key. It does not trigger an interrupt but will halt any running BASIC program, or terminate the loading or saving of data to cassette tape. An interrupted BASIC program can usually be resumed with the CONTINUE command. The Sinclair QL computer, without a key, maps the function to .
BBC Micro
On a BBC Micro computer, the key generates a hardware reset which would normally cause a warm restart of the computer. A cold restart is triggered by pressing . If a filing system is installed, will cause the computer to search for and load or run a file called !Boot on the filing system's default device (e.g. floppy disk 0, network user BOOT). The latter two behaviours were inherited by the successor to Acorn MOS, RISC OS. These behaviours could be changed or exchanged in software, and were often used in rudimentary anti-piracy techniques.
Because of the BBC Micro's near universal usage in British schools, later versions of the machine incorporated a physical lock on the Break key to stop children from intentionally resetting the computer.
Modern keyboards
On many modern PCs, interrupts screen output by BIOS until another key is pressed. This is effective during boot in text mode and in a DOS box in Windows safe mode with 50 lines. On early keyboards without a key (before the introduction of 101/102-key keyboards) the Pause function was assigned to , and the Break function to ; these key-combinations still work with most programs, even on modern PCs with modern keyboards. Pressing the dedicated key on 101/102-key keyboards sends the same scancodes as pressing , then , then releasing them in the reverse order would do; additionally, an E1hex prefix is sent, which enables 101/102-key-aware software to discern the two situations, while older software usually just ignores the prefix. The key is different from all other keys in that it sends no scancodes at all on release in PS/2 modes 1 or 2, so it is impossible to determine whether this key is being held down with older devices. In PS/2 mode 3 or USB HID mode, there is a release scancode, so it is possible to determine whether this key is being held down on modern computers.
On modern keyboards, the key is usually labeled Pause with Break below, sometimes separated by a line: , or Pause on the top of the keycap and Break on the front, or only Pause without Break at all. In most Windows environments, the key combination brings up the system properties.
Keyboards without Break key
Compact and notebook keyboards often do not have a dedicated key.
Substitutes for :
or or on certain Lenovo laptops.
or on certain Dell laptops.
on some other Dell laptops.
on Samsung.
on certain HP laptops.
on certain HP laptops.
on certain Logitech (LOGI) keyboards.
Substitutes for :
or or on certain Lenovo laptops.
on certain Dell laptops.
on certain HP laptops.
on certain HP laptops.
For some Dell laptops, without a key, press the and select "Interrupt".
Usage for breaking the program's execution
While both and combination are commonly implemented as a way of breaking the execution of a console application, they are also used for similar effect in integrated development environments. Although these two are often considered interchangeable, compilers and execution environments usually assign different signals to these. Additionally, in some kernels (e.g. miscellaneous DOS variants) is detected only at the time OS tries reading from a keyboard buffer and only if it's the only key sequence in the buffer, while is often translated instantly (e.g. by INT 1Bh under DOS). Because of this, is usually a more effective choice under these operating systems; sensitivity for these two combinations can be enhanced by the BREAK=ON CONFIG.SYS statement.
See also
System request
Scroll lock
Num lock
References
External links
Computer keys
Out-of-band management | 7 |
BT Group plc (trading as BT and formerly British Telecom) is a British multinational telecommunications holding company headquartered in London, England. It has operations in around 180 countries and is the largest provider of fixed-line, broadband and mobile services in the UK, and also provides subscription television and IT services.
BT's origins date back to the founding in 1846 of the Electric Telegraph Company, the world's first public telegraph company, which developed a nationwide communications network. BT Group as it came to be started in 1912, when the General Post Office, a government department, took over the system of the National Telephone Company becoming the monopoly telecoms supplier in the United Kingdom. The Post Office Act of 1969 led to the GPO becoming a public corporation, Post Office Telecommunications. The British Telecom brand was introduced in 1980, and became independent of the Post Office in 1981, officially trading under the name. British Telecom was privatised in 1984, becoming British Telecommunications plc, with some 50 percent of its shares sold to investors. The Government sold its remaining stake in further share sales in 1991 and 1993. BT holds a royal warrant and has a primary listing on the London Stock Exchange, and is a constituent of the FTSE 100 Index.
BT controls a number of large subsidiaries. Its BT Enterprise division supplies telecoms services to corporate and government customers worldwide, and its BT Consumer division supplies telephony, broadband, and subscription television services in the United Kingdom to around 18 million customers.
History
Electrical telegraphy
A number of privately owned electrical telegraph companies operated in the United Kingdom of Great Britain and Ireland from 1846 onwards. Among them were:
Electric Telegraph Company, the world's first public telegraph company, which developed a nationwide communications network
British and Irish Magnetic Telegraph Company
British Telegraph Company
London District Telegraph Company
United Kingdom Telegraph Company
General Post Office
The Telegraph Act 1868 passed the control of all these to the Postal Telegraphs Department of the newly formed General Post Office (GPO). The Telegraph Act 1869 granted the GPO a monopoly over communications.
With the invention of the telephone by Alexander Graham Bell in 1876 the GPO began to provide telephone services from some of its telegraph exchanges. It was confirmed in 1880 that the 1869 Act included telephony even though the telephone had not been invented when the Act was first conceived. In 1882, the Postmaster-General, Henry Fawcett started to issue licences to operate a telephone service to private businesses and the telephone system grew under the GPO in some areas and private ownership in others. The GPO's main competitor, the National Telephone Company (NTC), emerged in this market by absorbing other private telephone companies. It controlled most of telephony in Britain before the 1880 ruling on the Telegraph Act 1869 mandated a nationalised service – which was instated in 1911 prior to the absorption of the NTC into the GPO in 1912.
The trunk network was unified under GPO control in 1896 and the local distribution network in 1912. A few municipally owned services remained outside of GPO control. These were Kingston upon Hull, Portsmouth and Guernsey. Hull still retains an independent operator, Kingston Communications, though it is no longer municipally controlled.
Post Office engineers in the inter-war period had considerable expertise in both telecommunications and hearing assistive devices.
Post Office Telecommunications
In 1969 the GPO, a government department, became the Post Office, a nationalised industry separate from government. Post Office Telecommunications was set up as a division of the Post Office, in October 1969. The Post Office Act 1969 was passed to provide for greater efficiency in post and telephone services; rather than run a range of services, each organisation would be able to focus on their respective service, with dedicated management. By law, the Post Office retained the exclusive right to operate the UK national telecom network, (although since 1914 had licensed Hull City Council to operate its own local telephone network, Kingston Communications).
The 1970s was a period of great expansion for the Post Office. Most exchanges were modernised and expanded, and many services, such as STD and international dialling were extended. By the early 1970s, subscribers in most cities could dial direct to Western Europe, the US, and Canada; by the end of the decade, most of the world could be dialled direct. The System X digital switching platform was developed, and the first digital exchanges began to be installed. The Post Office also procured their own fleet of vans, based on the Commer FC model.
Post Office Telecommunications researched and implemented data communications using packet switching in the 1970s, resulting in the EPSS, International Packet Switched Service, and Packet Switch Stream.
British Telecom
In 1979 the Conservatives decided that telecommunications should be fully separated from the Post Office. The British Telecom brand was introduced in 1980. On 1 October 1981, this became the official name of Post Office Telecommunications, which became a state-owned corporation independent of the Post Office under the provisions of the British Telecommunications Act 1981. In 1982 BT's monopoly on telecommunications was broken with the granting of a licence to Mercury Communications.
Privatisation
On 19 July 1982, the Government announced its intention to sell shares in British Telecom to the public. On 1 April 1984, British Telecommunications was incorporated as a public limited company (plc) in anticipation of the passing of the Telecommunications Bill. This Bill received Royal Assent on 12 April, and the transfer to British Telecommunications plc from British Telecom as a statutory corporation of its business, its property, its rights and liabilities took place on 6 August 1984.
Initially all shares in the new plc were owned by the Government. In November 1984, 50.2% of the new company was offered for sale to the public and employees. Shares were listed in London, New York, and Toronto and the first day of trading on was 3 December 1984. The Government sold half its remaining interest in December 1991 and the other half in July 1993. In July 1997, the new Labour Government relinquished its Special Share ("Golden Share"), retained at the time of the flotation, which had effectively given it the power to block a takeover of the company, and to appoint two non-executive directors to the Board.
The company changed its trading name to "BT" on 2 April 1991. In 1996 Peter Bonfield was appointed CEO and chairman of the executive committee, promising a "rollercoaster ride".
In the 1990s, BT entered the Irish telecommunications market through a joint venture with the Electricity Supply Board, the Irish state owned power provider. This venture, entitled Ocean, found its main success through the launch of Ireland's first subscription-free dial-up ISP, oceanfree.net. As a telecoms company it found much less success, mainly targeting corporate customers. BT acquired 100% of this venture in 1999.
Attempted global alliances
MCI
In June 1994 BT and MCI Communications launched Concert Communications Services which was a $1 billion joint venture between the two companies. Its aim was to build a network which would provide easy global connectivity to multinational corporations.
This alliance progressed further on 3 November 1996 when the two companies announced that they had agreed to a merger, creating a global telecommunications company called Concert plc. The proposal gained approval from the European Commission, the US Department of Justice, and the US Federal Communications Commission and looked set to proceed.
However, in light of pressure from investors reacting to the slide in BT's share price on the London Stock Exchange, BT reduced its bid price for MCI, releasing MCI from its exclusivity clause and allowing it to speak to other interested parties. On 1 October 1997, Worldcom made a rival bid for MCI which was followed by a counter-bid from GTE.
BT sold its stake in MCI to Worldcom in 1998 for £4,159 million. As part of the deal, BT also bought out from MCI its 24.9% interest in Concert Communications, thereby making Concert a wholly owned part of BT.
The reaction to the failure of the deal in the City of London was critical of then Chairman Iain Vallance and CEO Peter Bonfield, and the lack of confidence from the failed merger led to their removal.
AT&T
As BT now owned Concert, and still wanted access to the North American market, it needed a new partner. An AT&T/BT option had been mooted in the past, but stopped on regulatory grounds due to their individual virtual monopolies in their home markets. By 1996, this had receded to the point where a deal was possible and a deal was consummated in 1998.
At its height, the Concert managed network was extensive. Although Concert continued signing customers, its rate of revenue growth slowed, so that in 1999 David Dorman was made CEO with a brief to revive it.
In late 2000 the BT and AT&T boards fell-out – partly due to each partner's excess debt, and the resulting board room clear-outs – partly due to Concert's extensive annual losses. AT&T recognized that Concert was a threat to its ambitions if left intact, and so negotiated a deal where Concert was split in two in 2001: North America and Eastern Asia went to AT&T, the rest of the world and $400M to BT. BT's remaining Concert assets were merged into its BT Ignite, later BT Global Services group.
BT Ireland
In 2000, BT acquired Esat Telecom Group plc, and all its subsidiary companies, and Ireland On Line. It also purchased Telenor's minority shareholding in Esat Digifone. The Esat Telecom Group was split in two with the landline and internet operations were combining with Ocean to become part of BT Ignite. Esat Group was renamed Esat BT in July 2002, and eventually BT Ireland in April 2005. Esat Digifone became part of BT Wireless, before being spun off into a separate independent company mmo2 plc (now Telefónica Europe). EsatBT installed the first DSL lines in Ireland, to try and compete heavily with former state telecoms company Eircom and operate one exchange, in Limerick.
2001 debt crisis
By 2001, BT had a debt of £30 billion, much of which was acquired during the bidding round for the 3rd generation mobile telephony (commonly known as 3G) licences. It had also failed in its series of proposed global mergers, and the funds flowing from its then virtual monopoly of the UK market place had been largely removed. It was also headed by two executives who had little support from the London Stock Exchange, particularly in light of a 60% drop in share price in sixteen months.
Philip Hampton joined as CFO, and in April 2001 Sir Iain Vallance was replaced as chairman by recognised turn around expert Sir Christopher Bland.
Europe's largest rights issue
In May 2001 BT carried out corporate Europe's largest ever rights issue, allowing it to raise £5.9 billion. A few days before, it sold stakes in Japan Telecom, in mobile operator J-Phone Communications, and in Airtel of India to Vodafone.
Sale of Yell Group and demerger of O2
In June 2001 BT's directory business was sold as Yell Group to a combination of private equity firms Apax Partners and Hicks, Muse, Tate & Furst for £2.1 billion.
A demerger followed in November 2001, when the former mobile telecommunications business of BT, BT Cellnet, was hived off as a separate business named "mmO2". This included BT owned or operated networks in other countries, including BT Cellnet (UK), Esat Digifone (Ireland), and Viag Interkom (Germany). All networks now owned or operated by mmO2 (except Manx Telecom) were renamed as O2. The de-merger was accomplished via a share-swap, all British Telecommunications plc shareholders received one mmO2 plc and one BT Group plc (of which British Telecommunications is now a wholly owned subsidiary) share for each share they owned. British Telecommunications plc was de-listed on 16 November, and the two new companies started trading on 19 November.
Aftermath
At the end of the series of sales, in October 2001 Sir Peter Bonfield resigned, and was replaced by former Lucent CEO Ben Verwaayen.
During Bonfield's tenure the share price went from £4 to £15, and back again to £5. Bonfield's salary to 31 March 2001 was a basic of £780,000 (increasing to £820,000) plus a £481,000 bonus and £50,000 of other benefits including pension. He also received a deferred bonus, payable in shares three years' later, of £481,000, and additional bonuses of £3.3 million.
mmO2 plc was replaced by O2 plc in a further share-swap in 2005, and subsequently bought in an agreed takeover by Telefónica for £18 billion and delisted. In 2004, BT launched Consult 21, a consultation organisation that was to aid BT 21CN in the eventual conversion to digital telephony.
In 2004, BT was awarded the contract to deliver and manage N3, a secure and fast broadband network for the NHS National Programme for IT (NPfIT) program, on behalf of the English National Health Service (NHS).
In 2005 BT made a number of acquisitions. In February 2005, BT acquired Infonet (now re-branded BT Infonet), a large telecoms company based in El Segundo, California, giving BT access to new geographies. It also acquired the Italian company Albacom. Then in April 2005, it bought Radianz from Reuters (now rebranded as BT Radianz), which expanded BT's coverage and provided BT with more buying power in certain countries.
In August 2006, BT acquired online electrical retailer Dabs.com for £30.6 million. The BT Home Hub manufactured by Inventel was also launched in June 2006.
In October 2006, BT confirmed that it would be investing 75% of its total capital spending, put at £10 billion over five years, in its new Internet Protocol (IP) based 21st century network (21CN). Annual savings of £1 billion per annum were expected when the transition to the new network was to have been completed in 2010, with over 50% of its customers to have been transferred by 2008. That month the first customers on to 21CN was successfully tested at Adastral Park in Suffolk.
2007 to 2012
In January 2007, BT acquired Sheffield-based ISP, PlusNet plc, adding 200,000 customers. BT stated that PlusNet will continue to operate separately out of its Sheffield head-office. On 1 February 2007, BT announced agreed terms to acquire International Network Services Inc. (INS), an international provider of IT consultancy and software.
In February 2007, Sir Michael Rake succeeded Sir Christopher Bland. In April that year, they acquired COMSAT International, followed in October by the acquisition of Lynx Technology.
BT acquired Wire One Communications in June 2008 and folded the company into "BT Conferencing", its existing conferencing unit, as a new video business unit
In July 2008, BT acquired the online business directory firm Ufindus for £20 million in order to expand its position in the local information market in GB. On 28 July 2008, BT acquired Ribbit, of Mountain View, California, "Silicon Valley's First Phone Company". Ribbit provides Adobe Flash/Flex APIs, allowing web developers to incorporate telephony features into their software as a service (SaaS) applications.
In the early days of its fibre broadband rollout, BT said it would deliver fibre-to-the-premises (FTTP) to around 25% of the Country, with the rest catered for by the slower fibre-to-the-cabinet (FTTC), which uses copper wiring to deliver the final stretch of the connection. In 2014, with less than 0.7% of the company's fibre network being FTTP, BT dropped the 25% target, saying that it was "far less relevant today" because of improvements made to the headline speed of FTTC, which had doubled to 80Mbit/s since its fibre broadband rollout was first announced. To supplement FTTC, BT offered an 'FTTP on Demand' product. In January 2015, BT stopped taking orders for the on-demand product.
On 1 April 2009, BT Engage IT was created from the merger of two previous BT acquisitions, Lynx Technology and Basilica. Apart from the name change not much else changed in operations for another 12 months. On 14 May 2009, BT said it was cutting up to 15,000 jobs in the coming year after it announced its results for the year to 31 March 2009. Then in July 2009, BT offered workers a long holiday for an up front sum of 25% of their annual wage or a one-off payment of £1000 if they agree to go part-time.
On 6 April 2011, BT launched the first online not-for-profit fundraising service for UK charities called BT MyDonate as part of its investment to the community. The service will pass on 100% of all donations made through the site to the charity, and unlike other services which take a proportion as commission and charge charities for using their services, BT will only pass on credit/debit card charges for each donation. The service allows people to register to give money to charity or collect fundraising donations. BT developed MyDonate with the support of Cancer Research UK, Changing Faces, KidsOut, NSPCC and Women's Aid.
2013 to present
In March 2013, BT was allocated 4G spectrum in the UK following an auction and assignment by Ofcom, after paying £201.5m.
On 1 August 2013, BT launched its first television channels, BT Sport, to compete with rival broadcaster Sky Sports. Plans for the channels' launch came about when it was announced in June 2012 that BT had been awarded a package of broadcast rights for the Premier League from the 2013–14 to 2015–16 season, broadcasting 38 matches from each season. In February 2013, BT acquired ESPN Inc.'s UK and Ireland TV channels, continuing its expansion into sports broadcasting. ESPN America and ESPN Classic were both closed, while ESPN continued to be operated by BT. On 9 November 2013, BT announced it had acquired exclusive rights to the Champions League and Europa League for £897m, from the 2015 season, with some free games remaining including both finals.
On 1 November 2014, BT created a new central business services (CBS) organisation to provide customer services and improve operational efficiency levels.
On 24 November 2014, shares in BT rose considerably on the announcement that the company was in talks to buy back O2, while at the same time confirmed it was also in talks to acquire EE. BT subsequently entered into exclusive talks to buy EE for £12.5 billion on 15 December 2014 and confirmed on 5 February 2015, subject to regulatory approval. The deal will combine BT's 10 million retail customers and EE's 24.5 million direct mobile subscribers. Deutsche Telekom will own 12% of BT, while Orange S.A. will own 4%.
In March 2015, launched a 4G service as BT Mobile BT Group CEO Gavin Patterson announced that BT plans to migrate all of its customers onto the IP network by 2025, switching off the company's ISDN network.
On 15 January 2016, BT received final unconditional approval by the Competition and Markets Authority to acquire EE. The deal was officially completed on 29 January 2016 with Deutsche Telekom now owning 12% of BT, while Orange S.A. own 4%.
On 1 February 2016, BT announced a new organisational structure that will take effect from April 2016 following the successful acquisition of EE. The EE brand, network and high street stores will be retained and will become a second consumer division, operating alongside BT Consumer. It will serve customers with mobile services, broadband and TV and will continue to deliver the Emergency Services Network contract which was awarded to EE in late 2015. There will be a new BT Business and Public Sector division that will have around £5bn of revenues and will serve small and large businesses as well as the public sector in the UK and Ireland. It will comprise the existing BT Business division along with EE's business division and those parts of BT Global Services that are UK focused. There will also be another new division; BT Wholesale and Ventures that will comprise the existing BT Wholesale division along with EE's MVNO business as well as some specialist businesses such as Fleet, Payphones and Directories. Gerry McQuade, currently Chief Sales and Marketing Officer, Business at EE, will be its CEO.
On 8 June 2017, BT appointed KPMG as its new auditor to replace PwC in the wake of the fraud scandal in Italy that triggered a major profit warning earlier that year. Also in of that year, KPMG fired six US employees over a scandal that calls into question efforts to ensure that public company accounts are being properly scrutinised.
On 8 July 2017, The Daily Telegraph reported that BT "has called in consultants from McKinsey to conduct a review of its businesses in the hope of saving hundreds of millions of pounds per year. The work, dubbed 'Project Novator', is understood to include a potential merger of BT's struggling global services corporate networking and IT unit with its business and public sector division".
On 28 July 2017, BT announced organisational changes to "simplify its operating model, strengthen accountabilities and accelerate its transformation" and involves bringing together its BT Consumer and EE divisions into a new unified BT Consumer division that will operate across three brands – BT, EE and Plusnet. It will take effect from 1 April 2018.
On 18 April 2018, BT announced further organisational changes following unification of its BT Consumer and EE divisions, and involves bringing together its BT Business and Public Sector and BT Wholesale and Ventures divisions into a new unified division known as BT Enterprise. It will also include BT's Ventures business which "acts as an incubator for potential new growth areas of the company" and will report as a single unit from 1 October 2018.
In June 2021, the French telecommunications company, Altice acquired a 12% stake in BT, increasing that stake to 18% in December 2021. Drahi's Altice increased its holding to 24.5% in May 2023. Drahi's purchase of 650 million shares cost about £960 million, at BT's share price of 147.85 pence at the close of trading on 22 May 2023.
Altice's increasing ownership in BT Group posed questions around the national security international ownership of the United Kingdoms infrastructure asset presented. The UK government opened an investigation in May 2022 to look into possible security implications of Patrick Drahi and Alrice's ownership. In August 2022 the Government concluded its investigation and Patrick Drahi would not be forced to cut his stake in BT after the UK government ruled the investment did not pose any national security concerns.
In July 2023, BT announced the appointment of Allison Kirkby as its new Chief Executive, replacing Philip Jansen by January 2024.
Operations
BT Group is a holding company; the majority of its businesses and assets are held by its wholly owned subsidiary British Telecommunications plc. BT's businesses are operated under special government regulation by the British telecoms regulator Ofcom (formerly Oftel). BT has been found to have significant market power in some markets following market reviews by Ofcom. In these markets, BT is required to comply with additional obligations such as meeting reasonable requests to supply services and not to discriminate.
BT runs the telephone exchanges, trunk network and local loop connections for the vast majority of British fixed-line telephones. Currently BT is responsible for approximately 28 million telephone lines in GB. Apart from KCOM Group, which serves Kingston upon Hull, BT is the only UK telecoms operator to have a Universal service Obligation, (USO) which means it must provide a fixed telephone line to any address in the UK. It is also obliged to provide public call boxes.
As well as continuing to provide service in those traditional areas in which BT has an obligation to provide services or is closely regulated, BT has expanded into more profitable products and services where there is less regulation. These are principally, broadband internet service and bespoke solutions in telecommunications and information technology.
Branding
In 2019, a simplified BT logo and brand was launched to replace the previous mutli-coloured globe logo. In April 2022, BT announced its intentions to focus on the EE brand for consumer products.
Corporate affairs
Buildings and facilities
As BT operates in around 180 countries, it owns and leases a range of buildings and facilities in the UK and around the world. In 2001, it sold some of its UK property portfolio for £2.38 billion to Telereal Trillium in a 30-year leaseback. The deal included 6,700 properties and contributed towards alleviating its debt at the time, with the main advantage being flexibility as it allows BT to vacate property over time, so as to adapt to changing operational requirements.
Headquarters
Until December 2021, BT Group's world headquarters and registered office was the BT Centre, a 10-storey office building at 81 Newgate Street in the City of London, opposite St Paul's tube station. In November 2021 BT relocated to new headquarters at One Braham, a brand new 18-storey building completed earlier in 2021.
Buildings and stations
Some of its UK buildings and stations are:
Adastral Park – headquarters of BT Labs in Suffolk
The Assembly – building in Bristol
Baynard House – building in City of London
BT Riverside Tower – headquarters of BT Northern Ireland in Belfast
BT Tower – building in Swansea
Goonhilly Satellite Earth Station – satellite earth station in Cornwall
Guardian telephone exchange – telephone exchange in Manchester
Madley Communications Centre – satellite earth station in Herefordshire
National Network Management Centre – network operations centre in Shropshire
Stadium House – building in Cardiff
Telecommunications towers
BT remains one of the largest owners of telecommunications towers in the UK and were a major node in its microwave network. Its BT Tower in London is notable for numerous reasons such as being the tallest building in the UK from its construction in the 1960s until the early 1980s, its revolving restaurant at the top known as 'Top of the Tower' in operation through the late 1960s and 1970s, and remains one of the UK's most important communications nerve centres, the heart of a vast broadcasting and communications network. It carries approximately 95% of the UK's TV content, including live broadcasts and 99% of all live football games as well as pioneering the first international HD, 3D and 4K television transmissions. It serves media production and distribution customers around the world and as part of the Things Connected Network launched in London, it became the highest building in the world to host an Internet of things (IoT) base station in September 2016. Some of its towers are:
Other
Some of its other UK facilities are:
Divisions
BT Group is organised into the following divisions:
Customer facing
BT Consumer – provides retail telecoms services to consumers in the UK including:
BT Broadband
BT Mobile
BT Superfast Fibre
BT TV
BT Wi-fi
EE – mobile network operator, provides mobile and fixed communications services to consumers in the UK
Plusnet – internet service provider, provides mobile and fixed communications services to consumers in the UK
TNT Sports (joint venture, operated by Warner Bros. Discovery)
BT Business – products and services to organisations in the small-to-medium-sized business, corporate and public sectors in the UK and globally, and wholesale services. Formed from the merger of BT Enterprise and BT Global Services.
Openreach – fenced-off wholesale division, established in 2005 following a review by Ofcom and commenced operations in 2006, employing 25,000 engineers previously employed by BT. Its purpose is to ensure that other communications providers have the same operational conditions as BT, and is responsible for the provision and repair in the "last mile" of copper wire.
Internal services
Networks – Responsible for designing, building and running the networks and technology platforms that BT and its customers use.
BT Research
Digital – Responsible for leading BT's digital transformation, driving experience innovation and delivering the products and services customers use.
BT's procurement arm, "BT Sourced", was established in February 2021 and is based in Dublin.
Corporate governance
BT's board of directors as of November 2021:
BT's executive committee as of March 2018:
Pension fund
BT has the second largest defined benefit pension plan of any UK public company. The trustees valued the scheme at £36.7 billion at the end of 2010; an actuarial valuation valued the deficit of the scheme at £9.043 billion as of 31 December 2008.
Following a change in the regulations governing inflation index linking, the deficit was estimated at £5.2 billion in November 2010.
Sponsorships
BT sponsored Scotland's domestic rugby union championship and cup competitions between 1999 and 2006.
On 31 July 2012, it was announced that BT agreed a three-year sponsorship deal with Ulster Rugby and sees BT become the Official Communications Partner. BT's logo will appear on the Ulster Rugby shirt sleeve for all friendlies, Heineken Cup and RaboDirect Pro12 matches as well as a significant brand presence at their home ground; Ravenhill Stadium.
On 29 July 2013, it was announced that BT had partnered up with Scottish Rugby Union in a four-year sponsorship deal with its two professional clubs; Edinburgh Rugby and Glasgow Warriors that will commence from August 2013. The deal involves BT Sport becoming the new shirt sponsor for both clubs as well as being promoted with BT Group at their respective home grounds; Scotstoun Stadium and Murrayfield Stadium.
On 13 May 2014, BT joined Sky, TalkTalk and Virgin Media as founding partners of Internet Matters, a not-for-profit organisation that provides online safety advice for parents and their children.
On 28 May 2014, it was announced that BT agreed a £20 million four-year sponsorship deal with Scottish Rugby Union which includes BT securing the naming rights for Murrayfield Stadium which becomes BT Murrayfield Stadium, become sponsor of the Scotland sevens team, become principal and exclusive sponsor of Scotland's domestic league and cup competitions from next season, taking over the role from The Royal Bank of Scotland and become sponsor of Scottish Rugby's four new academies that aims to drive forward standards for young players who have aspirations to play professionally.
On 14 April 2015, it was announced that as part of BT's current £20 million four-year sponsorship deal with Scottish Rugby Union that was announced in May 2014, BT has completed its sponsorship portfolio following an additional investment of £3.6 million for the 3 years remaining of its sponsorship deal, to become the new shirt sponsor for the Scotland national teams.
On 27 January 2016, it was announced that BT, alongside YouTube will be the new joint headline sponsors in a three-year deal with Edinburgh International Television Festival. The two companies will "share prominence across all branding of the 41st TV Festival, including the famous MacTaggart Lecture and will work closely with the festival organisers in their bid to reflect new trends in a rapidly transforming industry, from new ways of distributing content to technical innovations such as virtual reality".
BT is the founding and principal partner of the Wayne Rooney Foundation, which was established to improve the lives of children and young people. The Foundation will run events "to raise vital funds to support the work of key organisations dedicated to supporting disadvantaged and vulnerable children and young people". These organisations are four chosen charities which are, Manchester United Foundation, NSPCC, Claire House Children's Hospice and Alder Hey Children's Hospital. The first of these events was Wayne's testimonial match in August 2016 between Manchester United F.C. and Everton F.C. which raised £1.2 million. The match was screened live through BT Sport with BT MyDonate being the official fundraising platform for the testimonial, with both online and text options for donations promoted during the match.
On 26 May 2017, it was announced that BT is to sponsor the 2017 British Urban Film Festival (BUFF) and sees BT host every event of the film festival, including the Awards at the BT Tower. BT will also broadcast the awards ceremony on BT.com and will have the opportunity to screen films acquired from the festival on its BT TV store platform.
On 6 September 2017, it was announced that BT had extended its current £20 million four-year sponsorship deal with Scottish Rugby Union that was announced in May 2014, for a further three years beginning from June 2018. The new deal sees BT retain the naming rights to BT Murrayfield Stadium, alongside its role as principal partner of the Scotland national team and Scotland 7s. BT's logo will continue to be displayed on the front of Scotland rugby shirts across the world, in the Six Nations Championship, as well as the summer and autumn test matches. BT will also continue to be promoted at Edinburgh Rugby and Scotstoun Stadium in Glasgow.
Historical financial performance
BT's financial results have been as follows:
2008–present
1992–2007
Controversies
World Wide Web hyperlink patent
In 2001, BT discovered it owned a patent () which it believed gave it patent rights on the use of hyperlink technology on the World Wide Web. The corresponding UK patent had already expired, but the US patent was valid until 2006. On 11 February 2002, BT began a court case relating to its claims in a US federal court against the internet service provider Prodigy Communications Corporation. In the case British Telecommunications plc v. Prodigy, the United States District Court for the Southern District of New York ruled on 22 August 2002 that the BT patent was not applicable to web technology and granted Prodigy's request for summary judgment of non-infringement.
Behavioural targeting
In early 2008 it was announced that BT had entered into a contract (along with Virgin Media and TalkTalk) with the spyware company Phorm (responsible under their 121Media guise for the Apropos rootkit) to intercept and analyse their users' click-stream data and sell the anonymised aggregate information as part of Phorm's OIX advertising service. The practice, known as "behavioural targeting" and condemned by critics as "data pimping", came under intense fire from various internet communities and other interested-parties who believe that the interception of data without the consent of users and web site owners is illegal under UK law (RIPA). At a more fundamental level, many have argued that the ISPs and Phorm have no right to sell a commodity (a user's data, and the copyrighted content of web sites) to which they have no claim of ownership. In response to questions about Phorm and the interception of data by the Webwise system Sir Tim Berners-Lee, the creator of the World Wide Web, indicated his disapproval of the concept and is quoted as saying of his data and web history:
Huawei infrastructure access
Beginning in 2010 the UK intelligence community investigated Huawei, the Chinese supplier of BT's new fibre infrastructure with increasing urgency after the United States, Canada and Australia prevented the company from operating in their countries. Although BT had notified the UK government in 2003 of Huawei's interest in their £10bn network upgrade contract, they did not raise the security implications as BT failed to explain that the Chinese company would have unfettered access to critical infrastructure. On 16 December 2012 the then prime minister David Cameron was supplied with an in-depth report indicating that the intelligence services had very grave doubts regarding Huawei, and that UK governmental, military, and civilian privacy may have been under serious threat.
On 7 June 2013, British lawmakers concluded that BT should not have allowed Huawei access to the UK's communications network without ministerial oversight, saying they were 'deeply shocked' that BT did not inform government that they were allowing Huawei and ZTE, both with ties to the Chinese military, unfettered access to critical national systems. Furthermore, ministers discovered that the agency with the responsibility to ensure Chinese equipment and code was threat-free was entirely staffed by Huawei employees. Subsequently, parliamentarians confirmed that in case of an attack on the UK there was nothing that could be done to stop Chinese infiltration.
By 2016 Huawei had put measures in place to ensure the integrity of UK national security. Specifically their UK work is now overseen by a board that includes directors from GCHQ, the Cabinet Office and the Home Office.
ZTE, another Chinese company that supplies extensive network equipment and subscriber hardware used with BT 'Infinity', was also under scrutiny by parliament's intelligence and security committee after the US, Canada, Australia and the European Union declared the company a security risk.
In 2020 following a government ruling, BT began removing Huawei equipment from its broadband and mobile networks in order to comply with new restrictions on the usage of Huawei equipment. As of 2023, the process is still ongoing.
Alleged complicity with drone strikes in Yemen and Somalia
In September 2012, BT entered into a $23 million deal with the US military to provide a key communications cable connecting RAF Croughton, a US military base on UK soil, with Camp Lemonnier, a large US base in Djibouti. Camp Lemonnier is used as a base for American drone attacks in Yemen and Somalia, and has been described by The Economist as "the most important base for drone operations outside the war zone of Afghanistan."
Human rights groups including Reprieve and Amnesty International have criticised the use of armed drones outside declared war zones. Evidence produced by The Bureau of Investigative Journalism and Stanford University's International Human Rights & Conflict Resolution Clinic suggest that drone strikes have caused substantial civilian casualties, and may be illegal under international law.
In 2013, BT was the subject of a complaint by Reprieve to the Department of Business, Innovation and Skills under the OECD Guidelines for Multinational Enterprises, following their refusal to explain whether or not their infrastructure was used to facilitate drone strikes. The subsequent refusal of this complaint was appealed in May 2014, on the basis that the UK National Contact Point's decision did not follow the OECD Guidelines. The issue of bias was also raised, due to the appointment of Lord Ian Livingston as government minister for the department which was processing the complaint: Livingston had occupied a senior position at BT when the cable between RAF Croughton and Camp Lemonnier was originally built.
Overcharging
In February 2017, a review of the telecoms market by Ofcom found that BT's landline only contracts provided poor value to customers. Ofcom ordered BT to reduce their prices but stopped short of demanding that customers were compensated. In January 2021, Law firm Mishcon de Reya filed a claim with the Competition Appeal Tribunal against BT worth £600 million, accusing them of historic overcharging on landlines. The class action lawsuit claims BT have increased their prices for line-only services every year since 2009, whilst the wholesale cost for delivering these services has reduced. The claimants suggest that customers could be entitled to compensation of up to £500 each.
Bidding rules violation
In 2020, BT was fined £6.3m by the telecoms regulator Ofcom for violating the law on a large public sector deal in Northern Ireland. Under Ofcom's regulations, the BT network shall handle all wholesale customers similarly. In its report, Ofcom found that BT's network violated the rules by failing to supply Eir with the same details on its on-demand fiber-to-the-premises offering as its own rival team.
Historical documents
Records of the Post Office Corporation (Telecommunications division) 19691981 and its predecessors (including Post Office Telegraph and Telephone Service 18641969 and some private telegraph and telephone companies) are Public Records, and are held by BT Archives.
See also
List of telephone operating companies
UK telephone area codes (STD codes)
References
Further reading
Baldwin, F.G.C. The History of the Telephone in the United Kingdom (1925)
Foreman-Peck, J. "The development and diffusion of telephone technology in Britain, 1900–1940," Transactions of the Newcomen Society, (1991–92). 63, pp165–180.
Foreman-Peck, J., & Millward, R. Public and private ownership of British industry 1820–1990 (1994).
Hazlewood, A. "The origins of the state telephone service in Britain" Oxford Economic Papers (1953). 5:13–25. in JSTOR
Johannessen, Neil. Ring up Britain: the Early Years of the Telephone in the United Kingdom (British Telecommunications plc, London, 1991)
Johnston, S. F. "The telephone in Scotland." in: K. Veitch, ed., Transport and Communications. Publications of the European Ethnological Research Centre; Scottish life and society: a compendium of Scottish ethnology (2009): pp. 716–727 online
Magill, Frank N. Great Events from History II: Business and Commerce Series, volume 1:1897–1923 (1994) pp 218–23; historiography
Meyer, Hugo Richard. Public Ownership and the Telephone in Great Britain: Restriction of the Industry by the State and the Municipalities (1907). online
Pitt, D.C. The telecommunications function in the British Post Office. A case study of bureaucratic adaption (Westmead: Saxon House, 1980).
Robertson, John Henry. The story of the telephone: A history of the telecommunications industry of Britain (1947)
External links
BT Archives
BT Archives online catalogue
BT Login Links
1846 establishments in the United Kingdom
1912 establishments in the United Kingdom
1969 establishments in the United Kingdom
1981 establishments in the United Kingdom
British royal warrant holders
Companies based in the City of London
Telecommunications companies established in 1846
Telecommunications companies established in 1912
Telecommunications companies established in 1969
Telecommunications companies established in 1981
British companies established in 1846
British companies established in 1912
British companies established in 1969
British companies established in 1981
Companies listed on the London Stock Exchange
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Multinational companies based in the City of London
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History of telecommunications in the United Kingdom | 17 |
Breton ( , ; or in Morbihan) is a Southwestern Brittonic language of the Celtic language group spoken in Brittany, part of modern-day France. It is the only Celtic language still widely in use on the European mainland, albeit as a member of the insular branch instead of the continental grouping.
Breton was brought from Great Britain to Armorica (the ancient name for the coastal region that includes the Brittany peninsula) by migrating Britons during the Early Middle Ages, making it an Insular Celtic language. Breton is most closely related to Cornish, another Southwestern Brittonic language. Welsh and the extinct Cumbric, both Western Brittonic languages, are more distantly related, and the Goidelic languages (Irish, Manx, Scottish Gaelic) have a slight connection due to both of their origins being from Insular Celtic.
Having declined from more than one million speakers around 1950 to about 200,000 in the first decade of the 21st century, Breton is classified as "severely endangered" by the UNESCO Atlas of the World's Languages in Danger. However, the number of children attending bilingual classes rose 33% between 2006 and 2012 to 14,709.
History and status
Breton is spoken in Lower Brittany (), roughly to the west of a line linking Plouha (west of Saint-Brieuc) and La Roche-Bernard (east of Vannes). It comes from a Brittonic language community that once extended from Great Britain to Armorica (present-day Brittany) and had even established a toehold in Galicia (in present-day Spain). Old Breton is attested from the 9th century. It was the language of the upper classes until the 12th century, after which it became the language of commoners in Lower Brittany. The nobility, followed by the bourgeoisie, adopted French. The written language of the Duchy of Brittany was Latin, switching to French in the 15th century. There exists a limited tradition of Breton literature. Some philosophical and scientific terms in Modern Breton come from Old Breton. The recognized stages of the Breton language are: Old Breton – to , Middle Breton – to , Modern Breton – to present.
The French monarchy was not concerned with the minority languages of France, spoken by the lower classes, and required the use of French for government business as part of its policy of national unity. During the French Revolution, the government introduced policies favouring French over the regional languages, which it pejoratively referred to as . The revolutionaries assumed that reactionary and monarchist forces preferred regional languages to try to keep the peasant masses under-informed. In 1794, Bertrand Barère submitted his "report on the " to the Committee of Public Safety in which he said that "federalism and superstition speak Breton".
Since the 19th century, under the Third, Fourth and now Fifth Republics, the French government has attempted to stamp out minority languages—including Breton—in state schools, in an effort to build a national culture. Teachers humiliated students for using their regional languages, and such practices prevailed until the late 1960s.
In the early 21st century, due to the political centralization of France, the influence of the media, and the increasing mobility of people, only about 200,000 people are active speakers of Breton, a dramatic decline from more than 1 million in 1950. The majority of today's speakers are more than 60 years old, and Breton is now classified as an endangered language.
At the beginning of the 20th century, half of the population of Lower Brittany knew only Breton; the other half were bilingual. By 1950, there were only 100,000 monolingual Bretons, and this rapid decline has continued, with likely no monolingual speakers left today. A statistical survey in 1997 found around 300,000 speakers in Lower Brittany, of whom about 190,000 were aged 60 or older. Few 15- to 19-year-olds spoke Breton. In 1993, parents were finally legally allowed to give their children Breton names.
Revival efforts
In 1925, Professor Roparz Hemon founded the Breton-language review . During its 19-year run, tried to raise the language to the level of a great international language. Its publication encouraged the creation of original literature in all genres, and proposed Breton translations of internationally recognized foreign works. In 1946, replaced . Other Breton-language periodicals have been published, which established a fairly large body of literature for a minority language.
In 1977, Diwan schools were founded to teach Breton by immersion. Since their establishment, Diwan schools have provided fully immersive primary school and partially immersive secondary school instruction in Breton for thousands of students across Brittany. This has directly contributed to the growing numbers of school-age speakers of Breton.
The Asterix comic series has been translated into Breton. According to the comic, the Gaulish village where Asterix lives is in the Armorica peninsula, which is now Brittany. Some other popular comics have also been translated into Breton, including The Adventures of Tintin, , Titeuf, Hägar the Horrible, Peanuts and Yakari.
Some original media are created in Breton. The sitcom, , is in Breton. Radio Kerne, broadcasting from Finistère, has exclusively Breton programming. Some movies (Lancelot du Lac, Shakespeare in Love, Marion du Faouet, Sezneg) and TV series (Columbo, Perry Mason) have also been translated and broadcast in Breton. Poets, singers, linguists, and writers who have written in Breton, including Yann-Ber Kallocʼh, Roparz Hemon, Anjela Duval, Xavier de Langlais, Pêr-Jakez Helias, Youenn Gwernig, Glenmor, Vefa de Saint-Pierre and Alan Stivell are now known internationally.
Today, Breton is the only living Celtic language that is not recognized by a national government as an official or regional language.
The first Breton dictionary, the Catholicon, was also the first French dictionary. Edited by Jehan Lagadec in 1464, it was a trilingual work containing Breton, French and Latin. Today bilingual dictionaries have been published for Breton and languages including English, Dutch, German, Spanish and Welsh. A monolingual dictionary, was published in 1995. The first edition contained about 10,000 words, and the second edition of 2001 contains 20,000 words.
In the early 21st century, the ("Public Office for the Breton language") began a campaign to encourage daily use of Breton in the region by both businesses and local communes. Efforts include installing bilingual signs and posters for regional events, as well as encouraging the use of the Spilhennig to let speakers identify each other. The office also started an Internationalization and localization policy asking Google, Firefox and SPIP to develop their interfaces in Breton. In 2004, the Breton Wikipedia started, which now counts more than 75,000 articles. In March 2007, the signed a tripartite agreement with Regional Council of Brittany and Microsoft for the consideration of the Breton language in Microsoft products. In October 2014, Facebook added Breton as one of its 121 languages after three years of talks between the and Facebook.
France has twice chosen to enter the Eurovision Song Contest with songs in Breton; once in 1996 in Oslo with "" by Dan Ar Braz and the fifty piece band Héritage des Celtes, and most recently in 2022 in Turin with "" by Alvan Morvan Rosius and vocal trio Ahez. These are two of five times France has chosen songs in one of its minority languages for the contest, the others being in 1992 (bilingual French and Antillean Creole), 1993 (bilingual French and Corsican), and 2011 (Corsican).
Geographic distribution and dialects
Breton is spoken mainly in Lower Brittany, but also in a more dispersed way in Upper Brittany (where it is spoken alongside Gallo and French), and in areas around the world that have Breton emigrants.
The four traditional dialects of Breton correspond to medieval bishoprics rather than to linguistic divisions. They are (, of the county of Léon), (, of Trégor), (, of ), and (, of Vannes). was spoken up to the beginning of the 20th century in the region of Guérande and Batz-sur-Mer. There are no clear boundaries between the dialects because they form a dialect continuum, varying only slightly from one village to the next. , however, requires a little study to be intelligible with most of the other dialects.
Official status
Nation
As noted, only French is an official language of France. Supporters of Breton and other minority languages continue to argue for their recognition, and for their place in education, public schools, and public life.
Constitution
In July 2008, the legislature amended the French Constitution, adding article 75-1: (the regional languages belong to the heritage of France).
The European Charter for Regional or Minority Languages, which obliges signatory states to recognize minority and regional languages, was signed by France in 1999 but has not been ratified. On 27 October 2015, the Senate rejected a draft constitutional law ratifying the charter.
Region
Regional and departmental authorities use Breton to a very limited extent. Some bilingual signage has also been installed, such as street name signs in Breton towns. One station of the Rennes metro system has signs in both French and Breton.
Under the French law known as Toubon, it is illegal for commercial signage to be in Breton alone. Signs must be bilingual or French only. Since commercial signage usually has limited physical space, most businesses have signs only in French.
, the Breton language agency, was set up in 1999 by the Brittany region to promote and develop the daily use of Breton. It helped to create the campaign, to encourage enterprises, organisations and communes to promote the use of Breton, for example by installing bilingual signage or translating their websites into Breton.
Education
In the late 20th century, the French government considered incorporating the independent Breton-language immersion schools (called ) into the state education system. This action was blocked by the French Constitutional Council based on the 1994 amendment to the Constitution that establishes French as the language of the republic. Therefore, no other language may be used as a language of instruction in state schools. The Toubon Law implemented the amendment, asserting that French is the language of public education.
The Diwan schools were founded in Brittany in 1977 to teach Breton by immersion. Since their establishment, Diwan schools have provided fully immersive primary school and partially immersive secondary school instruction in Breton for thousands of students across Brittany. This has directly contributed to the growing numbers of school-age speakers of Breton. The schools have also gained fame from their high level of results in school exams, including those on French language and literature. Breton-language schools do not receive funding from the national government, though the Brittany Region may fund them.
Another teaching method is a bilingual approach by ("Two Languages") in the State schools, created in 1979. ("Awakening") was created in 1990 for bilingual education in the Catholic schools.
Statistics
In 2018, 18,337 pupils (about 2.00% of all pupils in Brittany) attended , and schools, and their number has increased yearly. The goal of Jean-Yves Le Drian (president of the Regional Council) of 20,000, and of "their recognition" for "their place in education, public schools, and public life", by 2010, was not achieved, but he describes being encouraged by their progress.
In 2007, some 4,500 to 5,000 adults followed such a Breton language course as an evening or correspondence one. The transmission of Breton in 1999 is estimated to be 3 percent.
Municipalities
Other forms of education
In addition to bilingual education (including Breton-medium education) the region has introduced the Breton language in primary education, mainly in the department of Finistère. These "initiation" sessions are generally one to three hours per week, and consist of songs and games.
Schools in secondary education ( and ) offer some courses in Breton. In 2010, nearly 5,000 students in Brittany were reported to be taking this option. Additionally, the University of Rennes 2 has a Breton language department offering courses in the language along with a master's degree in Breton and Celtic Studies.
Phonology
Vowels
Vowels in Breton may be short or long. All unstressed vowels are short; stressed vowels can be short or long (vowel lengths are not noted in usual orthographies as they are implicit in the phonology of particular dialects, and not all dialects pronounce stressed vowels as long). An emergence of a schwa sound occurs as a result of vowel neutralization in post-tonic position, among different dialects.
All vowels can also be nasalized, which is noted by appending an 'n' letter after the base vowel, or by adding a combining tilde above the vowel (most commonly and easily done for a and o due to the Portuguese letters), or more commonly by non-ambiguously appending an letter after the base vowel (this depends on the orthographic variant).
Diphthongs are .
Consonants
The pronunciation of the letter varies nowadays: is used in the French-influenced standard language and, generally speaking, in the central parts of Lower Brittany (including the south of Trégor, the west of Vannetais and virtually all parts of Cornouaille) whereas is the common realisation in Léon and often in the Haut-Vannetais dialect of central Morbihan (in and around the city of Vannes and the Pays de Pontivy), though in rapid speech mostly a tapped occurs. In the other regions of Trégor or even may be found.
The voiced dental fricative () is a conservative realisation of the lenition (or the "spirant mutation" in cases where the phenomenon originates from the mutation of , respectively) of the consonants and which is to be found in certain varieties of Haut-Vannetais. Most of the Breton dialects do not inherit the sound and thus it is mostly not orthographically fixed. The Peurunvan, for instance, uses for both mutations, which are regularly and more prominently pronounced in Léonais, Cornouaillais, Trégorrois and Bas-Vannetais. In traditional literature written in the Vannetais dialect, two different graphemes are employed for representing the dental fricative, depending on the scripture's historical period. There once was a time when was used to transcribe the sound, but today mostly the regular is instead used, and this practice can be traced back to at least the end of the 17th century. The area this phenomenon has been found to be evident in encompasses the towns of Pontivy and Baud and surrounding smaller villages like Cléguérec, Noyal-Pontivy, Pluméliau, St. Allouestre, St. Barthélemy, Pluvigner and also parts of Belle-Île. The only known place where the mutation occurs outside of the Vannes country is the Île de Sein, an island located off Finistère's coast. Some scholars also used as the symbol for the sound to indicate that it was rather an "infra-dental" consonant than a clear interdental, which is the sound the symbol is usually describes. Other linguists, however, did not draw that distinction, either because they identified the sound to actually be an interdental fricative (such as Roparz Hemon in his phonetic transcription of the dialect used in Pluméliau or Joseph Loth in his material about the dialect of Sauzon in Belle-Île) or due to the fact that they attached no importance to it and ascertained that their descriptions were not in need of a further clarification of the sound's phonetic realisation as it was a clearly distinguishable phoneme.
The digraph zh represents a variable sound that may exhibit as /s/, /z/, or /h/, and descends from a now-extinct sound , which is still extant in Welsh as th.
Grammar
Nouns
Breton nouns are marked for gender and number. While Breton gender is fairly typical of gender systems across western Europe (with the exception of Basque and modern English), Breton number markers demonstrate rarer behaviors.
Gender
Breton has two genders: masculine () and feminine (), having largely lost its historic neuter () as has also occurred in the other Celtic languages as well as across the Romance languages. Certain suffixes (-ach/-aj, -(a)dur, -er, -lecʼh, -our, -ti, -va) are masculine, while others (-enti, -er, -ez, -ezh, -ezon, -i, -eg, -ell, and the singulative -enn) are feminine. The suffix -eg can be masculine or feminine.
There are certain non-determinant factors that influence gender assignment. Biological sex is applied for animate referents. Metals, time divisions (except for "hour", "night" and "week") and mountains tend to be masculine, while rivers, cities and countries tend to be feminine.
However, gender assignment to certain words often varies between dialects.
Number
Number in Breton is primarily based on an opposition between singular and plural. However, the system is full of complexities in how this distinction is realized.
Although modern Breton has lost its ancestral dual number marker, relics of its use are preserved in various nouns pertaining to body parts, including the words for eyes, ears, cheeks, legs, armpits, arms, hands, knees, thighs, and wings. This is seen in a prefix (formed in , or ) that is etymologically derived from the prefixation of the number two. The dual is no longer productive, and has merely been lexicalized in these cases rather than remaining a part of Breton grammar. The (etymologically) already dual words for eyes () and ears () can be pluralized "again" to form and .
Like other Brythonic languages, Breton has a singulative suffix that is used to form singulars out of collective nouns, for which the morphologically less complex form is the plural. Thus, the singulative of the collective "mice" is "mouse". However, Breton goes beyond Welsh in the complications of this system. Collectives can be pluralized to make forms which are different in meaning from the normal collective-- "fish" (singular) is pluralized to , singulativized to , referring to a single fish out of a school of fish, and this singulative of the plural can then be pluralized again to make "fishes".
On top of this, the formation of plurals is complicated by two different pluralizing functions. The "default" plural formation is contrasted with another formation which is said to "emphasize variety or diversity" – thus two semantically different plurals can be formed out of : "parks" and "various different parks". Ball reports that the latter pluralizer is used only for inanimate nouns. Certain formations have been lexicalized to have meanings other than that which might be predicted solely from the morphology: "water" pluralized forms which means not "waters" but instead "rivers", while now has come to mean "running waters after a storm". Certain forms have lost the singular from their paradigm: means "news" and is not used, while has become the regular plural, ‘different news items’.
Meanwhile, certain nouns can form doubly marked plurals with lexicalized meanings – "child" is pluralized once into "children" and then pluralized a second time to make "groups of children".
The diminutive suffix also has the somewhat unusual property of triggering double marking of the plural: means "little child", but the doubly pluralized means "little children"; boat has a singular diminutive and a simple plural , thus its diminutive plural is the doubly pluralized .
As seen elsewhere in many Celtic languages, the formation of the plural can be hard to predict, being determined by a mix of semantic, morphological and lexical factors.
The most common plural marker is , with its variant ; most nouns that use this marker are inanimates but collectives of both inanimate and animate nouns always use it as well.
Most animate nouns, including trees, take a plural in . However, in some dialects the use of this affix has become rare. Various masculine nouns including occupations as well as the word ("Englishman", plural ) take the suffix , with a range of variants including , , and .
The rare pluralizing suffixes / and are used for a few nouns. When they are appended, they also trigger a change in the vowel of the root: triggers a vowel harmony effect whereby some or all preceding vowels are changed to ( "cousin" → "cousins"; "crow" → "crows"; "partridge" → "partridges"); the changes associated with / are less predictable.
Various nouns instead form their plural merely with ablaut: or in the stem being changed to : "wing" → "wings"; "tooth" → "teeth"; "rope" → "ropes".
Another set of nouns have lexicalized plurals that bear little if any resemblance to their singulars. These include "girl" → , "pig" → , "cow" → , and "dog" → .
In compound nouns, the head noun, which usually comes first, is pluralized.
Verbal aspect
As in other Celtic languages as well as English, a variety of verbal constructions is available to express grammatical aspect, for example: showing a distinction between progressive and habitual actions:
Inflected prepositions
As in other modern Celtic languages, Breton pronouns are fused into preceding prepositions to produce a sort of inflected preposition. Below are some examples in Breton, Cornish, Welsh, Irish, Scottish Gaelic, and Manx, along with English translations.
Note that in the examples above the Goidelic languages (Irish, Scottish Gaelic, and Manx) use the preposition meaning at to show possession, whereas the Brittonic languages use with. The Goidelic languages, however, do use the preposition with to express "belong to" (Irish , Scottish , Manx , The book belongs to me).
The Welsh examples are in literary Welsh. The order and preposition may differ slightly in colloquial Welsh (Formal , North Wales , South Wales ).
Initial consonant mutations
Breton has four initial consonant mutations: though modern Breton lost the nasal mutation of Welsh (but for rare words such the word "door": "dor" "an nor"), it also has a "hard" mutation, in which voiced stops become voiceless, and a "mixed" mutation, which is a mixture of hard and soft mutations.
Word order
Normal word order, like the other Insular Celtic languages, is at its core VSO (verb-subject-object), which is most apparent in embedded clauses. However, Breton finite verbs in main clauses are additionally subject to V2 word order in which the finite main clause verb is typically the second element in the sentence. That makes it perfectly possible to put the subject or the object at the beginning of the sentence, largely depending on the focus of the speaker. The following options are possible (all with a little difference in meaning):
the first places the verbal infinitive in initial position (as in (1)), followed by the auxiliary 'to do'.
the second places the Auxiliary verb 'to be' in initial position (as in (2)), followed the Subject, and the construction + infinitive. At the end comes the Object. This construction is an exception to verb-second.
the third places the construction + infinitive in the initial position (as in (3)), followed by the Auxiliary verb , the Subject, and the Object.
the fourth option places the Object in initial position (as in (4)), followed by an inflected verb, followed by the Subject.
the fifth, and originally least common, places the Subject in initial position (as in (5)), followed by an inflected verb, followed by the Object, just like in English (SVO).
Vocabulary
Breton uses much more borrowed vocabulary than its relatives further north; by some estimates a full 40% of its core vocabulary consists of loans from French.
Orthography
The first extant Breton texts, contained in the Leyde manuscript, were written at the end of the 8th century: 50 years prior to the Strasbourg Oaths, considered to be the earliest example of French. Like many medieval orthographies, Old- and Middle Breton orthography was at first not standardised, and the spelling of a particular word varied at authors' discretion. In 1499, however, the Catholicon, was published; as the first dictionary written for both French and Breton, it became a point of reference on how to transcribe the language. The orthography presented in the Catholicon was largely similar to that of French, in particular with respect to the representation of vowels, as well as the use of both the Latinate digraph —a remnant of the sound change > in Latin—and Brittonic or to represent before front vowels.
As phonetic and phonological differences between the dialects began to magnify, many regions, particularly the Vannes country, began to devise their own orthographies. Many of these orthographies were more closely related to the French model, albeit with some modifications. Examples of these modifications include the replacement of Old Breton - with - to denote word-final (an evolution of Old Breton in the Vannes dialect) and use of - to denote the initial mutation of (today this mutation is written ). and thus needed another transcription.
In the 1830s Jean-François Le Gonidec created a modern phonetic system for the language.
During the early years of the 20th century, a group of writers known as elaborated and reformed Le Gonidec's system. They made it more suitable as a super-dialectal representation of the dialects of Cornouaille, Leon and Trégor (known as from , and in Breton). This KLT orthography was established in 1911. At the same time writers of the more divergent Vannetais dialect developed a phonetic system also based on that of Le Gonidec.
Following proposals made during the 1920s, the KLT and Vannetais orthographies were merged in 1941 to create an orthographic system to represent all four dialects. This ("wholly unified") orthography was significant for the inclusion of the digraph , which represents a in Vannetais and corresponds to a in the KLT dialects.
In 1955 François Falcʼhun and the group Emgleo Breiz proposed a new orthography. It was designed to use a set of graphemes closer to the conventions of French. This ("University Orthography", known in Breton as ) was given official recognition by the French authorities as the "official orthography of Breton in French education." It was opposed in the region and today is used only by the magazine and the publishing house Emgléo Breiz.
In the 1970s, a new standard orthography was devised — the or . This system is based on the derivation of the words.
Today the majority of writers continue to use the Peurunvan orthography, and it is the version taught in most Breton-language schools.
Alphabet
Breton is written in the Latin script. Peurunvan, the most commonly used orthography, consists of the following letters:
a, b, ch, cʼh, d, e, f, g, h, i, j, k, l, m, n, o, p, r, s, t, u, v, w, y, z
The circumflex, grave accent, trema and tilde appear on some letters. These diacritics are used in the following way:
â, ê, î, ô, û, ù, ü, ñ
Differences between and
Both orthographies use the above alphabet, although is used only in .
Differences between the two systems are particularly noticeable in word endings. In Peurunvan, final obstruents, which are devoiced in absolute final position and voiced in sandhi before voiced sounds, are represented by a grapheme that indicates a voiceless sound. In OU they are written as voiced but represented as voiceless before suffixes: "big", "bigger".
In addition, Peurunvan maintains the KLT convention, which distinguishes noun/adjective pairs by nouns written with a final voiced consonant and adjectives with a voiceless one. No distinction is made in pronunciation, e.g. "Breton language" vs. "Breton (adj)".
Pronunciation of the Breton alphabet
Notes:
Vocative particle: "O Brittany".
Word-initially.
Word-finally.
Unwritten lenition of and spirantization of > .
Unstressed represent in Leoneg but in the other dialects. The realisations appear mainly before (also less often before ), semivowels , consonant clusters beginning with or . Stressed long represent .
In Gwenedeg velars are palatalized before and , i.e. , , , , , , represent . In the case of word-final and palatalization to also occurs after .
Before a vowel other than the digraph is written instead of , e.g. "to drive", radical , 1PS preterite , 3PS preterite .
Silent in words such as , , , , , and . Always silent in Gwenedeg and Leoneg.
is realized as when it precedes or follows a vowel (or when between vowels), but in words such as , , it represents (in orthography may be used: , , ).
represents when it follows a vowel, after a consonant it represents . But before a vowel other than , is written instead of , e.g. "to follow", radical , 1PS preterite , 3PS preterite . In some regions may be heard instead of .
Word-finally after a cluster of unvoiced consonants.
In front of .
The digraph is realized like when preceded or followed by a vowel (or when between vowels), but in words such as , , it represents .
The digraph represents plural endings. Its pronunciation varies by dialect: rating geographically from Northwest Leon to Southeast Gwened.
usually represents , but word-finally (except in word-final ) it represents in KLT, in Gwenedeg and in Goëlo. The pronunciation is retained word-finally in verbs. In words , , , , , it represents in KLT, in Gwenedeg and in Goëlo. Word-finally following it represents .
But silent in words such as , , , , , , , , , , ', , , , , , , , , , , , , , , , , , , . is generally silent in Kerneweg, Tregerieg and Gwenedeg, but in Leoneg is always pronounced.
Used to distinguish words such as "river", "heir", "town" (also written ) from "sense", "bold", "dear".
Used to distinguish "circuit/tour" from "foot".
In northern dialects (mainly in Leoneg), there is a tendency to voice between vowels. also appears as the lenition of and mixed mutation of .
The lenition of and the spirantization of are both represented by is mainly pronounced although in certain regions (especially for the spirantization of in Cornouaille) and (in some Haut-Vannetais varieties) also occur.
The pronunciation of varies by dialect, nowadays uvular (or ) is standard; occurs in Leoneg, or in Tregerieg, and in Gwenedeg.
In Gwenedeg an unstressed often represents .
Lenited varieties of may appear word-initially in case of soft mutation.
In Leoneg in front of a nasal.
In Leoneg represents before .
In Leoneg represents or before .
In Leoneg represents .
Before a vowel.
Forms of the indefinite article.
A conservative realisation of the initial mutation of and , used in certain parts of the Vannes country.
Sample texts
Article 1 of the Universal Declaration of Human Rights
Lord's Prayer
Hon Tad,
cʼhwi hag a zo en Neñv,
ra vo santelaet hocʼh anv.
Ra zeuio ho Rouantelezh.
Ra vo graet ho youl war an douar evel en neñv.
Roit dimp hiziv bara hor bevañs.
Distaolit dimp hon dleoù
evel m'hor bo ivez distaolet d'hon dleourion.
Ha n'hon lezit ket da vont gant an temptadur,
met hon dieubit eus an Droug.
Words and phrases in Breton
Visitors to Brittany may encounter words and phrases (especially on signs and posters) such as the following:
Language comparison
Borrowing from Breton by other languages
The English words and have been borrowed from French, which took them from Breton. However, this is uncertain: for instance, is or ("long stone"), ("straight stone") (two words: noun + adjective) in Breton. Dolmen is a misconstructed word (it should be ). Some studies state that these words were borrowed from Cornish. can be directly translated from Welsh as "long stone" (which is exactly what a or is). The Cornish surnames Mennear, Minear and Manhire all derive from the Cornish ("long stone"), as does "settlement by the long stone".
The French word ("to jabber in a foreign language") is derived from Breton ("bread") and ("wine"). The French word ("large seagull") is derived from Breton , which shares the same root as English "gull" (Welsh , Cornish ).
See also
Armoricani
Gaelic revival, Irish language revival
Julian Maunoir, 17th-century Breton language orthographer
List of Celtic-language media
an association promoting the language
References
Notes
Further reading
Overviews
Historical development
Hemon, Roparz. A Historical Morphology and Syntax of Breton. Dublin: Dublin Institute for Advanced Studies, 1975.
Grammars and handbooks
Favereau, Francis. Grammaire du breton contemporain. Morlaix: Skol Vreizh, 1997.
Hemon, Roparz. Breton Grammar, 3rd edn. Trans. & rev'd by Michael Everson. Westport: Evertype, 2011.
McKenna, Malachy. A handbook of modern spoken Breton. Tübingen: Max Niemeyer, 1988 (repr. 2015).
(repr. 2011).
Press, Ian & Hervé Le Bihan. Colloquial Breton: the complete course for beginners. London: Routledge, 2004 (repr. 2007, 2015).
External links
Ofis Publik ar Brezhoneg official website.
, the public Breton TV channel.
: an essay about the situation of the Breton language.
: news in Breton.
: Brittany information, articles about Breton.
.
.
Dictionaries
English online dictionary and grammar for Breton
A multilingual dictionary containing many Breton words alongside those of other languages
Learning
Breton site including online lessons
Audio CD, workbooks, software in English to learn Breton
Breton site with learners' forum and lessons (mostly in French with some English)
Jouitteau, M. Grammaire du breton, (extensive Breton grammar in French, with glossed examples and typological comparisons), IKER, CNRS, 2009 > 2017].
Bible
Ar Bibl Santel (Jenkins) 1897 (JEN1897). History of Bible translation in Breton and Breton Bible
Languages attested from the 9th century
Southwestern Brittonic languages
History of Brittany
Endangered Celtic languages
Languages of France
Verb–subject–object languages
Severely endangered languages | 5 |
William Edward Crystal (born March 14, 1948) is an American actor, comedian, and filmmaker. Crystal is known as a standup comedian, and for his film and stage roles. Crystal has received numerous accolades, including six Primetime Emmy Awards and a Tony Award as well as nominations for three Grammy Awards and three Golden Globe Awards. He was honored with a star on the Hollywood Walk of Fame in 1991, the Mark Twain Prize for American Humor in 2007, the Critics' Choice Lifetime Achievement Award in 2022 and the Kennedy Center Honors in 2023.
He gained prominence for television roles as Jodie Dallas on the ABC sitcom Soap from 1977 to 1981 and as a cast member and frequent host of Saturday Night Live from 1984 to 1985. Crystal then became known for his leading roles in films such as Running Scared (1986), The Princess Bride (1987), Throw Momma from the Train (1987), Memories of Me (1988), When Harry Met Sally... (1989), City Slickers (1991), Mr. Saturday Night (1992), Hamlet (1996), Deconstructing Harry (1997), Analyze This (1999), and Parental Guidance (2012). He provided the voice of Mike Wazowski in the Pixar animated Monsters, Inc. franchise. He has hosted the Academy Awards nine times, beginning in 1990 and most recently in 2012.
He made his Broadway debut in his one man show 700 Sundays in 2004 for which he won the Tony Award for Best Special Theatrical Event. He returned to the show again in 2014 which was filmed by HBO and received a Primetime Emmy Award for Outstanding Variety Special nomination. He wrote and starred in the Broadway musical Mr. Saturday Night based on his film in 2022 for which he received two Tony Award nominations for Best Actor in a Musical and Best Book of a Musical. He wrote his memoir Still Foolin' Em in 2013.
Early life and education
William Edward Crystal was born at Doctors Hospital on the Upper East Side of Manhattan, and initially raised in the Bronx. As a toddler, he moved with his family to 549 East Park Avenue in Long Beach, New York, on Long Island. He and his older brothers Joel, who later became an art teacher, and Richard, nicknamed Rip, were the sons of Helen (née Gabler), a housewife, and Jack Crystal, who owned and operated the Commodore Music Store, founded by Crystal's grandfather, Julius Gabler. Crystal's father was also a jazz promoter, a producer, and an executive for an affiliated jazz record label, Commodore Records, founded by Crystal's uncle, musician and songwriter Milt Gabler. Crystal is Jewish (his family emigrated from Austria, Russia, and Lithuania), and he grew up attending Temple Emanu-El (Long Beach, New York) where he had his bar mitzvah. The three young brothers would entertain by reprising comedy routines from the likes of Bob Newhart, Rich Little and Sid Caesar records their father would bring home. Jazz artists such as Arvell Shaw, Pee Wee Russell, Eddie Condon, and Billie Holiday were often guests in the home. With the decline of Dixieland jazz and the rise of discount record stores, in 1963, Crystal's father lost his business and died later that year at the age of 54 after having a heart attack. His mother died in 2001.
After graduating from Long Beach High School in 1965, Crystal attended Marshall University in Huntington, West Virginia, on a baseball scholarship, having learned the game from his father, who pitched for St. John's University. Crystal never played baseball at Marshall because the program was suspended during his first year. He did not return to Marshall as a sophomore, instead deciding to stay in New York to be close to his future wife. He studied acting at HB Studio. He attended Nassau Community College with her and later transferred to New York University, where he was a film and television directing major. He graduated from NYU in 1970 with a BFA from its then School of Fine Arts. One of his instructors was Martin Scorsese, while Oliver Stone and Christopher Guest were among his classmates.
Career
Television
Crystal returned to New York City. For four years, he was part of a comedy trio with two friends. They played colleges and coffee houses and Crystal worked as a substitute teacher on Long Island. He later became a solo act and performed regularly at The Improv and Catch a Rising Star. In 1976, Crystal appeared on an episode of All in the Family. He was on the dais for the Dean Martin celebrity roast of Muhammad Ali on February 19, 1976, where he did impressions of both Ali and sportscaster Howard Cosell. He was scheduled to appear on the first episode of NBC Saturday Night on October 11, 1975 (The show was later renamed Saturday Night Live on March 26, 1977), but his sketch was cut. He did perform on episode 17 of that first season, doing a monologue of an old jazz man capped by the line "Can you dig it? I knew that you could." Host Ron Nessen introduced him as "Bill Crystal". He made a guest appearance on "The Love Boat" Season 2 Episode 5, which aired on 10/20/1978. Crystal also made game show appearances such as The Hollywood Squares, All Star Secrets and The $20,000 Pyramid. To this day, he holds the Pyramid franchise's record for getting his contestant partner to the top of the pyramid in the winner's circle in the fastest time: 26 seconds.
Crystal's earliest prominent role was as Jodie Dallas on Soap, one of the first unambiguously gay characters in the cast of an American television series. He continued in the role during the series's entire 1977–1981 run.
In 1982, Billy Crystal hosted his own variety show, The Billy Crystal Comedy Hour on NBC. When Crystal arrived to shoot the fifth episode, he learned it had been canceled after only the first two aired. After hosting Saturday Night Live twice, on March 17, 1984, and the show's ninth season finale on May 5, he joined the regular cast for the 1984–85 season. His most famous recurring sketch was his parody of Fernando Lamas, a smarmy talk-show host whose catchphrase, "You look... mahvelous!", became a media sensation. Also in the 1980s, Crystal starred in an episode of Shelley Duvall's Faerie Tale Theatre as the smartest of the three little pigs.
In 1991, Crystal created and produced the HBO six-part comedy miniseries Sessions starring Michael McKean and Elliott Gould. The Los Angeles Times praised the project describing it as "swankily written, elegantly staged and perfectly cast". In 1996, Crystal was the guest star of the third episode of Muppets Tonight and hosted three Grammy Awards Telecasts: the 29th Grammys; the 30th Grammys; and the 31st Grammys. Crystal was a guest on the first and the last episode of The Tonight Show with Jay Leno, which concluded February 6, 2014, after 22 seasons on the air.
He directed the made-for-television movie 61* (2001) based on Roger Maris's and Mickey Mantle's race to break Babe Ruth's single-season home run record in 1961. This earned Crystal an Primetime Emmy Award nomination for Outstanding Directing for a Miniseries, Movie or a Special.
In 2015, Crystal co-starred alongside Josh Gad on the FX comedy series The Comedians, which ran for just one season before being canceled. His series received mixed reviews with many critics noting the chemistry developed further as the series went on. The series was compared to backstage shows such as The Larry Sanders Show and 30 Rock. Kate Kulzick of The A.V. Club wrote "The odd-couple pairing of Crystal and Gad works well, with their generational divide providing many of the show's early highlights...The friendly rapport that develops between the fictionalized Billy and Josh allows them to relax a bit and get to know each other better".
Film career
Crystal's first film role was in Joan Rivers' 1978 film Rabbit Test, the story of the "world's first pregnant man." Crystal appeared briefly in the Rob Reiner "rockumentary" This Is Spinal Tap (1984) as Morty The Mime, a waiter dressed as a mime at one of Spinal Tap's parties. He shared the scene with a then-unknown, non-speaking Dana Carvey, stating famously that "Mime is money." He later starred in the action comedy Running Scared (1986) opposite Gregory Hines.
He reunited with director Rob Reiner in The Princess Bride (1987), in a comedic supporting role as "Miracle Max". Reiner got Crystal to accept the part by saying, "How would you like to play Mel Brooks?" Reiner also allowed Crystal to ad-lib, and his parting shot, "Have fun storming the castle!" is a frequently quoted line. Critic Roger Ebert described Crystal as a highlight of the film writing "the funniest sequences in the film stars Billy Crystal and Carol Kane, both unrecogizable behind makeup, as an ancient wizard and crone who specialize in bringing the dead back to life".
Reiner directed Crystal for a third time in the romantic comedy When Harry Met Sally... (1989). Crystal starred alongside Meg Ryan, Bruno Kirby and Carrie Fisher in a script written by Nora Ephron. The Hollywood Reporter praised the film and Crystal's performance writing, "Crystal's lustrous, deeply-shaded performance is certain to win him legions of new fans; indeed, his prowess as a comic reaches its deepest human dimension here." Crystal was nominated for the Golden Globe Award for Best Actor – Motion Picture Musical or Comedy losing to Morgan Freeman in Driving Miss Daisy (1989). The film has since become an iconic classic for the genre and is Crystal's most celebrated film. In 2019 the BBC named the film the greatest romantic comedy of all time.
Crystal then starred in the award-winning buddy comedy City Slickers (1991), which proved very successful both commercially and critically and for which Crystal was nominated for his second Golden Globe. The film was followed by a sequel, which was less successful. The name of his company is Face Productions. Entertainment Weekly praised Crystal's performance writing, "It's also the first movie ever to do the talented Billy Crystal justice...he's far more pleasureful to watch in this sort of dramatic-comedy role than, say, Robin Williams, because his comfy, urban-shlemiel personality helps ground the jokes". Following the significant success of these films, Crystal wrote, directed, and starred in Mr. Saturday Night (1992) and Forget Paris (1995). In the former, Crystal played a serious role in aging makeup, as an egotistical comedian who reflects back on his career.
Crystal later films include a supporting roles in Kenneth Branagh's William Shakespeare epic Hamlet (1996), and Woody Allen's critically acclaimed comedy ensemble film Deconstructing Harry (1997). Crystal had starred opposite Robin Williams in Father's Day (1997) and had success alongside Robert De Niro in Harold Ramis' mobster comedy Analyze This (1999). More recent performances include roles in America's Sweethearts (2001), the sequel Analyze That (2002), and Parental Guidance (2012).
In 1992, he narrated Dr. Seuss Video Classics: Horton Hatches the Egg. Crystal was originally asked to voice Buzz Lightyear in Toy Story (1995) but turned it down, a decision he later regretted due to the popularity of the series. Crystal later went on to provide the voice of Mike Wazowski in the blockbuster Pixar film Monsters, Inc. (2001), Cars (2006), during the epilogue in the end credits, and to reprise his voice role in the prequel, Monsters University (2013). Crystal also provided the voice of Calcifer in the English version of Hayao Miyazaki's Howl's Moving Castle (2004).
Albums and music career
Due to the success of Crystal's standup and SNL career, in 1985, he released an album of his stand-up material titled Mahvelous!. The title track You Look Marvelous, written by Crystal and Paul Shaffer, had an accompanying music video that debuted on MTV. Both the song and video features Crystal in character as his SNL persona of talk show host Fernando Lamas. The video features Lamas cruising around in what was at the time the world's longest stretch limousine, built by custom-coach designer and builder Vini Bergeman, surrounded by models in bikinis. The single peaked at No. 58 on the Billboard Hot 100 in the US, and No. 17 in Canada. The album was nominated for a Grammy Award for Best Comedy Recording at the 1986 Grammy Awards.
In 2013, Crystal released his autobiographical memoir Still Foolin' Em. The audiobook version was nominated for a Grammy Award for Best Spoken Word Album at the 2014 Grammy Awards.
Academy Awards host
Crystal hosted the Academy Awards broadcast a total of 9 times, from 1990, 1991, 1992, 1993, 1997, 1998, 2000, 2004 and 2012. His hosting was critically praised, resulting in two Primetime Emmy Award wins for hosting and writing the 63rd Academy Awards and an Emmy win for writing the 64th Academy Awards. He returned as the host for the 2012 Oscar ceremony, after Eddie Murphy resigned from hosting. His nine times is second only to Bob Hope's 19 in most ceremonies hosted. At the 83rd Academy Awards ceremony in 2011, he appeared as a presenter for a digitally inserted Bob Hope and before doing so was given a standing ovation. Film critic Roger Ebert said when Crystal came onstage about two hours into the show, he got the first laughs of the broadcast. Crystal's hosting gigs have regularly included an introductory video segment in which he comedically inserts himself into scenes of that year's nominees in addition to a song following his opening monologue.
Broadway
Crystal won the 2005 Tony Award for Best Special Theatrical Event for 700 Sundays, a two-act, one-man play, which he conceived and wrote about his parents and his childhood growing up on Long Island. He toured throughout the US with the show in 2006 and then Australia in 2007.
Following the initial success of the play, Crystal wrote the book 700 Sundays for Warner Books, which was published on October 31, 2005. In conjunction with the book and the play that also paid tribute to his uncle, Milt Gabler, Crystal produced two CD compilations: Billy Crystal Presents: The Milt Gabler Story, which featured his uncle's most influential recordings from Billie Holiday's "Strange Fruit" to "Rock Around the Clock" by Bill Haley & His Comets; and Billy Remembers Billie featuring Crystal's favorite Holiday recordings.
In the fall of 2013, he brought the show back to Broadway for a two-month run at the Imperial Theatre. HBO filmed the January 3–4, 2014 performances for a special, which debuted on their network on April 19, 2014 entitled Billy Crystal: 700 Sundays. The televised special received three Primetime Emmy Award nominations including Outstanding Variety Special, and Outstanding Writing for a Variety Special.
In 2022, Crystal adapted his 1992 movie Mr. Saturday Night into a Broadway musical with the same name. Crystal stars in the musical reprising his role from the film alongside David Paymer. The production began previews on Broadway at the Nederlander Theatre on March 29, 2022, prior to officially opening on April 27. Crystal earned the Drama League Award for Contribution to the Theater Award for "his extraordinary work on stages across the country and commitment to mentorship in the field". Crystal performed a number with the ensemble from his musical at the 75th Tony Awards. He also performed what he described as Yiddish scat singing. He went into the crowd teaching Lin-Manuel Miranda and Samuel L. Jackson as well as the rest of the audience. The New York Times praised Crystal on his bit, describing it as a highlight of the telecast writing, "one of the few moments that broke through...is when [Crystal] brought it out into the audience, and threw it up to the balcony, he showed how precision delivery and command of a room can make even the oldest, silliest material impossibly compelling."
Other appearances
In 2014, Crystal paid tribute to his close friend Robin Williams at the 66th Primetime Emmy Awards. In his tribute he talked about their friendship, saying, "As genius as he was on stage, he was the greatest friend you could ever imagine. Supportive. Protective. Loving. It's very hard to talk about him in the past because he was so present in all of our lives. For almost 40 years, he was the brightest star in the comedy galaxy…[His] beautiful light will continue to shine on us forever. And the glow will be so bright, it'll warm your heart. It'll make your eyes glisten. And you'll think to yourselves: Robin Williams. What a concept." Crystal stated that paying tribute to Williams so publicly and so soon after Williams had died was one of "the hardest things I've had to do" and that "I was really worried that I wasn't going to get through it." Crystal soon after appeared on The View where he and Whoopi Goldberg shared stories about Williams, reminiscing about their friendship, and their collaborations together on Comic Relief.
In 2016, Crystal gave one of the eulogies for Muhammad Ali at his funeral. In his remembrance of Ali, Crystal talked about his admiration for Ali as a boxer, and humanitarian. He also shared stories of their unlikely friendship after Crystal did a series of impersonations of him. Crystal stated of Ali's legacy, "Only once in a thousand years or so, do we get to hear a Mozart, or see a Picasso, or read a Shakespeare. Ali was one of them. And yet, at his heart, he was still a kid from Louisville who ran with the gods and walked with the crippled and smiled at the foolishness of it all."
In the fall of 2021, Crystal reprised the role of Buddy Young Jr., in a theatrical musical staging of Mr. Saturday Night at the Barrington Stage Company in Pittsfield, MA.
Discography
Albums
Mahvelous!, (A&M Records, 1985) [#65 US]
Singles
"You Look Marvelous", (A&M Records, 1985) [#58 US]
"I Hate When That Happens", (A&M Records, 1985)
"The Christmas Song", (A&M Records, 1985)
Bibliography
Awards and nominations
Crystal has received numerous accolades including six Primetime Emmy Awards for Outstanding Individual Performance in a Variety or Music Program as the host of the 31st Annual Grammy Awards (1989), 63rd Academy Awards (1991), and 70th Academy Awards (1998) and the Outstanding Writing for a Variety Series for writing his comedy special Midnight Train to Moscow (1990), and the 63rd Academy Awards and 64th Academy Awards (1992). For his Broadway debut, his one man show 700 Sundays (2005), he won the Tony Award for Best Special Theatrical Event, and the Drama Desk Award. He received further Tony nominations for Best Actor in a Musical and Best Book of a Musical for Mr. Saturday Night (2022).
He received nominations for three Grammy Awards for Best Comedy Album for You Look Marvelous (1986), Best Spoken Word Album for Still Foolin' Em (2014), and Best Musical Theatre Album for Mr. Saturday Night (2023). He also received three Golden Globe Award nominations for Best Actor in a Motion Picture Musical or Comedy for his performances in the romantic comedy When Harry Met Sally... (1989), the western comedy City Slickers (1991), and Crystal's directorial debut Mr. Saturday Night (1992).
He has also received numerous honors including a star on the Hollywood Walk of Fame in 1991, and was awarded with the Mark Twain Prize for American Humor in 2007 where he was honored by Robin Williams, Whoopi Goldberg, Robert De Niro, Martin Short, and Rob Reiner at the John F. Kennedy Center for Performing Arts in Washington D.C. He was made one of the Disney Legends in 2013 and also received the Critics' Choice Lifetime Achievement Award in 2022 and the Kennedy Center Honors in 2023.
Personal life
On June 4, 1970, Crystal married his high school sweetheart, Janice Goldfinger. Crystal has long credited his parents, "who always looked like they loved being together," with setting an example for his own marriage. They have two daughters: actress Jennifer and Lindsay, a producer, and are grandparents. They live in the Pacific Palisades neighborhood of Los Angeles, California.
Crystal received an honorary Doctor of Fine Arts degree from New York University in 2016 and spoke at the commencement at Yankee Stadium.
Philanthropy
In 1986, Crystal started hosting Comic Relief on HBO with Robin Williams and Whoopi Goldberg. Founded by Bob Zmuda, Comic Relief raises money for homeless people in the United States.
On September 6, 2005, on The Tonight Show with Jay Leno, Crystal and Jay Leno were the first celebrities to sign a Harley-Davidson motorcycle to be auctioned off for Gulf Coast relief.
Crystal has participated in the Simon Wiesenthal Center Museum of Tolerance in Los Angeles. Crystal's personal history is featured in the "Finding Our Families, Finding Ourselves" exhibit in the genealogy wing of the museum.
Sports
On March 12, 2008, Crystal signed a one-day minor league contract to play with the New York Yankees, and was invited to the team's major league spring training. He wore uniform number 60 in honor of his upcoming 60th birthday. On March 13, in a spring training game against the Pittsburgh Pirates, Crystal led off as the designated hitter. He managed to make contact, fouling a fastball up the first base line, but was eventually struck out by Pirates pitcher Paul Maholm on six pitches and was later replaced in the batting order by Johnny Damon. He was released on March 14, his 60th birthday.
Crystal's boyhood idol was Yankee Hall of Fame legend Mickey Mantle, who had signed a program for him when Crystal attended a game where Mantle had hit a home run. Years later on The Dinah Shore Show, in one of his first television appearances, Crystal met Mantle in person and had Mantle re-sign the same program. Crystal would be good friends with Mantle until Mantle's death in 1995. He and Bob Costas together wrote the eulogy Costas read at Mantle's funeral, and George Steinbrenner then invited Crystal to emcee the unveiling of Mantle's monument at Yankee Stadium. In his 2013 memoir Still Foolin' 'Em, Crystal claimed that after the ceremony, near the Yankees clubhouse, he was punched in the stomach by Joe DiMaggio, who was angry at Crystal for not having introduced him to the crowd as the "Greatest living player".
Crystal also was well known for his impressions of Yankees Hall of Famer turned broadcaster Phil Rizzuto. Rizzuto, known for his quirks calling games, did not travel to Anaheim, California in 1996 to call the game for WPIX. Instead, Crystal joined the broadcasters in the booth and pretended to be Rizzuto for a few minutes during the August 31 game.
Although a lifelong Yankees fan, he is a part-owner of the Arizona Diamondbacks, even earning a World Series ring in 2001 when the Diamondbacks beat his beloved Yankees.
In City Slickers, Crystal wore a New York Mets baseball cap. In the 1986 film Running Scared, his character is an avid Chicago Cubs fan, wearing a Cubs' jersey in several scenes. In the 2012 film Parental Guidance, his character is the announcer for the Fresno Grizzlies, a Minor League Baseball team, who aspires to announce for their Major League affiliate, the San Francisco Giants.
Crystal appeared in Ken Burns's 1994 documentary Baseball, telling personal stories about his life-long love of baseball, including meeting Casey Stengel as a child and Ted Williams as an adult.
Crystal is also a longtime Los Angeles Clippers fan and season ticket holder.
References
External links
Website for Billy Crystal's book Still Foolin' 'Em
1948 births
Living people
20th-century American comedians
20th-century American Jews
20th-century American male actors
20th-century American male writers
20th-century American screenwriters
21st-century American comedians
21st-century American Jews
21st-century American male actors
21st-century American male writers
21st-century American screenwriters
American comedy musicians
American film directors
American film producers
American impressionists (entertainers)
American male comedians
American male film actors
American male musical theatre actors
American male screenwriters
American male singers
American male stage actors
American male television actors
American male television writers
American male voice actors
American people of Austrian-Jewish descent
American people of Lithuanian-Jewish descent
American people of Russian-Jewish descent
American sketch comedians
American stand-up comedians
American television directors
American television producers
American television writers
Arizona Diamondbacks owners
Audiobook narrators
Comedians from New York (state)
Comedy film directors
Film directors from New York City
Film producers from New York (state)
Jewish American comedians
Jewish American film directors
Jewish American film producers
Jewish American male actors
Jewish American male comedians
Jewish American screenwriters
Jewish American writers
Jewish male actors
Jewish male comedians
Long Beach High School (New York) alumni
Mark Twain Prize recipients
Marshall Thundering Herd baseball players
Marshall University alumni
Nassau Community College alumni
People from Long Beach, New York
People from Pacific Palisades, Los Angeles
Primetime Emmy Award winners
Screenwriters from New York (state)
Television producers from New York (state)
Tisch School of the Arts alumni
Tony Award winners | 5 |
A black hole is a region of spacetime where gravity is so strong that nothing, including light and other electromagnetic waves, has enough energy to escape it. The theory of general relativity predicts that a sufficiently compact mass can deform spacetime to form a black hole. The boundary of no escape is called the event horizon. Although it has a great effect on the fate and circumstances of an object crossing it, it has no locally detectable features according to general relativity. In many ways, a black hole acts like an ideal black body, as it reflects no light. Moreover, quantum field theory in curved spacetime predicts that event horizons emit Hawking radiation, with the same spectrum as a black body of a temperature inversely proportional to its mass. This temperature is of the order of billionths of a kelvin for stellar black holes, making it essentially impossible to observe directly.
Objects whose gravitational fields are too strong for light to escape were first considered in the 18th century by John Michell and Pierre-Simon Laplace. In 1916, Karl Schwarzschild found the first modern solution of general relativity that would characterize a black hole. David Finkelstein, in 1958, first published the interpretation of "black hole" as a region of space from which nothing can escape. Black holes were long considered a mathematical curiosity; it was not until the 1960s that theoretical work showed they were a generic prediction of general relativity. The discovery of neutron stars by Jocelyn Bell Burnell in 1967 sparked interest in gravitationally collapsed compact objects as a possible astrophysical reality. The first black hole known was Cygnus X-1, identified by several researchers independently in 1971.
Black holes of stellar mass form when massive stars collapse at the end of their life cycle. After a black hole has formed, it can grow by absorbing mass from its surroundings. Supermassive black holes of millions of solar masses () may form by absorbing other stars and merging with other black holes. There is consensus that supermassive black holes exist in the centres of most galaxies.
The presence of a black hole can be inferred through its interaction with other matter and with electromagnetic radiation such as visible light. Any matter that falls onto a black hole can form an external accretion disk heated by friction, forming quasars, some of the brightest objects in the universe. Stars passing too close to a supermassive black hole can be shredded into streamers that shine very brightly before being "swallowed." If other stars are orbiting a black hole, their orbits can be used to determine the black hole's mass and location. Such observations can be used to exclude possible alternatives such as neutron stars. In this way, astronomers have identified numerous stellar black hole candidates in binary systems and established that the radio source known as Sagittarius A*, at the core of the Milky Way galaxy, contains a supermassive black hole of about 4.3 million solar masses.
History
The idea of a body so big that even light could not escape was briefly proposed by English astronomical pioneer and clergyman John Michell in a letter published in November 1784. Michell's simplistic calculations assumed such a body might have the same density as the Sun, and concluded that one would form when a star's diameter exceeds the Sun's by a factor of 500, and its surface escape velocity exceeds the usual speed of light. Michell referred to these bodies as dark stars. He correctly noted that such supermassive but non-radiating bodies might be detectable through their gravitational effects on nearby visible bodies. Scholars of the time were initially excited by the proposal that giant but invisible 'dark stars' might be hiding in plain view, but enthusiasm dampened when the wavelike nature of light became apparent in the early nineteenth century, as if light were a wave rather than a particle, it was unclear what, if any, influence gravity would have on escaping light waves.
Modern physics discredits Michell's notion of a light ray shooting directly from the surface of a supermassive star, being slowed down by the star's gravity, stopping, and then free-falling back to the star's surface.
General relativity
In 1915, Albert Einstein developed his theory of general relativity, having earlier shown that gravity does influence light's motion. Only a few months later, Karl Schwarzschild found a solution to the Einstein field equations that describes the gravitational field of a point mass and a spherical mass. A few months after Schwarzschild, Johannes Droste, a student of Hendrik Lorentz, independently gave the same solution for the point mass and wrote more extensively about its properties. This solution had a peculiar behaviour at what is now called the Schwarzschild radius, where it became singular, meaning that some of the terms in the Einstein equations became infinite. The nature of this surface was not quite understood at the time.
In 1924, Arthur Eddington showed that the singularity disappeared after a change of coordinates, although it took until 1933 for Georges Lemaître to realize that this meant the singularity at the Schwarzschild radius was a non-physical coordinate singularity. Arthur Eddington did however comment on the possibility of a star with mass compressed to the Schwarzschild radius in a 1926 book, noting that Einstein's theory allows us to rule out overly large densities for visible stars like Betelgeuse because "a star of 250 million km radius could not possibly have so high a density as the Sun. Firstly, the force of gravitation would be so great that light would be unable to escape from it, the rays falling back to the star like a stone to the earth. Secondly, the red shift of the spectral lines would be so great that the spectrum would be shifted out of existence. Thirdly, the mass would produce so much curvature of the spacetime metric that space would close up around the star, leaving us outside (i.e., nowhere)."
In 1931, Subrahmanyan Chandrasekhar calculated, using special relativity, that a non-rotating body of electron-degenerate matter above a certain limiting mass (now called the Chandrasekhar limit at ) has no stable solutions. His arguments were opposed by many of his contemporaries like Eddington and Lev Landau, who argued that some yet unknown mechanism would stop the collapse. They were partly correct: a white dwarf slightly more massive than the Chandrasekhar limit will collapse into a neutron star, which is itself stable. But in 1939, Robert Oppenheimer and others predicted that neutron stars above another limit (the Tolman–Oppenheimer–Volkoff limit) would collapse further for the reasons presented by Chandrasekhar, and concluded that no law of physics was likely to intervene and stop at least some stars from collapsing to black holes. Their original calculations, based on the Pauli exclusion principle, gave it as ; subsequent consideration of neutron-neutron repulsion mediated by the strong force raised the estimate to approximately to . Observations of the neutron star merger GW170817, which is thought to have generated a black hole shortly afterward, have refined the TOV limit estimate to ~. Oppenheimer and his co-authors interpreted the singularity at the boundary of the Schwarzschild radius as indicating that this was the boundary of a bubble in which time stopped. This is a valid point of view for external observers, but not for infalling observers. Because of this property, the collapsed stars were called "frozen stars", because an outside observer would see the surface of the star frozen in time at the instant where its collapse takes it to the Schwarzschild radius.
Also in 1939, Einstein would attempt to prove that black holes were impossible in his publication "On a Stationary System with Spherical Symmetry Consisting of Many Gravitating Masses", using his theory of general relativity to defend his argument. Months later, Oppenheimer and his student Hartland Snyder would provide the Oppenheimer–Snyder model in their paper "On Continued Gravitational Contraction", which predicted the existence of black holes. In the paper, which made no reference to Einstein's recent publication, Oppenheimer and Snyder used Einstein's own theory of general relativity to show the conditions on how a black hole could develop for the first time in contemporary physics .
Golden age
In 1958, David Finkelstein identified the Schwarzschild surface as an event horizon, "a perfect unidirectional membrane: causal influences can cross it in only one direction". This did not strictly contradict Oppenheimer's results, but extended them to include the point of view of infalling observers. Finkelstein's solution extended the Schwarzschild solution for the future of observers falling into a black hole. A complete extension had already been found by Martin Kruskal, who was urged to publish it.
These results came at the beginning of the golden age of general relativity, which was marked by general relativity and black holes becoming mainstream subjects of research. This process was helped by the discovery of pulsars by Jocelyn Bell Burnell in 1967, which, by 1969, were shown to be rapidly rotating neutron stars. Until that time, neutron stars, like black holes, were regarded as just theoretical curiosities; but the discovery of pulsars showed their physical relevance and spurred a further interest in all types of compact objects that might be formed by gravitational collapse.
In this period more general black hole solutions were found. In 1963, Roy Kerr found the exact solution for a rotating black hole. Two years later, Ezra Newman found the axisymmetric solution for a black hole that is both rotating and electrically charged. Through the work of Werner Israel, Brandon Carter, and David Robinson the no-hair theorem emerged, stating that a stationary black hole solution is completely described by the three parameters of the Kerr–Newman metric: mass, angular momentum, and electric charge.
At first, it was suspected that the strange features of the black hole solutions were pathological artifacts from the symmetry conditions imposed, and that the singularities would not appear in generic situations. This view was held in particular by Vladimir Belinsky, Isaak Khalatnikov, and Evgeny Lifshitz, who tried to prove that no singularities appear in generic solutions. However, in the late 1960s Roger Penrose and Stephen Hawking used global techniques to prove that singularities appear generically. For this work, Penrose received half of the 2020 Nobel Prize in Physics, Hawking having died in 2018. Based on observations in Greenwich and Toronto in the early 1970s, Cygnus X-1, a galactic X-ray source discovered in 1964, became the first astronomical object commonly accepted to be a black hole.
Work by James Bardeen, Jacob Bekenstein, Carter, and Hawking in the early 1970s led to the formulation of black hole thermodynamics. These laws describe the behaviour of a black hole in close analogy to the laws of thermodynamics by relating mass to energy, area to entropy, and surface gravity to temperature. The analogy was completed when Hawking, in 1974, showed that quantum field theory implies that black holes should radiate like a black body with a temperature proportional to the surface gravity of the black hole, predicting the effect now known as Hawking radiation.
Observation
On 11 February 2016, the LIGO Scientific Collaboration and the Virgo collaboration announced the first direct detection of gravitational waves, representing the first observation of a black hole merger. On 10 April 2019, the first direct image of a black hole and its vicinity was published, following observations made by the Event Horizon Telescope (EHT) in 2017 of the supermassive black hole in Messier 87's galactic centre. , the nearest known body thought to be a black hole, Gaia BH1, is around away. Though only a couple dozen black holes have been found so far in the Milky Way, there are thought to be hundreds of millions, most of which are solitary and do not cause emission of radiation. Therefore, they would only be detectable by gravitational lensing.
Etymology
John Michell used the term "dark star" in a November 1783 letter to Henry Cavendish, and in the early 20th century, physicists used the term "gravitationally collapsed object". Science writer Marcia Bartusiak traces the term "black hole" to physicist Robert H. Dicke, who in the early 1960s reportedly compared the phenomenon to the Black Hole of Calcutta, notorious as a prison where people entered but never left alive.
The term "black hole" was used in print by Life and Science News magazines in 1963, and by science journalist Ann Ewing in her article Black Holes' in Space", dated 18 January 1964, which was a report on a meeting of the American Association for the Advancement of Science held in Cleveland, Ohio.
In December 1967, a student reportedly suggested the phrase "black hole" at a lecture by John Wheeler; Wheeler adopted the term for its brevity and "advertising value", and it quickly caught on, leading some to credit Wheeler with coining the phrase.
Properties and structure
The no-hair theorem postulates that, once it achieves a stable condition after formation, a black hole has only three independent physical properties: mass, electric charge, and angular momentum; the black hole is otherwise featureless. If the conjecture is true, any two black holes that share the same values for these properties, or parameters, are indistinguishable from one another. The degree to which the conjecture is true for real black holes under the laws of modern physics is currently an unsolved problem.
These properties are special because they are visible from outside a black hole. For example, a charged black hole repels other like charges just like any other charged object. Similarly, the total mass inside a sphere containing a black hole can be found by using the gravitational analog of Gauss's law (through the ADM mass), far away from the black hole. Likewise, the angular momentum (or spin) can be measured from far away using frame dragging by the gravitomagnetic field, through for example the Lense–Thirring effect.
When an object falls into a black hole, any information about the shape of the object or distribution of charge on it is evenly distributed along the horizon of the black hole, and is lost to outside observers. The behavior of the horizon in this situation is a dissipative system that is closely analogous to that of a conductive stretchy membrane with friction and electrical resistance—the membrane paradigm. This is different from other field theories such as electromagnetism, which do not have any friction or resistivity at the microscopic level, because they are time-reversible. Because a black hole eventually achieves a stable state with only three parameters, there is no way to avoid losing information about the initial conditions: the gravitational and electric fields of a black hole give very little information about what went in. The information that is lost includes every quantity that cannot be measured far away from the black hole horizon, including approximately conserved quantum numbers such as the total baryon number and lepton number. This behavior is so puzzling that it has been called the black hole information loss paradox.
Physical properties
The simplest static black holes have mass but neither electric charge nor angular momentum. These black holes are often referred to as Schwarzschild black holes after Karl Schwarzschild who discovered this solution in 1916. According to Birkhoff's theorem, it is the only vacuum solution that is spherically symmetric. This means there is no observable difference at a distance between the gravitational field of such a black hole and that of any other spherical object of the same mass. The popular notion of a black hole "sucking in everything" in its surroundings is therefore correct only near a black hole's horizon; far away, the external gravitational field is identical to that of any other body of the same mass.
Solutions describing more general black holes also exist. Non-rotating charged black holes are described by the Reissner–Nordström metric, while the Kerr metric describes a non-charged rotating black hole. The most general stationary black hole solution known is the Kerr–Newman metric, which describes a black hole with both charge and angular momentum.
While the mass of a black hole can take any positive value, the charge and angular momentum are constrained by the mass. The total electric charge Q and the total angular momentum J are expected to satisfy the inequality
for a black hole of mass M. Black holes with the minimum possible mass satisfying this inequality are called extremal. Solutions of Einstein's equations that violate this inequality exist, but they do not possess an event horizon. These solutions have so-called naked singularities that can be observed from the outside, and hence are deemed unphysical. The cosmic censorship hypothesis rules out the formation of such singularities, when they are created through the gravitational collapse of realistic matter. This is supported by numerical simulations.
Due to the relatively large strength of the electromagnetic force, black holes forming from the collapse of stars are expected to retain the nearly neutral charge of the star. Rotation, however, is expected to be a universal feature of compact astrophysical objects. The black-hole candidate binary X-ray source GRS 1915+105 appears to have an angular momentum near the maximum allowed value. That uncharged limit is
allowing definition of a dimensionless spin parameter such that
Black holes are commonly classified according to their mass, independent of angular momentum, J. The size of a black hole, as determined by the radius of the event horizon, or Schwarzschild radius, is proportional to the mass, M, through
where r is the Schwarzschild radius and is the mass of the Sun. For a black hole with nonzero spin and/or electric charge, the radius is smaller, until an extremal black hole could have an event horizon close to
Event horizon
The defining feature of a black hole is the appearance of an event horizon—a boundary in spacetime through which matter and light can pass only inward towards the mass of the black hole. Nothing, not even light, can escape from inside the event horizon. The event horizon is referred to as such because if an event occurs within the boundary, information from that event cannot reach an outside observer, making it impossible to determine whether such an event occurred.
As predicted by general relativity, the presence of a mass deforms spacetime in such a way that the paths taken by particles bend towards the mass. At the event horizon of a black hole, this deformation becomes so strong that there are no paths that lead away from the black hole.
To a distant observer, clocks near a black hole would appear to tick more slowly than those farther away from the black hole. Due to this effect, known as gravitational time dilation, an object falling into a black hole appears to slow as it approaches the event horizon, taking an infinite time to reach it. At the same time, all processes on this object slow down, from the viewpoint of a fixed outside observer, causing any light emitted by the object to appear redder and dimmer, an effect known as gravitational redshift. Eventually, the falling object fades away until it can no longer be seen. Typically this process happens very rapidly with an object disappearing from view within less than a second.
On the other hand, indestructible observers falling into a black hole do not notice any of these effects as they cross the event horizon. According to their own clocks, which appear to them to tick normally, they cross the event horizon after a finite time without noting any singular behaviour; in classical general relativity, it is impossible to determine the location of the event horizon from local observations, due to Einstein's equivalence principle.
The topology of the event horizon of a black hole at equilibrium is always spherical. For non-rotating (static) black holes the geometry of the event horizon is precisely spherical, while for rotating black holes the event horizon is oblate.
Singularity
At the centre of a black hole, as described by general relativity, may lie a gravitational singularity, a region where the spacetime curvature becomes infinite. For a non-rotating black hole, this region takes the shape of a single point; for a rotating black hole it is smeared out to form a ring singularity that lies in the plane of rotation. In both cases, the singular region has zero volume. It can also be shown that the singular region contains all the mass of the black hole solution. The singular region can thus be thought of as having infinite density.
Observers falling into a Schwarzschild black hole (i.e., non-rotating and not charged) cannot avoid being carried into the singularity once they cross the event horizon. They can prolong the experience by accelerating away to slow their descent, but only up to a limit. When they reach the singularity, they are crushed to infinite density and their mass is added to the total of the black hole. Before that happens, they will have been torn apart by the growing tidal forces in a process sometimes referred to as spaghettification or the "noodle effect".
In the case of a charged (Reissner–Nordström) or rotating (Kerr) black hole, it is possible to avoid the singularity. Extending these solutions as far as possible reveals the hypothetical possibility of exiting the black hole into a different spacetime with the black hole acting as a wormhole. The possibility of traveling to another universe is, however, only theoretical since any perturbation would destroy this possibility. It also appears to be possible to follow closed timelike curves (returning to one's own past) around the Kerr singularity, which leads to problems with causality like the grandfather paradox. It is expected that none of these peculiar effects would survive in a proper quantum treatment of rotating and charged black holes.
The appearance of singularities in general relativity is commonly perceived as signaling the breakdown of the theory. This breakdown, however, is expected; it occurs in a situation where quantum effects should describe these actions, due to the extremely high density and therefore particle interactions. To date, it has not been possible to combine quantum and gravitational effects into a single theory, although there exist attempts to formulate such a theory of quantum gravity. It is generally expected that such a theory will not feature any singularities.
Photon sphere
The photon sphere is a spherical boundary of zero thickness in which photons that move on tangents to that sphere would be trapped in a circular orbit about the black hole. For non-rotating black holes, the photon sphere has a radius 1.5 times the Schwarzschild radius. Their orbits would be dynamically unstable, hence any small perturbation, such as a particle of infalling matter, would cause an instability that would grow over time, either setting the photon on an outward trajectory causing it to escape the black hole, or on an inward spiral where it would eventually cross the event horizon.
While light can still escape from the photon sphere, any light that crosses the photon sphere on an inbound trajectory will be captured by the black hole. Hence any light that reaches an outside observer from the photon sphere must have been emitted by objects between the photon sphere and the event horizon. For a Kerr black hole the radius of the photon sphere depends on the spin parameter and on the details of the photon orbit, which can be prograde (the photon rotates in the same sense of the black hole spin) or retrograde.
Ergosphere
Rotating black holes are surrounded by a region of spacetime in which it is impossible to stand still, called the ergosphere. This is the result of a process known as frame-dragging; general relativity predicts that any rotating mass will tend to slightly "drag" along the spacetime immediately surrounding it. Any object near the rotating mass will tend to start moving in the direction of rotation. For a rotating black hole, this effect is so strong near the event horizon that an object would have to move faster than the speed of light in the opposite direction to just stand still.
The ergosphere of a black hole is a volume bounded by the black hole's event horizon and the ergosurface, which coincides with the event horizon at the poles but is at a much greater distance around the equator.
Objects and radiation can escape normally from the ergosphere. Through the Penrose process, objects can emerge from the ergosphere with more energy than they entered with. The extra energy is taken from the rotational energy of the black hole. Thereby the rotation of the black hole slows down. A variation of the Penrose process in the presence of strong magnetic fields, the Blandford–Znajek process is considered a likely mechanism for the enormous luminosity and relativistic jets of quasars and other active galactic nuclei.
Innermost stable circular orbit (ISCO)
In Newtonian gravity, test particles can stably orbit at arbitrary distances from a central object. In general relativity, however, there exists an innermost stable circular orbit (often called the ISCO), for which any infinitesimal inward perturbations to a circular orbit will lead to spiraling into the black hole, and any outward perturbations will, depending on the energy, result in spiraling in, stably orbiting between apastron and periastron, or escaping to infinity. The location of the ISCO depends on the spin of the black hole, in the case of a Schwarzschild black hole (spin zero) is:
and decreases with increasing black hole spin for particles orbiting in the same direction as the spin.
Formation and evolution
Given the bizarre character of black holes, it was long questioned whether such objects could actually exist in nature or whether they were merely pathological solutions to Einstein's equations. Einstein himself wrongly thought black holes would not form, because he held that the angular momentum of collapsing particles would stabilize their motion at some radius. This led the general relativity community to dismiss all results to the contrary for many years. However, a minority of relativists continued to contend that black holes were physical objects, and by the end of the 1960s, they had persuaded the majority of researchers in the field that there is no obstacle to the formation of an event horizon.
Penrose demonstrated that once an event horizon forms, general relativity without quantum mechanics requires that a singularity will form within. Shortly afterwards, Hawking showed that many cosmological solutions that describe the Big Bang have singularities without scalar fields or other exotic matter. The Kerr solution, the no-hair theorem, and the laws of black hole thermodynamics showed that the physical properties of black holes were simple and comprehensible, making them respectable subjects for research. Conventional black holes are formed by gravitational collapse of heavy objects such as stars, but they can also in theory be formed by other processes.
Gravitational collapse
Gravitational collapse occurs when an object's internal pressure is insufficient to resist the object's own gravity. For stars this usually occurs either because a star has too little "fuel" left to maintain its temperature through stellar nucleosynthesis, or because a star that would have been stable receives extra matter in a way that does not raise its core temperature. In either case the star's temperature is no longer high enough to prevent it from collapsing under its own weight.
The collapse may be stopped by the degeneracy pressure of the star's constituents, allowing the condensation of matter into an exotic denser state. The result is one of the various types of compact star. Which type forms depends on the mass of the remnant of the original star left if the outer layers have been blown away (for example, in a Type II supernova). The mass of the remnant, the collapsed object that survives the explosion, can be substantially less than that of the original star. Remnants exceeding are produced by stars that were over before the collapse.
If the mass of the remnant exceeds about (the Tolman–Oppenheimer–Volkoff limit), either because the original star was very heavy or because the remnant collected additional mass through accretion of matter, even the degeneracy pressure of neutrons is insufficient to stop the collapse. No known mechanism (except possibly quark degeneracy pressure) is powerful enough to stop the implosion and the object will inevitably collapse to form a black hole.
The gravitational collapse of heavy stars is assumed to be responsible for the formation of stellar mass black holes. Star formation in the early universe may have resulted in very massive stars, which upon their collapse would have produced black holes of up to . These black holes could be the seeds of the supermassive black holes found in the centres of most galaxies. It has further been suggested that massive black holes with typical masses of ~ could have formed from the direct collapse of gas clouds in the young universe. These massive objects have been proposed as the seeds that eventually formed the earliest quasars observed already at redshift . Some candidates for such objects have been found in observations of the young universe.
While most of the energy released during gravitational collapse is emitted very quickly, an outside observer does not actually see the end of this process. Even though the collapse takes a finite amount of time from the reference frame of infalling matter, a distant observer would see the infalling material slow and halt just above the event horizon, due to gravitational time dilation. Light from the collapsing material takes longer and longer to reach the observer, with the light emitted just before the event horizon forms delayed an infinite amount of time. Thus the external observer never sees the formation of the event horizon; instead, the collapsing material seems to become dimmer and increasingly red-shifted, eventually fading away.
Primordial black holes and the Big Bang
Gravitational collapse requires great density. In the current epoch of the universe these high densities are found only in stars, but in the early universe shortly after the Big Bang densities were much greater, possibly allowing for the creation of black holes. High density alone is not enough to allow black hole formation since a uniform mass distribution will not allow the mass to bunch up. In order for primordial black holes to have formed in such a dense medium, there must have been initial density perturbations that could then grow under their own gravity. Different models for the early universe vary widely in their predictions of the scale of these fluctuations. Various models predict the creation of primordial black holes ranging in size from a Planck mass ( ≈ ≈ ) to hundreds of thousands of solar masses.
Despite the early universe being extremely dense, it did not re-collapse into a black hole during the Big Bang, since the expansion rate was greater than the attraction. Following inflation theory there was a net repulsive gravitation in the beginning until the end of inflation. Since then the Hubble flow was slowed by the energy density of the universe.
Models for the gravitational collapse of objects of relatively constant size, such as stars, do not necessarily apply in the same way to rapidly expanding space such as the Big Bang.
High-energy collisions
Gravitational collapse is not the only process that could create black holes. In principle, black holes could be formed in high-energy collisions that achieve sufficient density. As of 2002, no such events have been detected, either directly or indirectly as a deficiency of the mass balance in particle accelerator experiments. This suggests that there must be a lower limit for the mass of black holes. Theoretically, this boundary is expected to lie around the Planck mass, where quantum effects are expected to invalidate the predictions of general relativity. This would put the creation of black holes firmly out of reach of any high-energy process occurring on or near the Earth. However, certain developments in quantum gravity suggest that the minimum black hole mass could be much lower: some braneworld scenarios for example put the boundary as low as . This would make it conceivable for micro black holes to be created in the high-energy collisions that occur when cosmic rays hit the Earth's atmosphere, or possibly in the Large Hadron Collider at CERN. These theories are very speculative, and the creation of black holes in these processes is deemed unlikely by many specialists. Even if micro black holes could be formed, it is expected that they would evaporate in about 10 seconds, posing no threat to the Earth.
Growth
Once a black hole has formed, it can continue to grow by absorbing additional matter. Any black hole will continually absorb gas and interstellar dust from its surroundings. This growth process is one possible way through which some supermassive black holes may have been formed, although the formation of supermassive black holes is still an open field of research. A similar process has been suggested for the formation of intermediate-mass black holes found in globular clusters. Black holes can also merge with other objects such as stars or even other black holes. This is thought to have been important, especially in the early growth of supermassive black holes, which could have formed from the aggregation of many smaller objects. The process has also been proposed as the origin of some intermediate-mass black holes.
Evaporation
In 1974, Hawking predicted that black holes are not entirely black but emit small amounts of thermal radiation at a temperature ℏc/(8πGMk); this effect has become known as Hawking radiation. By applying quantum field theory to a static black hole background, he determined that a black hole should emit particles that display a perfect black body spectrum. Since Hawking's publication, many others have verified the result through various approaches. If Hawking's theory of black hole radiation is correct, then black holes are expected to shrink and evaporate over time as they lose mass by the emission of photons and other particles. The temperature of this thermal spectrum (Hawking temperature) is proportional to the surface gravity of the black hole, which, for a Schwarzschild black hole, is inversely proportional to the mass. Hence, large black holes emit less radiation than small black holes.
A stellar black hole of has a Hawking temperature of 62 nanokelvins. This is far less than the 2.7 K temperature of the cosmic microwave background radiation. Stellar-mass or larger black holes receive more mass from the cosmic microwave background than they emit through Hawking radiation and thus will grow instead of shrinking. To have a Hawking temperature larger than 2.7 K (and be able to evaporate), a black hole would need a mass less than the Moon. Such a black hole would have a diameter of less than a tenth of a millimeter.
If a black hole is very small, the radiation effects are expected to become very strong. A black hole with the mass of a car would have a diameter of about 10 m and take a nanosecond to evaporate, during which time it would briefly have a luminosity of more than 200 times that of the Sun. Lower-mass black holes are expected to evaporate even faster; for example, a black hole of mass 1 TeV/c would take less than 10 seconds to evaporate completely. For such a small black hole, quantum gravity effects are expected to play an important role and could hypothetically make such a small black hole stable, although current developments in quantum gravity do not indicate this is the case.
The Hawking radiation for an astrophysical black hole is predicted to be very weak and would thus be exceedingly difficult to detect from Earth. A possible exception, however, is the burst of gamma rays emitted in the last stage of the evaporation of primordial black holes. Searches for such flashes have proven unsuccessful and provide stringent limits on the possibility of existence of low mass primordial black holes. NASA's Fermi Gamma-ray Space Telescope launched in 2008 will continue the search for these flashes.
If black holes evaporate via Hawking radiation, a solar mass black hole will evaporate (beginning once the temperature of the cosmic microwave background drops below that of the black hole) over a period of 10 years. A supermassive black hole with a mass of will evaporate in around 2×10 years. Some monster black holes in the universe are predicted to continue to grow up to perhaps during the collapse of superclusters of galaxies. Even these would evaporate over a timescale of up to 10 years.
Some models of quantum gravity predict modifications of the Hawking description of black holes. In particular, the evolution equations describing the mass loss rate and charge loss rate get modified.
Observational evidence
By nature, black holes do not themselves emit any electromagnetic radiation other than the hypothetical Hawking radiation, so astrophysicists searching for black holes must generally rely on indirect observations. For example, a black hole's existence can sometimes be inferred by observing its gravitational influence on its surroundings.
Direct interferometry
The Event Horizon Telescope (EHT) is an active program that directly observes the immediate environment of black holes' event horizons, such as the black hole at the centre of the Milky Way. In April 2017, EHT began observing the black hole at the centre of Messier 87. "In all, eight radio observatories on six mountains and four continents observed the galaxy in Virgo on and off for 10 days in April 2017" to provide the data yielding the image in April 2019. After two years of data processing, EHT released the first direct image of a black hole; specifically, the supermassive black hole that lies in the centre of the aforementioned galaxy. What is visible is not the black hole—which shows as black because of the loss of all light within this dark region. Instead, it is the gases at the edge of the event horizon (displayed as orange or red) that define the black hole.
On 12 May 2022, the EHT released the first image of Sagittarius A*, the supermassive black hole at the centre of the Milky Way galaxy. The published image displayed the same ring-like structure and circular shadow as seen in the M87* black hole, and the image was created using the same techniques as for the M87 black hole. However, the imaging process for Sagittarius A*, which is more than a thousand times smaller and less massive than M87*, was significantly more complex because of the instability of its surroundings. The image of Sagittarius A* was also partially blurred by turbulent plasma on the way to the galactic centre, an effect which prevents resolution of the image at longer wavelengths.
The brightening of this material in the 'bottom' half of the processed EHT image is thought to be caused by Doppler beaming, whereby material approaching the viewer at relativistic speeds is perceived as brighter than material moving away. In the case of a black hole, this phenomenon implies that the visible material is rotating at relativistic speeds (>), the only speeds at which it is possible to centrifugally balance the immense gravitational attraction of the singularity, and thereby remain in orbit above the event horizon. This configuration of bright material implies that the EHT observed M87* from a perspective catching the black hole's accretion disc nearly edge-on, as the whole system rotated clockwise. However, the extreme gravitational lensing associated with black holes produces the illusion of a perspective that sees the accretion disc from above. In reality, most of the ring in the EHT image was created when the light emitted by the far side of the accretion disc bent around the black hole's gravity well and escaped, meaning that most of the possible perspectives on M87* can see the entire disc, even that directly behind the "shadow".
In 2015, the EHT detected magnetic fields just outside the event horizon of Sagittarius A* and even discerned some of their properties. The field lines that pass through the accretion disc were a complex mixture of ordered and tangled. Theoretical studies of black holes had predicted the existence of magnetic fields.
In April 2023, an image of the shadow of the Messier 87 black hole and the related high-energy jet, viewed together for the first time, was presented.
Detection of gravitational waves from merging black holes
On 14 September 2015, the LIGO gravitational wave observatory made the first-ever successful direct observation of gravitational waves. The signal was consistent with theoretical predictions for the gravitational waves produced by the merger of two black holes: one with about 36 solar masses, and the other around 29 solar masses. This observation provides the most concrete evidence for the existence of black holes to date. For instance, the gravitational wave signal suggests that the separation of the two objects before the merger was just 350 km (or roughly four times the Schwarzschild radius corresponding to the inferred masses). The objects must therefore have been extremely compact, leaving black holes as the most plausible interpretation.
More importantly, the signal observed by LIGO also included the start of the post-merger ringdown, the signal produced as the newly formed compact object settles down to a stationary state. Arguably, the ringdown is the most direct way of observing a black hole. From the LIGO signal, it is possible to extract the frequency and damping time of the dominant mode of the ringdown. From these, it is possible to infer the mass and angular momentum of the final object, which match independent predictions from numerical simulations of the merger. The frequency and decay time of the dominant mode are determined by the geometry of the photon sphere. Hence, observation of this mode confirms the presence of a photon sphere; however, it cannot exclude possible exotic alternatives to black holes that are compact enough to have a photon sphere.
The observation also provides the first observational evidence for the existence of stellar-mass black hole binaries. Furthermore, it is the first observational evidence of stellar-mass black holes weighing 25 solar masses or more.
Since then, many more gravitational wave events have been observed.
Stars orbiting Sagittarius A*
The proper motions of stars near the centre of our own Milky Way provide strong observational evidence that these stars are orbiting a supermassive black hole. Since 1995, astronomers have tracked the motions of 90 stars orbiting an invisible object coincident with the radio source Sagittarius A*. By fitting their motions to Keplerian orbits, the astronomers were able to infer, in 1998, that a object must be contained in a volume with a radius of 0.02 light-years to cause the motions of those stars. Since then, one of the stars—called S2—has completed a full orbit. From the orbital data, astronomers were able to refine the calculations of the mass to and a radius of less than 0.002 light-years for the object causing the orbital motion of those stars. The upper limit on the object's size is still too large to test whether it is smaller than its Schwarzschild radius; nevertheless, these observations strongly suggest that the central object is a supermassive black hole as there are no other plausible scenarios for confining so much invisible mass into such a small volume. Additionally, there is some observational evidence that this object might possess an event horizon, a feature unique to black holes.
Accretion of matter
Due to conservation of angular momentum, gas falling into the gravitational well created by a massive object will typically form a disk-like structure around the object. Artists' impressions such as the accompanying representation of a black hole with corona commonly depict the black hole as if it were a flat-space body hiding the part of the disk just behind it, but in reality gravitational lensing would greatly distort the image of the accretion disk.
Within such a disk, friction would cause angular momentum to be transported outward, allowing matter to fall farther inward, thus releasing potential energy and increasing the temperature of the gas.
When the accreting object is a neutron star or a black hole, the gas in the inner accretion disk orbits at very high speeds because of its proximity to the compact object. The resulting friction is so significant that it heats the inner disk to temperatures at which it emits vast amounts of electromagnetic radiation (mainly X-rays). These bright X-ray sources may be detected by telescopes. This process of accretion is one of the most efficient energy-producing processes known; up to 40% of the rest mass of the accreted material can be emitted as radiation. (In nuclear fusion only about 0.7% of the rest mass will be emitted as energy.) In many cases, accretion disks are accompanied by relativistic jets that are emitted along the poles, which carry away much of the energy. The mechanism for the creation of these jets is currently not well understood, in part due to insufficient data.
As such, many of the universe's more energetic phenomena have been attributed to the accretion of matter on black holes. In particular, active galactic nuclei and quasars are believed to be the accretion disks of supermassive black holes. Similarly, X-ray binaries are generally accepted to be binary star systems in which one of the two stars is a compact object accreting matter from its companion. It has also been suggested that some ultraluminous X-ray sources may be the accretion disks of intermediate-mass black holes.
In November 2011 the first direct observation of a quasar accretion disk around a supermassive black hole was reported.
X-ray binaries
X-ray binaries are binary star systems that emit a majority of their radiation in the X-ray part of the spectrum. These X-ray emissions are generally thought to result when one of the stars (compact object) accretes matter from another (regular) star. The presence of an ordinary star in such a system provides an opportunity for studying the central object and to determine if it might be a black hole.
If such a system emits signals that can be directly traced back to the compact object, it cannot be a black hole. The absence of such a signal does, however, not exclude the possibility that the compact object is a neutron star. By studying the companion star it is often possible to obtain the orbital parameters of the system and to obtain an estimate for the mass of the compact object. If this is much larger than the Tolman–Oppenheimer–Volkoff limit (the maximum mass a star can have without collapsing) then the object cannot be a neutron star and is generally expected to be a black hole.
The first strong candidate for a black hole, Cygnus X-1, was discovered in this way by Charles Thomas Bolton, Louise Webster, and Paul Murdin in 1972. Some doubt, however, remained due to the uncertainties that result from the companion star being much heavier than the candidate black hole. Currently, better candidates for black holes are found in a class of X-ray binaries called soft X-ray transients. In this class of system, the companion star is of relatively low mass allowing for more accurate estimates of the black hole mass. Moreover, these systems actively emit X-rays for only several months once every 10–50 years. During the period of low X-ray emission (called quiescence), the accretion disk is extremely faint allowing detailed observation of the companion star during this period. One of the best such candidates is V404 Cygni.
Quasi-periodic oscillations
The X-ray emissions from accretion disks sometimes flicker at certain frequencies. These signals are called quasi-periodic oscillations and are thought to be caused by material moving along the inner edge of the accretion disk (the innermost stable circular orbit). As such their frequency is linked to the mass of the compact object. They can thus be used as an alternative way to determine the mass of candidate black holes.
Galactic nuclei
Astronomers use the term "active galaxy" to describe galaxies with unusual characteristics, such as unusual spectral line emission and very strong radio emission. Theoretical and observational studies have shown that the activity in these active galactic nuclei (AGN) may be explained by the presence of supermassive black holes, which can be millions of times more massive than stellar ones. The models of these AGN consist of a central black hole that may be millions or billions of times more massive than the Sun; a disk of interstellar gas and dust called an accretion disk; and two jets perpendicular to the accretion disk.
Although supermassive black holes are expected to be found in most AGN, only some galaxies' nuclei have been more carefully studied in attempts to both identify and measure the actual masses of the central supermassive black hole candidates. Some of the most notable galaxies with supermassive black hole candidates include the Andromeda Galaxy, M32, M87, NGC 3115, NGC 3377, NGC 4258, NGC 4889, NGC 1277, OJ 287, APM 08279+5255 and the Sombrero Galaxy.
It is now widely accepted that the centre of nearly every galaxy, not just active ones, contains a supermassive black hole. The close observational correlation between the mass of this hole and the velocity dispersion of the host galaxy's bulge, known as the M–sigma relation, strongly suggests a connection between the formation of the black hole and that of the galaxy itself.
Microlensing
Another way the black hole nature of an object may be tested is through observation of effects caused by a strong gravitational field in their vicinity. One such effect is gravitational lensing: The deformation of spacetime around a massive object causes light rays to be deflected, such as light passing through an optic lens. Observations have been made of weak gravitational lensing, in which light rays are deflected by only a few arcseconds. Microlensing occurs when the sources are unresolved and the observer sees a small brightening. In January 2022, astronomers reported the first possible detection of a microlensing event from an isolated black hole.
Another possibility for observing gravitational lensing by a black hole would be to observe stars orbiting the black hole. There are several candidates for such an observation in orbit around Sagittarius A*.
Alternatives
The evidence for stellar black holes strongly relies on the existence of an upper limit for the mass of a neutron star. The size of this limit heavily depends on the assumptions made about the properties of dense matter. New exotic phases of matter could push up this bound. A phase of free quarks at high density might allow the existence of dense quark stars, and some supersymmetric models predict the existence of Q stars. Some extensions of the standard model posit the existence of preons as fundamental building blocks of quarks and leptons, which could hypothetically form preon stars. These hypothetical models could potentially explain a number of observations of stellar black hole candidates. However, it can be shown from arguments in general relativity that any such object will have a maximum mass.
Since the average density of a black hole inside its Schwarzschild radius is inversely proportional to the square of its mass, supermassive black holes are much less dense than stellar black holes (the average density of a black hole is comparable to that of water). Consequently, the physics of matter forming a supermassive black hole is much better understood and the possible alternative explanations for supermassive black hole observations are much more mundane. For example, a supermassive black hole could be modelled by a large cluster of very dark objects. However, such alternatives are typically not stable enough to explain the supermassive black hole candidates.
The evidence for the existence of stellar and supermassive black holes implies that in order for black holes to not form, general relativity must fail as a theory of gravity, perhaps due to the onset of quantum mechanical corrections. A much anticipated feature of a theory of quantum gravity is that it will not feature singularities or event horizons and thus black holes would not be real artifacts. For example, in the fuzzball model based on string theory, the individual states of a black hole solution do not generally have an event horizon or singularity, but for a classical/semi-classical observer the statistical average of such states appears just as an ordinary black hole as deduced from general relativity.
A few theoretical objects have been conjectured to match observations of astronomical black hole candidates identically or near-identically, but which function via a different mechanism. These include the gravastar, the black star, and the dark-energy star.
Open questions
Entropy and thermodynamics
In 1971, Hawking showed under general conditions that the total area of the event horizons of any collection of classical black holes can never decrease, even if they collide and merge. This result, now known as the second law of black hole mechanics, is remarkably similar to the second law of thermodynamics, which states that the total entropy of an isolated system can never decrease. As with classical objects at absolute zero temperature, it was assumed that black holes had zero entropy. If this were the case, the second law of thermodynamics would be violated by entropy-laden matter entering a black hole, resulting in a decrease in the total entropy of the universe. Therefore, Bekenstein proposed that a black hole should have an entropy, and that it should be proportional to its horizon area.
The link with the laws of thermodynamics was further strengthened by Hawking's discovery in 1974 that quantum field theory predicts that a black hole radiates blackbody radiation at a constant temperature. This seemingly causes a violation of the second law of black hole mechanics, since the radiation will carry away energy from the black hole causing it to shrink. The radiation, however also carries away entropy, and it can be proven under general assumptions that the sum of the entropy of the matter surrounding a black hole and one quarter of the area of the horizon as measured in Planck units is in fact always increasing. This allows the formulation of the first law of black hole mechanics as an analogue of the first law of thermodynamics, with the mass acting as energy, the surface gravity as temperature and the area as entropy.
One puzzling feature is that the entropy of a black hole scales with its area rather than with its volume, since entropy is normally an extensive quantity that scales linearly with the volume of the system. This odd property led Gerard 't Hooft and Leonard Susskind to propose the holographic principle, which suggests that anything that happens in a volume of spacetime can be described by data on the boundary of that volume.
Although general relativity can be used to perform a semi-classical calculation of black hole entropy, this situation is theoretically unsatisfying. In statistical mechanics, entropy is understood as counting the number of microscopic configurations of a system that have the same macroscopic qualities (such as mass, charge, pressure, etc.). Without a satisfactory theory of quantum gravity, one cannot perform such a computation for black holes. Some progress has been made in various approaches to quantum gravity. In 1995, Andrew Strominger and Cumrun Vafa showed that counting the microstates of a specific supersymmetric black hole in string theory reproduced the Bekenstein–Hawking entropy. Since then, similar results have been reported for different black holes both in string theory and in other approaches to quantum gravity like loop quantum gravity.
Another promising approach is constituted by treating gravity as an effective field theory. One first computes the quantum gravitational corrections to the radius of the event horizon of the black hole, then integrates over it to find the quantum gravitational corrections to the entropy as given by the Wald formula. The method was applied for Schwarzschild black holes by Calmet and Kuipers, then successfully generalised for charged black holes by Campos Delgado.
Information loss paradox
Because a black hole has only a few internal parameters, most of the information about the matter that went into forming the black hole is lost. Regardless of the type of matter which goes into a black hole, it appears that only information concerning the total mass, charge, and angular momentum are conserved. As long as black holes were thought to persist forever this information loss is not that problematic, as the information can be thought of as existing inside the black hole, inaccessible from the outside, but represented on the event horizon in accordance with the holographic principle. However, black holes slowly evaporate by emitting Hawking radiation. This radiation does not appear to carry any additional information about the matter that formed the black hole, meaning that this information appears to be gone forever.
The question whether information is truly lost in black holes (the black hole information paradox) has divided the theoretical physics community. In quantum mechanics, loss of information corresponds to the violation of a property called unitarity, and it has been argued that loss of unitarity would also imply violation of conservation of energy, though this has also been disputed. Over recent years evidence has been building that indeed information and unitarity are preserved in a full quantum gravitational treatment of the problem.
One attempt to resolve the black hole information paradox is known as black hole complementarity. In 2012, the "firewall paradox" was introduced with the goal of demonstrating that black hole complementarity fails to solve the information paradox. According to quantum field theory in curved spacetime, a single emission of Hawking radiation involves two mutually entangled particles. The outgoing particle escapes and is emitted as a quantum of Hawking radiation; the infalling particle is swallowed by the black hole. Assume a black hole formed a finite time in the past and will fully evaporate away in some finite time in the future. Then, it will emit only a finite amount of information encoded within its Hawking radiation. According to research by physicists like Don Page and Leonard Susskind, there will eventually be a time by which an outgoing particle must be entangled with all the Hawking radiation the black hole has previously emitted. This seemingly creates a paradox: a principle called "monogamy of entanglement" requires that, like any quantum system, the outgoing particle cannot be fully entangled with two other systems at the same time; yet here the outgoing particle appears to be entangled both with the infalling particle and, independently, with past Hawking radiation. In order to resolve this contradiction, physicists may eventually be forced to give up one of three time-tested principles: Einstein's equivalence principle, unitarity, or local quantum field theory. One possible solution, which violates the equivalence principle, is that a "firewall" destroys incoming particles at the event horizon. In general, which—if any—of these assumptions should be abandoned remains a topic of debate.
See also
Binary black hole
Black brane or Black string
Black Hole Initiative
Black hole starship
Black holes in fiction
Blanet
BTZ black hole
Charged black hole
Direct collapse black hole
Hypothetical black hole (disambiguation)
Kugelblitz (astrophysics)
List of black holes
List of nearest black holes
Outline of black holes
Sonic black hole
Virtual black hole
Susskind-Hawking battle
Timeline of black hole physics
White hole
Planck star
Dark star (dark matter)
Schwarzschild radius
Notes
References
Further reading
Popular reading
University textbooks and monographs
, the lecture notes on which the book was based are available for free from Sean Carroll's website .
Review papers
Lecture notes from 2005 SLAC Summer Institute.
External links
Stanford Encyclopedia of Philosophy: "Singularities and Black Holes" by Erik Curiel and Peter Bokulich.
Black Holes: Gravity's Relentless Pull – Interactive multimedia Web site about the physics and astronomy of black holes from the Space Telescope Science Institute (HubbleSite)
ESA's Black Hole Visualization
Frequently Asked Questions (FAQs) on Black Holes
Schwarzschild Geometry
Black holes - basic (NYT; April 2021)
Videos
16-year-long study tracks stars orbiting Sagittarius A*
Movie of Black Hole Candidate from Max Planck Institute
Computer visualisation of the signal detected by LIGO
Two Black Holes Merge into One (based upon the signal GW150914)
Galaxies
Theory of relativity
Concepts in astronomy
Articles containing video clips | 8 |
In nuclear physics, beta decay (β-decay) is a type of radioactive decay in which an atomic nucleus emits a beta particle (fast energetic electron or positron), transforming into an isobar of that nuclide. For example, beta decay of a neutron transforms it into a proton by the emission of an electron accompanied by an antineutrino; or, conversely a proton is converted into a neutron by the emission of a positron with a neutrino in so-called positron emission. Neither the beta particle nor its associated (anti-)neutrino exist within the nucleus prior to beta decay, but are created in the decay process. By this process, unstable atoms obtain a more stable ratio of protons to neutrons. The probability of a nuclide decaying due to beta and other forms of decay is determined by its nuclear binding energy. The binding energies of all existing nuclides form what is called the nuclear band or valley of stability. For either electron or positron emission to be energetically possible, the energy release (see below) or Q value must be positive.
Beta decay is a consequence of the weak force, which is characterized by relatively lengthy decay times. Nucleons are composed of up quarks and down quarks, and the weak force allows a quark to change its flavour by emission of a W boson leading to creation of an electron/antineutrino or positron/neutrino pair. For example, a neutron, composed of two down quarks and an up quark, decays to a proton composed of a down quark and two up quarks.
Electron capture is sometimes included as a type of beta decay, because the basic nuclear process, mediated by the weak force, is the same. In electron capture, an inner atomic electron is captured by a proton in the nucleus, transforming it into a neutron, and an electron neutrino is released.
Description
The two types of beta decay are known as beta minus and beta plus. In beta minus (β−) decay, a neutron is converted to a proton, and the process creates an electron and an electron antineutrino; while in beta plus (β+) decay, a proton is converted to a neutron and the process creates a positron and an electron neutrino. β+ decay is also known as positron emission.
Beta decay conserves a quantum number known as the lepton number, or the number of electrons and their associated neutrinos (other leptons are the muon and tau particles). These particles have lepton number +1, while their antiparticles have lepton number −1. Since a proton or neutron has lepton number zero, β+ decay (a positron, or antielectron) must be accompanied with an electron neutrino, while β− decay (an electron) must be accompanied by an electron antineutrino.
An example of electron emission (β− decay) is the decay of carbon-14 into nitrogen-14 with a half-life of about 5,730 years:
→ + +
In this form of decay, the original element becomes a new chemical element in a process known as nuclear transmutation. This new element has an unchanged mass number , but an atomic number that is increased by one. As in all nuclear decays, the decaying element (in this case ) is known as the parent nuclide while the resulting element (in this case ) is known as the daughter nuclide.
Another example is the decay of hydrogen-3 (tritium) into helium-3 with a half-life of about 12.3 years:
→ + +
An example of positron emission (β+ decay) is the decay of magnesium-23 into sodium-23 with a half-life of about 11.3 s:
→ + +
β+ decay also results in nuclear transmutation, with the resulting element having an atomic number that is decreased by one.
The beta spectrum, or distribution of energy values for the beta particles, is continuous. The total energy of the decay process is divided between the electron, the antineutrino, and the recoiling nuclide. In the figure to the right, an example of an electron with 0.40 MeV energy from the beta decay of 210Bi is shown. In this example, the total decay energy is 1.16 MeV, so the antineutrino has the remaining energy: . An electron at the far right of the curve would have the maximum possible kinetic energy, leaving the energy of the neutrino to be only its small rest mass.
History
Discovery and initial characterization
Radioactivity was discovered in 1896 by Henri Becquerel in uranium, and subsequently observed by Marie and Pierre Curie in thorium and in the new elements polonium and radium. In 1899, Ernest Rutherford separated radioactive emissions into two types: alpha and beta (now beta minus), based on penetration of objects and ability to cause ionization. Alpha rays could be stopped by thin sheets of paper or aluminium, whereas beta rays could penetrate several millimetres of aluminium. In 1900, Paul Villard identified a still more penetrating type of radiation, which Rutherford identified as a fundamentally new type in 1903 and termed gamma rays. Alpha, beta, and gamma are the first three letters of the Greek alphabet.
In 1900, Becquerel measured the mass-to-charge ratio () for beta particles by the method of J.J. Thomson used to study cathode rays and identify the electron. He found that for a beta particle is the same as for Thomson's electron, and therefore suggested that the beta particle is in fact an electron.
In 1901, Rutherford and Frederick Soddy showed that alpha and beta radioactivity involves the transmutation of atoms into atoms of other chemical elements. In 1913, after the products of more radioactive decays were known, Soddy and Kazimierz Fajans independently proposed their radioactive displacement law, which states that beta (i.e., ) emission from one element produces another element one place to the right in the periodic table, while alpha emission produces an element two places to the left.
Neutrinos
The study of beta decay provided the first physical evidence for the existence of the neutrino. In both alpha and gamma decay, the resulting alpha or gamma particle has a narrow energy distribution, since the particle carries the energy from the difference between the initial and final nuclear states. However, the kinetic energy distribution, or spectrum, of beta particles measured by Lise Meitner and Otto Hahn in 1911 and by Jean Danysz in 1913 showed multiple lines on a diffuse background. These measurements offered the first hint that beta particles have a continuous spectrum. In 1914, James Chadwick used a magnetic spectrometer with one of Hans Geiger's new counters to make more accurate measurements which showed that the spectrum was continuous. The distribution of beta particle energies was in apparent contradiction to the law of conservation of energy. If beta decay were simply electron emission as assumed at the time, then the energy of the emitted electron should have a particular, well-defined value. For beta decay, however, the observed broad distribution of energies suggested that energy is lost in the beta decay process. This spectrum was puzzling for many years.
A second problem is related to the conservation of angular momentum. Molecular band spectra showed that the nuclear spin of nitrogen-14 is 1 (i.e., equal to the reduced Planck constant) and more generally that the spin is integral for nuclei of even mass number and half-integral for nuclei of odd mass number. This was later explained by the proton-neutron model of the nucleus. Beta decay leaves the mass number unchanged, so the change of nuclear spin must be an integer. However, the electron spin is 1/2, hence angular momentum would not be conserved if beta decay were simply electron emission.
From 1920 to 1927, Charles Drummond Ellis (along with Chadwick and colleagues) further established that the beta decay spectrum is continuous. In 1933, Ellis and Nevill Mott obtained strong evidence that the beta spectrum has an effective upper bound in energy. Niels Bohr had suggested that the beta spectrum could be explained if conservation of energy was true only in a statistical sense, thus this principle might be violated in any given decay. However, the upper bound in beta energies determined by Ellis and Mott ruled out that notion. Now, the problem of how to account for the variability of energy in known beta decay products, as well as for conservation of momentum and angular momentum in the process, became acute.
In a famous letter written in 1930, Wolfgang Pauli attempted to resolve the beta-particle energy conundrum by suggesting that, in addition to electrons and protons, atomic nuclei also contained an extremely light neutral particle, which he called the neutron. He suggested that this "neutron" was also emitted during beta decay (thus accounting for the known missing energy, momentum, and angular momentum), but it had simply not yet been observed. In 1931, Enrico Fermi renamed Pauli's "neutron" the "neutrino" ('little neutral one' in Italian). In 1933, Fermi published his landmark theory for beta decay, where he applied the principles of quantum mechanics to matter particles, supposing that they can be created and annihilated, just as the light quanta in atomic transitions. Thus, according to Fermi, neutrinos are created in the beta-decay process, rather than contained in the nucleus; the same happens to electrons. The neutrino interaction with matter was so weak that detecting it proved a severe experimental challenge. Further indirect evidence of the existence of the neutrino was obtained by observing the recoil of nuclei that emitted such a particle after absorbing an electron. Neutrinos were finally detected directly in 1956 by the American physicists Clyde Cowan and Frederick Reines in the Cowan–Reines neutrino experiment. The properties of neutrinos were (with a few minor modifications) as predicted by Pauli and Fermi.
decay and electron capture
In 1934, Frédéric and Irène Joliot-Curie bombarded aluminium with alpha particles to effect the nuclear reaction + → + , and observed that the product isotope emits a positron identical to those found in cosmic rays (discovered by Carl David Anderson in 1932). This was the first example of decay (positron emission), which they termed artificial radioactivity since is a short-lived nuclide which does not exist in nature. In recognition of their discovery the couple were awarded the Nobel Prize in Chemistry in 1935.
The theory of electron capture was first discussed by Gian-Carlo Wick in a 1934 paper, and then developed by Hideki Yukawa and others. K-electron capture was first observed in 1937 by Luis Alvarez, in the nuclide 48V. Alvarez went on to study electron capture in 67Ga and other nuclides.
Non-conservation of parity
In 1956, Tsung-Dao Lee and Chen Ning Yang noticed that there was no evidence that parity was conserved in weak interactions, and so they postulated that this symmetry may not be preserved by the weak force. They sketched the design for an experiment for testing conservation of parity in the laboratory. Later that year, Chien-Shiung Wu and coworkers conducted the Wu experiment showing an asymmetrical beta decay of at cold temperatures that proved that parity is not conserved in beta decay. This surprising result overturned long-held assumptions about parity and the weak force. In recognition of their theoretical work, Lee and Yang were awarded the Nobel Prize for Physics in 1957. However Wu, who was female, was not awarded the Nobel prize.
β− decay
In decay, the weak interaction converts an atomic nucleus into a nucleus with atomic number increased by one, while emitting an electron () and an electron antineutrino (). decay generally occurs in neutron-rich nuclei. The generic equation is:
→ + +
where and are the mass number and atomic number of the decaying nucleus, and X and X′ are the initial and final elements, respectively.
Another example is when the free neutron () decays by decay into a proton ():
→ + + .
At the fundamental level (as depicted in the Feynman diagram on the right), this is caused by the conversion of the negatively charged () down quark to the positively charged () up quark by emission of a boson; the boson subsequently decays into an electron and an electron antineutrino:
→ + + .
β+ decay
In decay, or positron emission, the weak interaction converts an atomic nucleus into a nucleus with atomic number decreased by one, while emitting a positron () and an electron neutrino (). decay generally occurs in proton-rich nuclei. The generic equation is:
→ + +
This may be considered as the decay of a proton inside the nucleus to a neutron:
p → n + +
However, decay cannot occur in an isolated proton because it requires energy, due to the mass of the neutron being greater than the mass of the proton. decay can only happen inside nuclei when the daughter nucleus has a greater binding energy (and therefore a lower total energy) than the mother nucleus. The difference between these energies goes into the reaction of converting a proton into a neutron, a positron, and a neutrino and into the kinetic energy of these particles. This process is opposite to negative beta decay, in that the weak interaction converts a proton into a neutron by converting an up quark into a down quark resulting in the emission of a or the absorption of a . When a boson is emitted, it decays into a positron and an electron neutrino:
→ + + .
Electron capture (K-capture)
In all cases where decay (positron emission) of a nucleus is allowed energetically, so too is electron capture allowed. This is a process during which a nucleus captures one of its atomic electrons, resulting in the emission of a neutrino:
+ → +
An example of electron capture is one of the decay modes of krypton-81 into bromine-81:
+ → +
All emitted neutrinos are of the same energy. In proton-rich nuclei where the energy difference between the initial and final states is less than , decay is not energetically possible, and electron capture is the sole decay mode.
If the captured electron comes from the innermost shell of the atom, the K-shell, which has the highest probability to interact with the nucleus, the process is called K-capture. If it comes from the L-shell, the process is called L-capture, etc.
Electron capture is a competing (simultaneous) decay process for all nuclei that can undergo β+ decay. The converse, however, is not true: electron capture is the only type of decay that is allowed in proton-rich nuclides that do not have sufficient energy to emit a positron and neutrino.
Nuclear transmutation
If the proton and neutron are part of an atomic nucleus, the above described decay processes transmute one chemical element into another. For example:
:{|border="0"
|- style="height:2em;"
| || || ||→ || ||+ || ||+ || ||(beta minus decay)
|- style="height:2em;"
| || || ||→ || ||+ || ||+ || ||(beta plus decay)
|- style="height:2em;"
| ||+ || ||→ || ||+ || || || ||(electron capture)
|}
Beta decay does not change the number () of nucleons in the nucleus, but changes only its charge . Thus the set of all nuclides with the same can be introduced; these isobaric nuclides may turn into each other via beta decay. For a given there is one that is most stable. It is said to be beta stable, because it presents a local minimum of the mass excess: if such a nucleus has numbers, the neighbour nuclei and have higher mass excess and can beta decay into , but not vice versa. For all odd mass numbers , there is only one known beta-stable isobar. For even , there are up to three different beta-stable isobars experimentally known; for example, , , and are all beta-stable. There are about 350 known beta-decay stable nuclides.
Competition of beta decay types
Usually unstable nuclides are clearly either "neutron rich" or "proton rich", with the former undergoing beta decay and the latter undergoing electron capture (or more rarely, due to the higher energy requirements, positron decay). However, in a few cases of odd-proton, odd-neutron radionuclides, it may be energetically favorable for the radionuclide to decay to an even-proton, even-neutron isobar either by undergoing beta-positive or beta-negative decay. An often-cited example is the single isotope (29 protons, 35 neutrons), which illustrates three types of beta decay in competition. Copper-64 has a half-life of about 12.7 hours. This isotope has one unpaired proton and one unpaired neutron, so either the proton or the neutron can decay. This particular nuclide (though not all nuclides in this situation) is almost equally likely to decay through proton decay by positron emission () or electron capture () to , as it is through neutron decay by electron emission () to .
Stability of naturally occurring nuclides
Most naturally occurring nuclides on earth are beta stable. Nuclides that are not beta stable have half-lives ranging from under a second to periods of time significantly greater than the age of the universe. One common example of a long-lived isotope is the odd-proton odd-neutron nuclide , which undergoes all three types of beta decay (, and electron capture) with a half-life of .
Conservation rules for beta decay
Baryon number is conserved
where
is the number of constituent quarks, and
is the number of constituent antiquarks.
Beta decay just changes neutron to proton or, in the case of positive beta decay (electron capture) proton to neutron so the number of individual quarks doesn't change. It is only the baryon flavor that changes, here labelled as the isospin.
Up and down quarks have total isospin and isospin projections
All other quarks have .
In general
Lepton number is conserved
so all leptons have assigned a value of +1, antileptons −1, and non-leptonic particles 0.
Angular momentum
For allowed decays, the net orbital angular momentum is zero, hence only spin quantum numbers are considered.
The electron and antineutrino are fermions, spin-1/2 objects, therefore they may couple to total (parallel) or (anti-parallel).
For forbidden decays, orbital angular momentum must also be taken into consideration.
Energy release
The value is defined as the total energy released in a given nuclear decay. In beta decay, is therefore also the sum of the kinetic energies of the emitted beta particle, neutrino, and recoiling nucleus. (Because of the large mass of the nucleus compared to that of the beta particle and neutrino, the kinetic energy of the recoiling nucleus can generally be neglected.) Beta particles can therefore be emitted with any kinetic energy ranging from 0 to . A typical is around 1 MeV, but can range from a few keV to a few tens of MeV.
Since the rest mass of the electron is 511 keV, the most energetic beta particles are ultrarelativistic, with speeds very close to the speed of light.
In the case of Re, the maximum speed of the beta particle is only 9.8% of the speed of light.
The following table gives some examples:
β− decay
Consider the generic equation for beta decay
→ + + .
The value for this decay is
,
where is the mass of the nucleus of the atom, is the mass of the electron, and is the mass of the electron antineutrino. In other words, the total energy released is the mass energy of the initial nucleus, minus the mass energy of the final nucleus, electron, and antineutrino. The mass of the nucleus is related to the standard atomic mass by
That is, the total atomic mass is the mass of the nucleus, plus the mass of the electrons, minus the sum of all electron binding energies for the atom. This equation is rearranged to find , and is found similarly. Substituting these nuclear masses into the -value equation, while neglecting the nearly-zero antineutrino mass and the difference in electron binding energies, which is very small for high- atoms, we have
This energy is carried away as kinetic energy by the electron and antineutrino.
Because the reaction will proceed only when the value is positive, β− decay can occur when the mass of atom is greater than the mass of atom .
β+ decay
The equations for β+ decay are similar, with the generic equation
→ + +
giving
However, in this equation, the electron masses do not cancel, and we are left with
Because the reaction will proceed only when the value is positive, β+ decay can occur when the mass of atom exceeds that of by at least twice the mass of the electron.
Electron capture
The analogous calculation for electron capture must take into account the binding energy of the electrons. This is because the atom will be left in an excited state after capturing the electron, and the binding energy of the captured innermost electron is significant. Using the generic equation for electron capture
+ → +
we have
which simplifies to
where is the binding energy of the captured electron.
Because the binding energy of the electron is much less than the mass of the electron, nuclei that can undergo β+ decay can always also undergo electron capture, but the reverse is not true.
Beta emission spectrum
Beta decay can be considered as a perturbation as described in quantum mechanics, and thus Fermi's Golden Rule can be applied. This leads to an expression for the kinetic energy spectrum of emitted betas as follows:
where is the kinetic energy, is a shape function that depends on the forbiddenness of the decay (it is constant for allowed decays), is the Fermi Function (see below) with Z the charge of the final-state nucleus, is the total energy, is the momentum, and is the Q value of the decay. The kinetic energy of the emitted neutrino is given approximately by minus the kinetic energy of the beta.
As an example, the beta decay spectrum of 210Bi (originally called RaE) is shown to the right.
Fermi function
The Fermi function that appears in the beta spectrum formula accounts for the Coulomb attraction / repulsion between the emitted beta and the final state nucleus. Approximating the associated wavefunctions to be spherically symmetric, the Fermi function can be analytically calculated to be:
where is the final momentum, Γ the Gamma function, and (if is the fine-structure constant and the radius of the final state nucleus) , (+ for electrons, − for positrons), and .
For non-relativistic betas (), this expression can be approximated by:
Other approximations can be found in the literature.
Kurie plot
A Kurie plot (also known as a Fermi–Kurie plot) is a graph used in studying beta decay developed by Franz N. D. Kurie, in which the square root of the number of beta particles whose momenta (or energy) lie within a certain narrow range, divided by the Fermi function, is plotted against beta-particle energy. It is a straight line for allowed transitions and some forbidden transitions, in accord with the Fermi beta-decay theory. The energy-axis (x-axis) intercept of a Kurie plot corresponds to the maximum energy imparted to the electron/positron (the decay's value). With a Kurie plot one can find the limit on the effective mass of a neutrino.
Helicity (polarization) of neutrinos, electrons and positrons emitted in beta decay
After the discovery of parity non-conservation (see History), it was found that, in beta decay, electrons are emitted mostly with negative helicity, i.e., they move, naively speaking, like left-handed screws driven into a material (they have negative longitudinal polarization). Conversely, positrons have mostly positive helicity, i.e., they move like right-handed screws. Neutrinos (emitted in positron decay) have negative helicity, while antineutrinos (emitted in electron decay) have positive helicity.
The higher the energy of the particles, the higher their polarization.
Types of beta decay transitions
Beta decays can be classified according to the angular momentum ( value) and total spin ( value) of the emitted radiation. Since total angular momentum must be conserved, including orbital and spin angular momentum, beta decay occurs by a variety of quantum state transitions to various nuclear angular momentum or spin states, known as "Fermi" or "Gamow–Teller" transitions. When beta decay particles carry no angular momentum (), the decay is referred to as "allowed", otherwise it is "forbidden".
Other decay modes, which are rare, are known as bound state decay and double beta decay.
Fermi transitions
A Fermi transition is a beta decay in which the spins of the emitted electron (positron) and anti-neutrino (neutrino) couple to total spin , leading to an angular momentum change between the initial and final states of the nucleus (assuming an allowed transition). In the non-relativistic limit, the nuclear part of the operator for a Fermi transition is given by
with the weak vector coupling constant, the isospin raising and lowering operators, and running over all protons and neutrons in the nucleus.
Gamow–Teller transitions
A Gamow–Teller transition is a beta decay in which the spins of the emitted electron (positron) and anti-neutrino (neutrino) couple to total spin , leading to an angular momentum change between the initial and final states of the nucleus (assuming an allowed transition).
In this case, the nuclear part of the operator is given by
with the weak axial-vector coupling constant, and the spin Pauli matrices, which can produce a spin-flip in the decaying nucleon.
Forbidden transitions
When , the decay is referred to as "forbidden". Nuclear selection rules require high values to be accompanied by changes in nuclear spin () and parity (). The selection rules for the th forbidden transitions are:
where corresponds to no parity change or parity change, respectively. The special case of a transition between isobaric analogue states, where the structure of the final state is very similar to the structure of the initial state, is referred to as "superallowed" for beta decay, and proceeds very quickly. The following table lists the Δ and Δ values for the first few values of :
Rare decay modes
Bound-state β− decay
A very small minority of free neutron decays (about four per million) are so-called "two-body decays", in which the proton, electron and antineutrino are produced, but the electron fails to gain the 13.6 eV energy necessary to escape the proton, and therefore simply remains bound to it, as a neutral hydrogen atom. In this type of beta decay, in essence all of the neutron decay energy is carried off by the antineutrino.
For fully ionized atoms (bare nuclei), it is possible in likewise manner for electrons to fail to escape the atom, and to be emitted from the nucleus into low-lying atomic bound states (orbitals). This cannot occur for neutral atoms with low-lying bound states which are already filled by electrons.
Bound-state β decays were predicted by Daudel, Jean, and Lecoin in 1947, and the phenomenon in fully ionized atoms was first observed for 163Dy66+ in 1992 by Jung et al. of the Darmstadt Heavy-Ion Research Center. Although neutral is a stable isotope, the fully ionized 163Dy66+ undergoes β decay into the K and L shells with a half-life of 47 days. The resulting nucleus - - is stable only in the fully ionized state and will decay via electron capture into in the neutral state. The half life for neutral is 4750 years.
Another possibility is that a fully ionized atom undergoes greatly accelerated β decay, as observed for 187Re by Bosch et al., also at Darmstadt. Neutral 187Re does undergo β decay with a half-life of years, but for fully ionized 187Re75+ this is shortened to only 32.9 years. For comparison the variation of decay rates of other nuclear processes due to chemical environment is less than 1%. Due to the difference in the price of rhenium and osmium and the high share of in rhenium samples found on earth, this could some day be of commercial interest in the synthesis of precious metals.
Double beta decay
Some nuclei can undergo double beta decay (ββ decay) where the charge of the nucleus changes by two units. Double beta decay is difficult to study, as the process has an extremely long half-life. In nuclei for which both β decay and ββ decay are possible, the rarer ββ decay process is effectively impossible to observe. However, in nuclei where β decay is forbidden but ββ decay is allowed, the process can be seen and a half-life measured. Thus, ββ decay is usually studied only for beta stable nuclei. Like single beta decay, double beta decay does not change ; thus, at least one of the nuclides with some given has to be stable with regard to both single and double beta decay.
"Ordinary" double beta decay results in the emission of two electrons and two antineutrinos. If neutrinos are Majorana particles (i.e., they are their own antiparticles), then a decay known as neutrinoless double beta decay will occur. Most neutrino physicists believe that neutrinoless double beta decay has never been observed.
See also
Common beta emitters
Neutrino
Betavoltaics
Particle radiation
Radionuclide
Tritium illumination, a form of fluorescent lighting powered by beta decay
Pandemonium effect
Total absorption spectroscopy
References
Bibliography
External links
The Live Chart of Nuclides - IAEA with filter on decay type
Beta decay simulation
Nuclear physics
Radioactivity | 5 |
Blitzkrieg ( , ; from 'lightning' + 'war') or Bewegungskrieg is a word used to describe a combined arms surprise attack using a rapid, overwhelming force concentration that may consist of armored and motorized or mechanized infantry formations, together with artillery, air assault and close air support, with intent to break through the opponent's lines of defense, dislocate the defenders, unbalance the enemies by making it difficult to respond to the continuously-changing front, and defeat them in a decisive : a battle of annihilation.
During the interwar period, aircraft and tank technologies matured and were combined with systematic application of the traditional German tactic of (maneuver warfare), deep penetrations and the bypassing of enemy strong points to encircle and destroy enemy forces in a (cauldron battle/battle of encirclement). During the invasion of Poland, Western journalists adopted the term blitzkrieg to describe that form of armored warfare. The term had appeared in 1935, in a German military periodical ("German Defence"), in connection to quick or lightning warfare.
German maneuver operations were successful in the campaigns of 1939–1941, and by 1940, the term blitzkrieg was extensively used in Western media. Blitzkrieg operations capitalised on surprise penetrations such as that of the Ardennes forest region, the general Allies' unreadiness and their inability to match the pace of the German attack. During the Battle of France, the French made attempts to reform defensive lines along rivers but were frustrated when German forces arrived first and pressed on.
Despite being common in German and English-language journalism during World War II, the word was never used by the Wehrmacht as an official military term except for propaganda. According to David Reynolds, "Hitler himself called the term Blitzkrieg 'A completely idiotic word' ()". Some senior officers, including Kurt Student, Franz Halder and Johann Adolf von Kielmansegg, even disputed the idea that it was a military concept. Kielmansegg asserted that what many regarded as blitzkrieg was nothing more than "ad hoc solutions that simply popped out of the prevailing situation". Student described it as ideas that "naturally emerged from the existing circumstances" as a response to operational challenges. The Wehrmacht never officially adopted it as a concept or doctrine.
In 2005, the historian Karl-Heinz Frieser summarized blitzkrieg as the result of German commanders using the latest technology in the most advantageous way according to traditional military principles and employing "the right units in the right place at the right time". Modern historians now understand blitzkrieg as the combination of the traditional German military principles, methods and doctrines of the 19th century with the military technology of the interwar period. Modern historians use the term casually as a generic description for the style of maneuver warfare practiced by Germany during the early part of World War II, rather than as an explanation. According to Frieser, in the context of the thinking of Heinz Guderian on mobile combined arms formations, blitzkrieg can be used as a synonym for modern maneuver warfare on the operational level.
In 2021, research demonstrated that the blitzkrieg strategy could be an effective military strategy in modern war given the right mix of terrain, enemy combat capabilities, level of air superiority and tactical nuclear capabilities.
Definition
Common interpretation
The traditional meaning of "blitzkrieg" is that of German tactical and operational methodology during the first half of the Second World War that is often hailed as a new method of warfare. The word, meaning "lightning war" or "lightning attack" in its strategic sense describes a series of quick and decisive short battles to deliver a knockout blow to an enemy state before it can fully mobilize. Tactically, blitzkrieg is a coordinated military effort by tanks, motorized infantry, artillery and aircraft, to create an overwhelming local superiority in combat power, to defeat the opponent and break through its defences. Blitzkrieg as used by Germany had considerable psychological or "terror" elements, such as the Jericho Trompete, a noise-making siren on the Junkers Ju 87 dive bomber, to affect the morale of enemy forces. The devices were largely removed when the enemy became used to the noise after the Battle of France in 1940, and instead, bombs sometimes had whistles attached. It is also common for historians and writers to include psychological warfare by using fifth columnists to spread rumours and lies among the civilian population in the theatre of operations.
Origin of term
The origin of the term blitzkrieg is obscure. It was never used in the title of a military doctrine or handbook of the German Army or Air Force, and no "coherent doctrine" or "unifying concept of blitzkrieg" existed, however German High Command mostly referred to the group of tactics as "Bewegungskrieg" (Manuever Warfare). The term seems to have been rarely used in the German military press before 1939, and recent research at the German Militärgeschichtliches Forschungsamt, at Potsdam, found it in only two military articles from the 1930s. Both used the term to mean a swift strategic knockout, rather than a radically new military doctrine or approach to war.
The first article (1935) dealt primarily with supplies of food and materiel in wartime. The term blitzkrieg was used in reference to German efforts to win a quick victory in the First World War but was not associated with the use of armored, mechanized or air forces. It argued that Germany must develop self-sufficiency in food because it might again prove impossible to deal a swift knockout to its enemies, which would lead to a long war.
In the second article (1938), launching a swift strategic knockout was described as an attractive idea for Germany but difficult to achieve on land under modern conditions (especially against systems of fortification like the Maginot Line) unless an exceptionally high degree of surprise could be achieved. The author vaguely suggested that a massive strategic air attack might hold out better prospects, but the topic was not explored in detail.
A third relatively early use of the term in German occurred in Die Deutsche Kriegsstärke (German War Strength) by Fritz Sternberg, a Jewish Marxist political economist and refugee from Nazi Germany, published in 1938 in Paris and in London as Germany and a Lightning War. Sternberg wrote that Germany was not prepared economically for a long war but might win a quick war ("Blitzkrieg"). He did not go into detail about tactics or suggest that the German armed forces had evolved a radically new operational method. His book offered scant clues as to how German lightning victories might be won.
In English and other languages, the term had been used since the 1920s. The term was first used in the publications of Ferdinand Otto Miksche, first in the magazine "Army Quarterly", and in his 1941 book Blitzkrieg, in which he defined the concept. In September 1939, Time magazine termed the German military action as a "war of quick penetration and obliteration – Blitzkrieg, lightning war". After the invasion of Poland, the British press commonly used the term to describe German successes in that campaign. J. P. Harris called the term "a piece of journalistic sensationalism – a buzz-word with which to label the spectacular early successes of the Germans in the Second World War". The word was later applied to the bombing of Britain, particularly London, hence "The Blitz".
The German popular press followed suit nine months later, after the Fall of France in 1940; thus, although the word had first been used in Germany, it was popularized by British journalism. Heinz Guderian referred to it as a word coined by the Allies: "as a result of the successes of our rapid campaigns our enemies ... coined the word Blitzkrieg". After the German failure in the Soviet Union in 1941, the use of the term began to be frowned upon in Nazi Germany, and Hitler then denied ever using the term and said in a speech in November 1941, "I have never used the word Blitzkrieg, because it is a very silly word". In early January 1942, Hitler dismissed it as "Italian phraseology".
Military evolution, 1919–1939
Germany
In 1914, German strategic thinking derived from the writings of Carl von Clausewitz (1 June 1780 – 16 November 1831), Helmuth von Moltke the Elder (26 October 1800 – 24 April 1891) and Alfred von Schlieffen (28 February 1833 – 4 January 1913), who advocated maneuver, mass and envelopment to create the conditions for a decisive battle (). During the war, officers such as Willy Rohr developed tactics to restore maneuver on the battlefield. Specialist light infantry (Stosstruppen, "storm troops") were to exploit weak spots to make gaps for larger infantry units to advance with heavier weapons, exploit the success and leave isolated strong points to the troops that were following up. Infiltration tactics were combined with short hurricane artillery bombardments, which used massed artillery. Devised by Colonel Georg Bruchmüller, the attacks relied on speed and surprise, rather than on weight of numbers. The tactics met with great success in Operation Michael, the German spring offensive of 1918 and restored temporarily the war of movement once the Allied trench system had been overrun. The German armies pushed on towards Amiens and then Paris and came within before supply deficiencies and Allied reinforcements halted the advance.
The historian James Corum criticised the German leadership for failing to understand the technical advances of the First World War, conducting no studies of the machine gun prior to the war and giving tank production the lowest priority during the war. After Germany's defeat, the Treaty of Versailles limited the Reichswehr to a maximum of 100,000 men, which prevented the deployment of mass armies. The German General Staff was abolished by the treaty but continued covertly as the Truppenamt (Troop Office) and was disguised as an administrative body. Committees of veteran staff officers were formed within the Truppenamt to evaluate 57 issues of the war to revise German operational theories. By the time of the Second World War, their reports had led to doctrinal and training publications, including H. Dv. 487, Führung und Gefecht der verbundenen Waffen ("Command and Battle of the Combined Arms)", known as Das Fug (1921–1923) and Truppenführung (1933–1934), containing standard procedures for combined-arms warfare. The Reichswehr was influenced by its analysis of pre-war German military thought, particularly infiltration tactics since at the end of the war, they had seen some breakthroughs on the Western Front and the maneuver warfare which dominated the Eastern Front.
On the Eastern Front, the war did not bog down into trench warfare since the German and the Russian Armies fought a war of maneuver over thousands of miles, which gave the German leadership unique experience that was unavailable to the trench-bound Western Allies. Studies of operations in the East led to the conclusion that small and coordinated forces possessed more combat power than large uncoordinated forces.
After the war, the Reichswehr expanded and improved infiltration tactics. The commander in chief, Hans von Seeckt, argued that there had been an excessive focus on encirclement and emphasised speed instead. Seeckt inspired a revision of Bewegungskrieg (maneuver warfare) thinking and its associated Auftragstaktik in which the commander expressed his goals to subordinates and gave them discretion in how to achieve them. The governing principle was "the higher the authority, the more general the orders were"; it was the responsibility of the lower echelons to fill in the details. Implementation of higher orders remained within limits that were determined by the training doctrine of an elite officer corps.
Delegation of authority to local commanders increased the tempo of operations, which had great influence on the success of German armies in the early war period. Seeckt, who believed in the Prussian tradition of mobility, developed the German army into a mobile force and advocated technical advances that would lead to a qualitative improvement of its forces and better coordination between motorized infantry, tanks, and planes.
Britain
The British Army took lessons from the successful infantry and artillery offensives on the Western Front in late 1918. To obtain the best co-operation between all arms, emphasis was placed on detailed planning, rigid control and adherence to orders. Mechanization of the army, as part of a combined-arms theory of war, was considered a means to avoid mass casualties and the indecisive nature of offensives. The four editions of Field Service Regulations that were published after 1918 held that only combined-arms operations could create enough fire power to enable mobility on a battlefield. That theory of war also emphasised consolidation and recommended caution against overconfidence and ruthless exploitation.
During the Sinai and Palestine campaign, operations involved some aspects of what would later be called blitzkrieg. The decisive Battle of Megiddo included concentration, surprise and speed. Success depended on attacking only in terrain favouring the movement of large formations around the battlefield and tactical improvements in the British artillery and infantry attack. General Edmund Allenby used infantry to attack the strong Ottoman front line in co-operation with supporting artillery, augmented by the guns of two destroyers. Through constant pressure by infantry and cavalry, two Ottoman armies in the Judean Hills were kept off-balance and virtually encircled during the Battles of Sharon and Nablus (Battle of Megiddo).
The British methods induced "strategic paralysis" among the Ottomans and led to their rapid and complete collapse. In an advance of , captures were estimated to be "at least prisoners and 260 guns". Liddell Hart considered that important aspects of the operation had been the extent to which Ottoman commanders were denied intelligence on the British preparations for the attack through British air superiority and air attacks on their headquarters and telephone exchanges, which paralyzed attempts to react to the rapidly-deteriorating situation.
France
Norman Stone detects early blitzkrieg operations in offensives by French Generals Charles Mangin and Marie-Eugène Debeney in 1918. However, French doctrine in the interwar years became defence-oriented. Colonel Charles de Gaulle advocated concentration of armor and airplanes. His opinions appeared in his 1934 book Vers l'Armée de métier ("Towards the Professional Army"). Like von Seeckt, de Gaulle concluded that France could no longer maintain the huge armies of conscripts and reservists that had fought the First World War, and he sought to use tanks, mechanized forces and aircraft to allow a smaller number of highly-trained soldiers to have greater impact in battle. His views endeared him little to the French high command but are claimed by some to have influenced Heinz Guderian.
Russia and Soviet Union
In 1916, General Alexei Brusilov had used surprise and infiltration tactics during the Brusilov Offensive. Later, Marshal Mikhail Tukhachevsky (1893-1937), (1898-1976) and other members of the Red Army developed a concept of deep battle from the experience of the Polish–Soviet War of 1919–1920. Those concepts would guide the Red Army doctrine throughout the Second World War. Realising the limitations of infantry and cavalry, Tukhachevsky advocated mechanized formations and the large-scale industrialisation that they required. Robert Watt (2008) wrote that blitzkrieg has little in common with Soviet deep battle. In 2002, H. P. Willmott had noted that deep battle contained two important differences from blitzkrieg by being a doctrine of total war, not of limited operations, and rejecting decisive battle in favour of several large simultaneous offensives.
The Reichswehr and the Red Army began a secret collaboration in the Soviet Union to evade the Treaty of Versailles occupational agent, the Inter-Allied Commission. In 1926 war games and tests began at Kazan and Lipetsk, in the Soviet Russia. The centers served to field-test aircraft and armored vehicles up to the battalion level and housed aerial- and armoured-warfare schools through which officers rotated.
Nazi Germany
After becoming Chancellor of Germany in 1933, Adolf Hitler ignored the provisions of the Treaty of Versailles Treaty. Within the Wehrmacht, which was established in 1935, the command for motorized armored forces was named the Panzerwaffe in 1936. The Luftwaffe, the German air force, was officially established in February 1935, and development began on ground-attack aircraft and doctrines. Hitler strongly supported the new strategy. He read Guderian's 1937 book Achtung – Panzer! and upon observing armored field exercises at Kummersdorf, he remarked, "That is what I want – and that is what I will have".
Guderian
Guderian summarized combined-arms tactics as the way to get the mobile and motorized armored divisions to work together and support each other to achieve decisive success. In his 1950 book, Panzer Leader, he wrote:
Guderian believed that developments in technology were required to support the theory, especially by equipping armored divisions, tanks foremost, with wireless communications. Guderian insisted in 1933 to the high command that every tank in the German armored force must be equipped with a radio. At the start of World War II, only the German Army was thus prepared with all tanks being "radio-equipped". That proved critical in early tank battles in which German tank commanders exploited the organizational advantage over the Allies that radio communication gave them.
All Allied armies would later copy that innovation. During the Polish campaign, the performance of armored troops, under the influence of Guderian's ideas, won over a number of skeptics who had initially expressed doubt about armored warfare, such as von Rundstedt and Rommel.
Rommel
According to David A. Grossman, by the Twelfth Battle of Isonzo (October–November 1917), while he was conducting a light-infantry operation, Rommel had perfected his maneuver-warfare principles, which were the very same ones that were applied during the blitzkrieg against France in 1940 and were repeated in the Coalition ground offensive against Iraq in the 1991 Gulf War. During the Battle of France and against his staff advisor's advice, Hitler ordered that everything should be completed in a few weeks. Fortunately for the Germans, Rommel and Guderian disobeyed the General Staff's orders (particularly those of General Paul Ludwig Ewald von Kleist) and forged ahead making quicker progress than anyone had expected, on the way "inventing the idea of Blitzkrieg".
It was Rommel who created the new archetype of Blitzkrieg by leading his division far ahead of flanking divisions. MacGregor and Williamson remark that Rommel's version of blitzkrieg displayed a significantly better understanding of combined-arms warfare than that of Guderian. General Hermann Hoth submitted an official report in July 1940 which declared that Rommel had "explored new paths in the command of Panzer divisions".
Methods of operations
Schwerpunkt
Schwerpunktprinzip was a heuristic device (conceptual tool or thinking formula) that was used in the German Army since the nineteenth century to make decisions from tactics to strategy about priority. Schwerpunkt has been translated as center of gravity, crucial, focal point and point of main effort. None of those forms is sufficient to describe the universal importance of the term and the concept of Schwerpunktprinzip. Every unit in the army, from the company to the supreme command, decided on a Schwerpunkt by schwerpunktbildung, as did the support services, which meant that commanders always knew what was the most important and why. The German army was trained to support the Schwerpunkt even when risks had to be taken elsewhere to support the point of main effort and to attack with overwhelming firepower. Schwerpunktbildung allowed the German Army to achieve superiority at the Schwerpunkt, whether attacking or defending, to turn local success at the Schwerpunkt into the progressive disorganisation of the opposing force and to create more opportunities to exploit that advantage even if the Germans were numerically and strategically inferior in general. In the 1930s, Guderian summarized that as Klotzen, nicht kleckern! ("Kick, don't spatter them!")
Pursuit
Having achieved a breakthrough of the enemy's line, units comprising the Schwerpunkt were not supposed to become decisively engaged with enemy front line units to the right and the left of the breakthrough area. Units pouring through the hole were to drive upon set objectives behind the enemy front line. During the Second World War, German Panzer forces used their motorized mobility to paralyze the opponent's ability to react. Fast-moving mobile forces seized the initiative, exploited weaknesses and acted before the opposing forces could respond. Central to that was the decision cycle (tempo). Through superior mobility and faster decision-making cycles, mobile forces could act faster than the forces opposing them.
Directive control was a fast and flexible method of command. Rather than receiving an explicit order, a commander would be told of his superior's intent and the role that his unit was to fill in that concept. The method of execution was then a matter for the discretion of the subordinate commander. The staff burden was reduced at the top and spread among tiers of command with knowledge about their situation. Delegation and the encouragement of initiative aided implementation, and important decisions could be taken quickly and communicated verbally or with only brief written orders.
Mopping-up
The last part of an offensive operation was the destruction of unsubdued pockets of resistance, which had been enveloped earlier and bypassed by the fast-moving armored and motorized spearheads. The Kesselschlacht ("cauldron battle") was a concentric attack on such pockets. It was there that most losses were inflicted upon the enemy, primarily through the mass capture of prisoners and weapons. During Operation Barbarossa, huge encirclements in 1941 produced nearly 3.5 million Soviet prisoners, along with masses of equipment.
Air power
Close air support was provided in the form of the dive bomber and medium bomber, which would support the focal point of attack from the air. German successes are closely related to the extent to which the German Luftwaffe could control the air war in early campaigns in Western and Central Europe and in the Soviet Union. However, the Luftwaffe was a broadly based force with no constricting central doctrine other than its resources should be used generally to support national strategy. It was flexible and could carry out both operational-tactical, and strategic bombing.
Flexibility was the strength of the Luftwaffe in 1939 to 1941. Paradoxically, that later became its weakness. While Allied Air Forces were tied to the support of the Army, the Luftwaffe deployed its resources in a more general operational way. It switched from air superiority missions to medium-range interdiction, to strategic strikes to close support duties, depending on the need of the ground forces. In fact, far from it being a specialist panzer spearhead arm, less than 15 percent of the Luftwaffe was intended for close support of the army in 1939.
Stimulants
Methamphetamine, known as "pervitin," use is believed to have played a role in the speed of Germany's initial Blitzkrieg since military success with combined arms demanded long hours of continuous operations with minimal rest.
Limitations and countermeasures
Environment
The concepts associated with the term blitzkrieg (deep penetrations by armor, large encirclements, and combined arms attacks) were largely dependent upon terrain and weather conditions. Wherever the ability for rapid movement across "tank country" was not possible, armored penetrations often were avoided or resulted in failure. The terrain would ideally be flat, firm, unobstructed by natural barriers or fortifications, and interspersed with roads and railways. If it were instead hilly, wooded, marshy, or urban, armor would be vulnerable to infantry in close-quarters combat and unable to break out at full speed. Additionally, units could be halted by mud (thawing along the Eastern Front regularly slowed both sides) or extreme snow. Operation Barbarossa helped confirm that armor effectiveness and the requisite aerial support depended on weather and terrain. It should, however, be noted that the disadvantages of terrain could be nullified if surprise was achieved over the enemy by an attack in areas that had been considered natural obstacles, as occurred during the Battle of France in which the German blitzkrieg-style attack went through the Ardennes. Since the French thought that the Ardennes unsuitable for massive troop movement, particularly for tanks, the area was left with only light defences, which were quickly overrun by the Wehrmacht. The Germans quickly advanced through the forest and knocked down the trees that the French had thought would impede that tactic.
Air superiority
The influence of air forces over forces on the ground changed significantly over the course of the Second World War. Early German successes were conducted when Allied aircraft could not make a significant impact on the battlefield. In May 1940, there was near parity in numbers of aircraft between the Luftwaffe and the Allies, but the Luftwaffe had been developed to support Germany's ground forces, had liaison officers with the mobile formations and operated a higher number of sorties per aircraft. In addition, the Germans' air parity or superiority allowed the unencumbered movement of ground forces, their unhindered assembly into concentrated attack formations, aerial reconnaissance, aerial resupply of fast moving formations and close air support at the point of attack. The Allied air forces had no close air support aircraft, training or doctrine. The Allies flew 434 French and 160 British sorties a day but methods of attacking ground targets had yet to be developed and so Allied aircraft caused negligible damage. Against the Allies' 600 sorties, the Luftwaffe on average flew 1,500 sorties a day.
On 13 May, Fliegerkorps VIII flew 1,000 sorties in support of the crossing of the Meuse. The following day the Allies made repeated attempts to destroy the German pontoon bridges, but German fighter aircraft, ground fire and Luftwaffe flak batteries with the panzer forces destroyed 56 percent of the attacking Allied aircraft, and the bridges remained intact.
Allied air superiority became a significant hindrance to German operations during the later years of the war. By June 1944, the Western Allies had the complete control of the air over the battlefield, and their fighter-bomber aircraft were very effective at attacking ground forces. On D-Day, the Allies flew 14,500 sorties over the battlefield area alone, not including sorties flown over Northwestern Europe. Against them the Luftwaffe flew some 300 sorties on 6 June. Though German fighter presence over Normandy increased over the next days and weeks, it never approached the numbers that the Allies commanded. Fighter-bomber attacks on German formations made movement during daylight almost impossible.
Subsequently, shortages soon developed in food, fuel and ammunition and severely hampered the German defenders. German vehicle crews and even flak units experienced great difficulty moving during daylight. Indeed, the final German offensive operation in the west, Operation Wacht am Rhein, was planned to take place during poor weather to minimise interference by Allied aircraft. Under those conditions, it was difficult for German commanders to employ the "armored idea", if at all.
Counter-tactics
Blitzkrieg is vulnerable to an enemy that is robust enough to weather the shock of the attack and does not panic at the idea of enemy formations in its rear area. That is especially true if the attacking formation lacks the reserve to keep funnelling forces into the spearhead or the mobility to provide infantry, artillery and supplies into the attack. If the defender can hold the shoulders of the breach, it has the opportunity to counter-attack into the flank of the attacker and potentially to cut it off the van, as what happened to Kampfgruppe Peiper in the Ardennes.
During the Battle of France in 1940, the 4th Armoured Division (Major-General Charles de Gaulle) and elements of the 1st Army Tank Brigade (British Expeditionary Force) made probing attacks on the German flank and pushed into the rear of the advancing armored columns at times. That may have been a reason for Hitler to call a halt to the German advance. Those attacks combined with Maxime Weygand's hedgehog tactic would become the major basis for responding to blitzkrieg attacks in the future. Deployment in depth, or permitting enemy or "shoulders" of a penetration, was essential to channelling the enemy attack; artillery, properly employed at the shoulders, could take a heavy toll of attackers. Allied forces in 1940 lacked the experience to develop those strategies successfully, which resulted in the French armistice with heavy losses, those strategies characterized later Allied operations.
At the Battle of Kursk, the Red Army used a combination of defence in great depth, extensive minefields and tenacious defense of breakthrough shoulders. In that way, they depleted German combat power even as German forces advanced. The reverse can be seen in the Russian summer offensive of 1944, Operation Bagration, which resulted in the destruction of Army Group Center. German attempts to weather the storm and fight out of encirclements failed because of the Soviets' ability to continue to feed armored units into the attack, maintain the mobility and strength of the offensive and arrive in force deep in the rear areas faster than the Germans could regroup.
Logistics
Although effective in quick campaigns against Poland and France, mobile operations could not be sustained by Germany in later years. Strategies based on maneuver have the inherent danger of the attacking force overextending its supply lines and can be defeated by a determined foe who is willing and able to sacrifice territory for time in which to regroup and rearm, as the Soviets did on the Eastern Front, as opposed to, for example, the Dutch, who had no territory to sacrifice. Tank and vehicle production was a constant problem for Germany. Indeed, late in the war, many panzer "divisions" had no more than a few dozen tanks.
As the end of the war approached, Germany also experienced critical shortages in fuel and ammunition stocks as a result of Anglo-American strategic bombing and blockade. Although the production of Luftwaffe fighter aircraft continued, they could not fly because of lack of fuel. What fuel there was went to panzer divisions, and even then, they could not operate normally. Of the Tiger tanks lost against the US Army, nearly half of them were abandoned for lack of fuel.
Military operations
Spanish Civil War
German volunteers first used armor in live field-conditions during the Spanish Civil War (1936-1939). Armor commitment consisted of Panzer Battalion 88, a force built around three companies of Panzer I tanks that functioned as a training cadre for Spain's Nationalists. The Luftwaffe deployed squadrons of fighters, dive-bombers and transport aircraft as the Condor Legion. Guderian said that the tank deployment was "on too small a scale to allow accurate assessments to be made". (The true test of his "armored idea" would have to wait for the Second World War.) However, the Luftwaffe also provided volunteers to Spain to test both tactics and aircraft in combat, including the first combat use of the Stuka.
During the war, the Condor Legion undertook the 1937 bombing of Guernica, which had a tremendous psychological effect on the populations of Europe. The results were exaggerated, and the Western Allies concluded that the "city-busting" techniques were now part of the German way in war. The targets of the German aircraft were actually the rail lines and bridges, but lacking the ability to hit them with accuracy (only three or four Ju 87s saw action in Spain), the Luftwaffe chose a method of carpet bombing, resulting in heavy civilian casualties.
Poland, 1939
Although journalists popularized the term Blitzkrieg during the September 1939 invasion of Poland, the historians Matthew Cooper and J. P. Harris have written that German operations during the campaign were consistent with traditional methods. The Wehrmacht strategy was more in line with Vernichtungsgedanke, a focus on envelopment to create pockets in broad-front annihilation. The German generals dispersed Panzer forces among the three German concentrations with little emphasis on independent use. They deployed tanks to create or destroy close pockets of Polish forces and to seize operational-depth terrain in support of the largely-unmotorized infantry, which followed.
The Wehrmacht used available models of tanks, Stuka dive-bombers and concentrated forces in the Polish campaign, but the majority of the fighting involved conventional infantry and artillery warfare, and most Luftwaffe action was independent of the ground campaign. Matthew Cooper wrote:
John Ellis wrote that "there is considerable justice in Matthew Cooper's assertion that the panzer divisions were not given the kind of strategic mission that was to characterize authentic armored blitzkrieg, and were almost always closely subordinated to the various mass infantry armies". Steven Zaloga wrote, "Whilst Western accounts of the September campaign have stressed the shock value of the panzer and Stuka attacks, they have tended to underestimate the punishing effect of German artillery on Polish units. Mobile and available in significant quantity, artillery shattered as many units as any other branch of the Wehrmacht."
Low Countries and France, 1940
The German invasion of France, with subsidiary attacks on Belgium and the Netherlands, consisted of two phases, Operation Yellow (Fall Gelb) and Operation Red (Fall Rot). Yellow opened with a feint conducted against the Netherlands and Belgium by two armored corps and paratroopers. Most of the German armored forces were placed in Panzer Group Kleist, which attacked through the Ardennes, a lightly-defended sector that the French planned to reinforce if necessary before the Germans could bring up heavy and siege artillery. There was no time for the French to send such reinforcement, as the Germans did not wait for siege artillery but reached the Meuse and achieved a breakthrough at the Battle of Sedan in three days.
Panzer Group Kleist raced to the English Channel, reached the coast at Abbeville and cut off the BEF, the Belgian Army and some of the best-equipped divisions of the French Army in northern France. Armored and motorized units under Guderian, Rommel and others advanced far beyond the marching and horse-drawn infantry divisions and far in excess of what Hitler and the German high command had expected or wished. When the Allies counter-attacked at Arras by using the heavily-armored British Matilda I and Matilda II tanks, a brief panic ensued in the German High Command.
Hitler halted his armored and motorized forces outside the port of Dunkirk, which the Royal Navy had started using to evacuate the Allied forces. Hermann Göring promised that the Luftwaffe would complete the destruction of the encircled armies, but aerial operations failed to prevent the evacuation of the majority of the Allied troops. In Operation Dynamo, some French and British troops escaped.
Case Yellow surprised everyone by overcoming the Allies' 4,000 armored vehicles, many of which were better than their German equivalents in armor and gunpower. The French and British frequently used their tanks in the dispersed role of infantry support, rather than by concentrating force at the point of attack, to create overwhelming firepower.
The French armies were much reduced in strength and the confidence of their commanders shaken. With much of their own armor and heavy equipment lost in Northern France, they lacked the means to fight a mobile war. The Germans followed their initial success with Operation Red, a triple-pronged offensive. The XV Panzer Corps attacked towards Brest, XIV Panzer Corps attacked east of Paris, towards Lyon and the XIX Panzer Corps encircled the Maginot Line. The French, hard pressed to organise any sort of counter-attack, were continually ordered to form new defensive lines and found that German forces had already bypassed them and moved on. An armored counter-attack, organized by Colonel Charles de Gaulle, could not be sustained, and he had to retreat.
Prior to the German offensive in May, Winston Churchill had said, "Thank God for the French Army". The same French Army collapsed after barely two months of fighting. That was in shocking contrast to the four years of trench warfare on which French forces had engaged during the First World War. French Prime Minister Paul Reynaud, analyzed the collapse in a speech on 21 May 1940:
The Germans had not used paratroopry attacks in France and made only one large drop in the Netherlands to capture three bridges; some small glider-landings were conducted in Belgium to take bottlenecks on routes of advance before the arrival of the main force (the most renowned being the landing on Fort Eben-Emael in Belgium).
Eastern Front, 1941–44
Use of armored forces was crucial for both sides on the Eastern Front. Operation Barbarossa, the German invasion of the Soviet Union in June 1941, involved a number of breakthroughs and encirclements by motorized forces. Its goal, according to Führer Directive 21 (18 December 1940), was "to destroy the Russian forces deployed in the West and to prevent their escape into the wide-open spaces of Russia". The Red Army was to be destroyed west of the Dvina and Dnieper rivers, which were about east of the Soviet border, to be followed by a mopping-up operation. The surprise attack resulted in the near annihilation of the Voyenno-Vozdushnye Sily (VVS, Soviet Air Force) by simultaneous attacks on airfields, allowing the Luftwaffe to achieve total air supremacy over all the battlefields within the first week. On the ground, four German panzer groups outflanked and encircled disorganized Red Army units, and the marching infantry completed the encirclements and defeated the trapped forces. In late July, after 2nd Panzer Group (commanded by Guderian) captured the watersheds of the Dvina and Dnieper rivers near Smolensk, the panzers had to defend the encirclement, because the marching infantry divisions remained hundreds of kilometers to the west.
The Germans conquered large areas of the Soviet Union, but their failure to destroy the Red Army before the winter of 1941-1942 was a strategic failure and made German tactical superiority and territorial gains irrelevant. The Red Army had survived enormous losses and regrouped with new formations far to the rear of the front line. During the Battle of Moscow (October 1941 to January 1942), the Red Army defeated the German Army Group Center and for the first time in the war seized the strategic initiative.
In the summer of 1942, Germany launched another offensive and this time focusing on Stalingrad and the Caucasus in the southern Soviet Union. The Soviets again lost tremendous amounts of territory, only to counter-attack once more during winter. The German gains were ultimately limited because Hitler diverted forces from the attack on Stalingrad and drove towards the Caucasus oilfields simultaneously. The Wehrmacht became overstretched. Although it won operationally, it could not inflict a decisive defeat as the durability of the Soviet Union's manpower, resources, industrial base and aid from the Western Allies began to take effect.
In July 1943, the Wehrmacht conducted Operation Zitadelle (Citadel) against a salient at Kursk, which Soviet troop heavily defended. Soviet defensive tactics had by now hugely improved, particularly in the use of artillery and air support. By April 1943, the Stavka had learned of German intentions through intelligence supplied by front-line reconnaissance and Ultra intercepts. In the following months, the Red Army constructed deep defensive belts along the paths of the planned German attack. The Soviets made a concerted effort to disguise their knowledge of German plans and the extent of their own defensive preparations, and the German commanders still hoped to achieve operational surprise when the attack commenced.
The Germans did not achieve surprise and could not outflank or break through into enemy rear areas during the operation. Several historians assert that Operation Citadel was planned and intended to be a blitzkrieg operation. Many of the German participants who wrote about the operation after the war, including Erich von Manstein, make no mention of blitzkrieg in their accounts. In 2000, Niklas Zetterling and Anders Frankson characterised only the southern pincer of the German offensive as a "classical blitzkrieg attack". Pier Battistelli wrote that the operational planning marked a change in German offensive thinking away from blitzkrieg and that more priority was given to brute force and fire power than to speed and maneuver.
In 1995, David Glantz stated that blitzkrieg was at Kursk for the first time defeated in summer, and the opposing Soviet forces mounted a successful counter-offensive. The Battle of Kursk ended with two Soviet counter-offensives and the revival of deep operations. In the summer of 1944, the Red Army destroyed Army Group Centre in Operation Bagration by using combined-arms tactics for armor, infantry and air power in a coordinated strategic assault, known as deep operations, which led to an advance of in six weeks.
Western Front, 1944–1945
Allied armies began using combined-arms formations and deep-penetration strategies that Germany had used in the opening years of the war. Many Allied operations in the Western Desert and on the Eastern Front, relied on firepower to establish breakthroughs by fast-moving armored units. The artillery-based tactics were also decisive in Western Front operations after 1944's Operation Overlord, and the British Commonwealth and American armies developed flexible and powerful systems for using artillery support. What the Soviets lacked in flexibility, they made up for in number of rocket launchers, guns and mortars. The Germans never achieved the kind of fire concentrations that their enemies were achieving 1944.
After the Allied landings in Normandy (June 1944), the Germans began a counter-offensive to overwhelm the landing force with armored attacks, but they failed because of a lack of co-ordination and to Allied superiority in anti-tank defense and in the air. The most notable attempt to use deep-penetration operations in Normandy was Operation Luttich at Mortain, which only hastened the Falaise Pocket and the destruction of German forces in Normandy. The Mortain counter-attack was defeated by the American 12th Army Group with little effect on its own offensive operations.
The last German offensive on the Western front, the Battle of the Bulge (Operation Wacht am Rhein), was an offensive launched towards the port of Antwerp in December 1944. Launched in poor weather against a thinly-held Allied sector, it achieved surprise and initial success as Allied air-power was grounded due to cloud cover. Determined defense by American troops in places throughout the Ardennes, the lack of good roads and German supply shortages caused delays. Allied forces deployed to the flanks of the German penetration, and as soon as the skies cleared, Allied aircraft returned to the battlefield. Allied counter-attacks soon forced back the Germans, who abandoned much equipment for lack of fuel.
Post-war controversy
Blitzkrieg had been called a Revolution in Military Affairs (RMA), but many writers and historians have concluded that the Germans did not invent a new form of warfare but applied new technologies to traditional ideas of Bewegungskrieg (maneuver warfare) to achieve decisive victory.
Strategy
In 1965, Captain Robert O'Neill, Professor of the History of War at the University of Oxford produced an example of the popular view. In Doctrine and Training in the German Army 1919–1939, O'Neill wrote:
Other historians wrote that blitzkrieg was an operational doctrine of the German armed forces and a strategic concept on which the leadership of Nazi Germany based its strategic and economic planning. Military planners and bureaucrats in the war economy appear rarely, if ever, to have employed the term blitzkrieg in official documents. That the German army had a "blitzkrieg doctrine" was rejected in the late 1970s by Matthew Cooper. The concept of a blitzkrieg Luftwaffe was challenged by Richard Overy in the late 1970s and by Williamson Murray in the mid-1980s. That Nazi Germany went to war on the basis of "blitzkrieg economics" was criticized by Richard Overy in the 1980s, and George Raudzens described the contradictory senses in which historians have used the word. The notion of a German blitzkrieg concept or doctrine survives in popular history and many historians still support the thesis.
Frieser wrote that after the failure of the Schlieffen Plan in 1914, the German army concluded that decisive battles were no longer possible in the changed conditions of the twentieth century. Frieser wrote that the Oberkommando der Wehrmacht (OKW), which was created in 1938 had intended to avoid the decisive battle concepts of its predecessors and planned for a long war of exhaustion (Ermattungskrieg). It was only after the improvised plan for the Battle of France in 1940 was unexpectedly successful that the German General Staff came to believe that Vernichtungskrieg was still feasible. German thinking reverted to the possibility of a quick and decisive war for the Balkan campaign and Operation Barbarossa.
Doctrine
Most academic historians regard the notion of blitzkrieg as military doctrine to be a myth. Shimon Naveh wrote, "The striking feature of the blitzkrieg concept is the complete absence of a coherent theory which should have served as the general cognitive basis for the actual conduct of operations". Naveh described it as an "ad hoc solution" to operational dangers, thrown together at the last moment. Overy disagreed with the idea that Hitler and the Nazi regime ever intended a blitzkrieg war because the once-popular belief that the Nazi state organized its economy to carry out its grand strategy in short campaigns was false. Hitler had intended for a rapid unlimited war to occur much later than 1939, but Germany's aggressive foreign policy forced the state into war before it was ready. The planning of Hitler and the Wehrmacht in the 1930s did not reflect a blitzkrieg method but the opposite. J. P. Harris wrote that the Wehrmacht never used the word, and it did not appear in German army or air force field manuals. The word was coined in September 1939 by a Times newspaper reporter. Harris also found no evidence that German military thinking developed a blitzkrieg mentality. Karl-Heinz Frieser and Adam Tooze reached similar conclusions to Overy and Naveh that the notions of blitzkrieg economy and strategy are myths. Frieser wrote that surviving German economists and General Staff officers denied that Germany went to war with a blitzkrieg strategy. Robert M. Citino argues:
The historian Victor Davis Hanson states that Blitzkrieg "played on the myth of German technological superiority and industrial dominance" and adds that German successes, particularly that of its Panzer divisions were "instead predicated on the poor preparation and morale of Germany's enemies". Hanson also reports that at a Munich public address in November 1941, Hitler had "disowned" the concept of Blitzkrieg by calling it an "idiotic word". Further, successful Blitzkrieg operations were predicated on superior numbers, air support and were possible for only short periods of time without sufficient supply lines. For all intents and purposes, Blitzkrieg ended at the Eastern Front once the German forces had given up Stalingrad, after they faced hundreds of new T-34 tanks, when the Luftwaffe became unable to assure air dominance, and after the stalemate at Kursk. To that end, Hanson concludes that German military success was not accompanied by the adequate provisioning of its troops with food and materiel far from the source of supply, which contributed to its ultimate failures. Despite its later disappointments as German troops extended their lines at too great a distance, the very specter of armored Blitzkrieg forces initially proved victorious against the Polish, Dutch, Belgian and French Armies early in the war.
Economics
In the 1960s, Alan Milward developed a theory of blitzkrieg economics: Germany could not fight a long war and chose to avoid comprehensive rearmament and armed in breadth to win quick victories. Milward described an economy positioned between a full war economy and a peacetime economy. The purpose of the blitzkrieg economy was to allow the German people to enjoy high living standards in the event of hostilities and avoid the economic hardships of the First World War.
Overy wrote that blitzkrieg as a "coherent military and economic concept has proven a difficult strategy to defend in light of the evidence". Milward's theory was contrary to Hitler's and German planners' intentions. The Germans, aware of the errors of the First World War, rejected the concept of organizing its economy to fight only a short war. Therefore, focus was given to the development of armament in depth for a long war, instead of armament in breadth for a short war. Hitler claimed that relying on surprise alone was "criminal" and that "we have to prepare for a long war along with surprise attack". During the winter of 1939–1940, Hitler demobilized many troops from the army to return as skilled workers to factories because the war would be decided by production, not a quick "Panzer operation".
In the 1930s, Hitler had ordered rearmament programs that cannot be considered limited. In November 1937, he had indicated that most of the armament projects would be completed by 1943–1945. The rearmament of the Kriegsmarine was to have been completed in 1949 and the Luftwaffe rearmament program was to have matured in 1942, with a force capable of strategic bombing with heavy bombers. The construction and the training of motorized forces and a full mobilization of the rail networks would not begin until 1943 and 1944, respectively. Hitler needed to avoid war until these projects were complete but his misjudgements in 1939 forced Germany into war before rearmament was complete.
After the war, Albert Speer claimed that the German economy achieved greater armaments output not because of diversions of capacity from civilian to military industry but by streamlining of the economy. Overy pointed out some 23 percent of German output was military by 1939. Between 1937 and 1939, 70 percent of investment capital went into the rubber, synthetic fuel, aircraft and shipbuilding industries. Hermann Göring had consistently stated that the task of the Four Year Plan was to rearm Germany for total war. Hitler's correspondence with his economists also reveals that his intent was to wage war in 1943–1945, when the resources of central Europe had been absorbed into Nazi Germany.
Living standards were not high in the late 1930s. Consumption of consumer goods had fallen from 71 percent in 1928 to 59 percent in 1938. The demands of the war economy reduced the amount of spending in non-military sectors to satisfy the demand for the armed forces. On 9 September, Göring, as Head of the Reich Defense Council, called for complete "employment" of living and fighting power of the national economy for the duration of the war. Overy presents that as evidence that a "blitzkrieg economy" did not exist.
Adam Tooze wrote that the German economy was being prepared for a long war. The expenditure for the war was extensive and put the economy under severe strain. The German leadership were concerned less with how to balance the civilian economy and the needs of civilian consumption but to figure out how to best prepare the economy for total war. Once war had begun, Hitler urged his economic experts to abandon caution and expend all available resources on the war effort, but the expansion plans only gradually gained momentum in 1941. Tooze wrote that the huge armament plans in the pre-war period did not indicate any clear-sighted blitzkrieg economy or strategy.
Heer
Frieser wrote that the () was not ready for blitzkrieg at the start of the war. A blitzkrieg method called for a young, highly skilled mechanized army. In 1939–1940, 45 percent of the army was 40 years old and 50 percent of the soldiers had only a few weeks' training. The German Army, contrary to the blitzkrieg legend, was not fully motorized and had only 120,000 vehicles, compared to the 300,000 of the French Army. The British also had an "enviable" contingent of motorized forces. Thus, "the image of the German 'Blitzkrieg' army is a figment of propaganda imagination". During the First World War, the German army used 1.4 million horses for transport and in the Second World War 2.7 million horses. Only ten percent of the army was motorized in 1940.
Half of the German divisions available in 1940 were combat ready, but they were less well-equipped than the British and French or the Imperial German Army of 1914. In the spring of 1940, the German army was semi-modern in which a small number of well-equipped and "elite" divisions were offset by many second and third rate divisions". In 2003, John Mosier wrote that while the French soldiers in 1940 were better trained than German soldiers, as were the Americans later and that the German Army was the least mechanized of the major armies, its leadership cadres were larger and better and that the high standard of leadership was the main reason for the successes of the German army in World War II, as it had been in World War I.
Luftwaffe
James Corum wrote that it was a myth that the Luftwaffe had a doctrine of terror bombing in which civilians were attacked to break the will or aid the collapse of an enemy by the Luftwaffe in blitzkrieg operations. After the bombing of Guernica in 1937 and the Rotterdam Blitz in 1940, it was commonly assumed that terror bombing was a part of Luftwaffe doctrine. During the interwar period, the Luftwaffe leadership rejected the concept of terror bombing in favour of battlefield support and interdiction operations:
Corum continued: General Walther Wever compiled a doctrine known as The Conduct of the Aerial War. This document, which the Luftwaffe adopted, rejected Giulio Douhet's theory of terror bombing. Terror bombing was deemed to be "counter-productive", increasing rather than destroying the enemy's will to resist. Such bombing campaigns were regarded as diversion from the Luftwaffe's main operations; destruction of the enemy armed forces. The bombings of Guernica, Rotterdam and Warsaw were tactical missions in support of military operations and were not intended as strategic terror attacks.
J. P. Harris wrote that most Luftwaffe leaders from Goering through the general staff believed, as did their counterparts in Britain and the United States, that strategic bombing was the chief mission of the air force and that given such a role, the Luftwaffe would win the next war and that
The Luftwaffe ended up with an air force consisting mainly of relatively short-range aircraft, but that does not prove that the German air force was solely interested in "tactical" bombing. It happened because the German aircraft industry lacked the experience to build a long-range bomber fleet quickly and because Hitler was insistent on the very rapid creation of a numerically-large force. It is also significant that Germany's position in the centre of Europe to a large extent obviated the need to make a clear distinction between bombers suitable only for "tactical" purposes and those necessary for strategic purposes in the early stages of a likely future war.
Fuller and Liddell Hart
The British theorists John Frederick Charles Fuller and Captain Basil Henry Liddell Hart have often been associated with the development of blitzkrieg, but that is a matter of controversy. In recent years historians have uncovered that Liddell Hart distorted and falsified facts to make it appear as if his ideas has been adopted. After the war Liddell Hart imposed his own perceptions after the event by claiming that the mobile tank warfare has been practiced by the Wehrmacht was a result of his influence. By manipulation and contrivance, Liddell Hart distorted the actual circumstances of the blitzkrieg formation, and he obscured its origins. By his indoctrinated idealization of an ostentatious concept, he reinforced the myth of blitzkrieg. Imposing retrospectively his own perceptions of mobile warfare upon the shallow concept of blitzkrieg, he "created a theoretical imbroglio that has taken 40 years to unravel". Blitzkrieg was not an official doctrine, and historians in recent times have come to the conclusion that it did not exist as such:
The early 1950s literature transformed blitzkrieg into a historical military doctrine, which carried the signature of Liddell Hart and Guderian. The main evidence of Liddell Hart's deceit and "tendentious" report of history can be found in his letters to Erich von Manstein, Heinz Guderian, and the relatives and associates of Erwin Rommel. Liddell Hart, in letters to Guderian, "imposed his own fabricated version of blitzkrieg on the latter and compelled him to proclaim it as original formula". Kenneth Macksey found Liddell Hart's original letters to Guderian in the latter's papers. Liddell Hart requested Guderian to give him credit for "impressing him" with his ideas of armored warfare. When Liddell Hart was questioned about this in 1968 and the discrepancy between the English and German editions of Guderian's memoirs, "he gave a conveniently unhelpful though strictly truthful reply. ('There is nothing about the matter in my file of correspondence with Guderian himself except... that I thanked him... for what he said in that additional paragraph'.)".
During the First World War, Fuller had been a staff officer attached to the new tank corps. He developed Plan 1919 for massive independent tank operations, which he claimed were subsequently studied by the German military. It is variously argued that Fuller's wartime plans and post-war writings were inspirations or that his readership was low and German experiences during the war received more attention. The German view of themselves as the losers of the war may be linked to the senior and experienced officers' undertaking a thorough review in studying and rewriting of all of their Army doctrine and training manuals.
Fuller and Liddell Hart were "outsiders". Liddell Hart was unable to serve as a soldier after 1916 after being gassed on the Somme, and Fuller's abrasive personality resulted in his premature retirement in 1933. Their views had limited impact in the British army; the War Office permitted the formation of an Experimental Mechanized Force on 1 May 1927, composed of tanks, motorized infantry, self-propelled artillery and motorized engineers but the force was disbanded in 1928 on the grounds that it had served its purpose. A new experimental brigade was intended for the next year and became a permanent formation in 1933, during the cuts of the financial years.
Continuity
It has been argued that blitzkrieg was not and thae that the Germans did not invent something called blitzkrieg in the 1920s and 1930s. Rather, the German concept of wars of movement and concentrated force were seen in wars of Prussia and the German Wars of Unification. The first European general to introduce rapid movement, concentrated power and integrated military effort was Swedish King Gustavus Adolphus during the Thirty Years' War. The appearance of the aircraft and tank in the First World War, called an RMA, offered the German military a chance to get back to the traditional war of movement as practiced by Moltke the Elder. The so-called "blitzkrieg campaigns" of 1939 to around 1942 were well within that operational context.
At the outbreak of war, the German army had no radically new theory of war. The operational thinking of the German army had not changed significantly since the First World War or since the late 19th century. J. P. Harris and Robert M. Citino point out that the Germans had always had a marked preference for short decisive campaigns but were unable to achieve short-order victories in First World War conditions. The transformation from the stalemate of the First World War into tremendous initial operational and strategic success in the Second World War was partly the employment of a relatively-small number of mechanized divisions, most importantly the Panzer divisions, and the support of an exceptionally powerful air force.
Guderian
Heinz Guderian is widely regarded as being highly influential in developing the military methods of warfare used by Germany's tank men at the start of the Second World War. That style of warfare brought the maneuver back to the fore and placed an emphasis on the offensive. Along with the shockingly-rapid collapse in the armies that opposed it, that came to be branded as blitzkrieg warfare.
Aftee Germany's military reforms of the Guderian emerged as a strong proponent of mechanized forces. Within the Inspectorate of Transport Troops, Guderian and colleagues performed theoretical and field exercise work. Guderian met with opposition from some in the General Staff, who were distrustful of the new weapons and who continued to view the infantry as the primary weapon of the army. Among them, Guderian claimed, was Chief of the General Staff Ludwig Beck (1935–1938), who he alleged was skeptical that armored forces could be decisive. That claim has been disputed by later historians. James Corum wrote:
By Guderian's account, he single-handedly created the German tactical and operational methodology. Between 1922 and 1928 Guderian wrote a number of articles concerning military movement. As the ideas of making use of the combustible engine in a protected encasement to bring mobility back to warfare developed in the German army, Guderian was a leading proponent of the formations that would be used for this purpose. He was later asked to write an explanatory book, which was titled Achtung Panzer! (1937) in which he explained the theories of the tank men and defended them.
Guderian argued that the tank would be the decisive weapon of the next war. "If the tanks succeed, then victory follows", he wrote. In an article addressed to critics of tank warfare, he wrote that "until our critics can produce some new and better method of making a successful land attack other than self-massacre, we shall continue to maintain our beliefs that tanks—properly employed, needless to say—are today the best means available for land attack".
Addressing the faster rate at which defenders could reinforce an area than attackers could penetrate it during the First World War, Guderian wrote that "since reserve forces will now be motorized, the building up of new defensive fronts is easier than it used to be; the chances of an offensive based on the timetable of artillery and infantry co-operation are, as a result, even slighter today than they were in the last war." He continued, "We believe that by attacking with tanks we can achieve a higher rate of movement than has been hitherto obtainable, and—what is perhaps even more important—that we can keep moving once a breakthrough has been made". Guderian additionally required for tactical radios to be widely used to facilitate coordination and command by having one installed in all tanks.
Guderian's leadership was supported, fostered and institutionalized by his supporters in the Reichswehr General Staff system, which worked the Army to greater and greater levels of capability through massive and systematic Movement Warfare war games in the 1930s. Guderian's book incorporated the work of theorists such as , whose book, The Tank War (Der Kampfwagenkrieg) (1934) gained a wide audience in the German Army. Another German theorist, Ernst Volckheim, wrote a huge amount on tank and combined arms tactics and was influential to German thinking on the use of armored formations, but his work was not acknowledged in Guderian's writings.
See also
AirLand Battle, blitzkrieg-like doctrine of US Army in 1980s
Armoured warfare
Maneuver warfare
Shock and awe, the 21st century US military doctrine.
Vernichtungsgedanke, or "annihilation concept".
Mission-type tactics
Deep Battle, Soviet Red Army Military Doctrine from the 1930s often confused with blitzkrieg.
Battleplan (documentary TV series)
Vernichtungsschlacht, Battle of annihilation
Notes
References
Bibliography
Books
Conferences
Journals
Websites
Further reading
Raudzens, George. "Blitzkrieg Ambiguities: Doubtful Usage of a Famous Word." War & Society 7.2 (1989): 77–94. https://doi.org/10.1179/106980489790305551
External links
Armstrong, G. P. The Controversy over Tanks in the British Army 1919 to 1933 (PhD 1976)
Sinesi, Michael. Patrick. Modern Bewegungskrieg: German Battle Doctrine, 1920–1940 (2001)
Vardi, Gil-Li. The Enigma of German Operational Theory: the Evolution of Military Thought in Germany, 1919–1938 (PhD 2008)
Spiegel Online: The Nazi Death Machine, Hitler's Drugged Soldiers
Words and phrases with no direct English translation
Military strategy
Military terminology
Armoured warfare
Military theory
German words and phrases
Warfare by type | 17 |
Bees are winged insects closely related to wasps and ants, known for their roles in pollination and, in the case of the best-known bee species, the western honey bee, for producing honey. Bees are a monophyletic lineage within the superfamily Apoidea. They are currently considered a clade, called Anthophila. There are over 20,000 known species of bees in seven recognized biological families. Some speciesincluding honey bees, bumblebees, and stingless beeslive socially in colonies while most species (>90%)including mason bees, carpenter bees, leafcutter bees, and sweat beesare solitary.
Bees are found on every continent except Antarctica, in every habitat on the planet that contains insect-pollinated flowering plants. The most common bees in the Northern Hemisphere are the Halictidae, or sweat bees, but they are small and often mistaken for wasps or flies. Bees range in size from tiny stingless bee species, whose workers are less than long, to Megachile pluto, the largest species of leafcutter bee, whose females can attain a length of .
Bees feed on nectar and pollen, the former primarily as an energy source and the latter primarily for protein and other nutrients. Most pollen is used as food for their larvae. Vertebrate predators of bees include primates and birds such as bee-eaters; insect predators include beewolves and dragonflies.
Bee pollination is important both ecologically and commercially, and the decline in wild bees has increased the value of pollination by commercially managed hives of honey bees. The analysis of 353 wild bee and hoverfly species across Britain from 1980 to 2013 found the insects have been lost from a quarter of the places they inhabited in 1980.
Human beekeeping or apiculture (meliponiculture for stingless bees) has been practised for millennia, since at least the times of Ancient Egypt and Ancient Greece. Bees have appeared in mythology and folklore, through all phases of art and literature from ancient times to the present day, although primarily focused in the Northern Hemisphere where beekeeping is far more common. In Mesoamerica, the Mayans have practiced large-scale intensive meliponiculture since pre-Columbian times.
Evolution
The immediate ancestors of bees were stinging wasps in the family Crabronidae, which were predators of other insects. The switch from insect prey to pollen may have resulted from the consumption of prey insects which were flower visitors and were partially covered with pollen when they were fed to the wasp larvae. This same evolutionary scenario may have occurred within the vespoid wasps, where the pollen wasps evolved from predatory ancestors.
Based on phylogenetic analysis, bees are thought to have originated during the Early Cretaceous (about 124 million years ago) on the supercontinent of West Gondwana, just prior to its breakup into South America and Africa. The supercontinent is thought to have been a largely xeric environment at this time; modern bee diversity hotspots are also in xeric and seasonal temperate environments, suggesting strong niche conservatism among bees ever since their origins.
Genomic analysis indicates that despite only appearing much later in the fossil record, all modern bee families had already diverged from one another by the end of the Cretaceous. The Melittidae, Apidae, and Megachilidae had already evolved on the supercontinent prior to its fragmentation. Further divergences were facilitated by West Gondwana's breakup around 100 million years ago, leading to a deep Africa-South America split within both the Apidae and Megachilidae, the isolation of the Melittidae in Africa, and the origins of the Colletidae, Andrenidae and Halictidae in South America. The rapid radiation of the South American bee families is thought to have followed the concurrent radiation of flowering plants in the same region. Later in the Cretaceous (80 million years ago), colletid bees colonized Australia from South America (with an offshoot lineage evolving into the Stenotritidae), and by the end of the Cretaceous, South American bees had also colonized North America. The North American fossil taxon Cretotrigona belongs to a group that is no longer found in North America, suggesting that many bee lineages went extinct during the Cretaceous-Paleogene extinction event.
Following the K-Pg extinction, surviving bee lineages continued to spread into the Northern Hemisphere, colonizing Europe from Africa by the Paleocene, and then spreading east to Asia. This was facilitated by the warming climate around the same time, allowing bees to move to higher latitudes following the spread of tropical and subtropical habitats. By the Eocene (~45 mya) there was already considerable diversity among eusocial bee lineages. A second extinction event among bees is thought to have occurred due to rapid climatic cooling around the Eocene-Oligocene boundary, leading to the extinction of some bee lineages such as the tribe Melikertini. Over the Paleogene and Neogene, different bee lineages continued to spread all over the world, and the shifting habitats and connectedness of continents led to the isolation and evolution of many new bee tribes.
Fossils
The oldest non-compression bee fossil is Cretotrigona prisca, a corbiculate bee of Late Cretaceous age (~70 mya) found in New Jersey amber. A fossil from the early Cretaceous (~100 mya), Melittosphex burmensis, was initially considered "an extinct lineage of pollen-collecting Apoidea sister to the modern bees", but subsequent research has rejected the claim that Melittosphex is a bee, or even a member of the superfamily Apoidea to which bees belong, instead treating the lineage as incertae sedis within the Aculeata.
The Allodapini (within the Apidae) appeared around 53 Mya.
The Colletidae appear as fossils only from the late Oligocene (~25 Mya) to early Miocene.
The Melittidae are known from Palaeomacropis eocenicus in the Early Eocene.
The Megachilidae are known from trace fossils (characteristic leaf cuttings) from the Middle Eocene.
The Andrenidae are known from the Eocene-Oligocene boundary, around 34 Mya, of the Florissant shale.
The Halictidae first appear in the Early Eocene with species found in amber. The Stenotritidae are known from fossil brood cells of Pleistocene age.
Coevolution
The earliest animal-pollinated flowers were shallow, cup-shaped blooms pollinated by insects such as beetles, so the syndrome of insect pollination was well established before the first appearance of bees. The novelty is that bees are specialized as pollination agents, with behavioral and physical modifications that specifically enhance pollination, and are the most efficient pollinating insects. In a process of coevolution, flowers developed floral rewards such as nectar and longer tubes, and bees developed longer tongues to extract the nectar. Bees also developed structures known as scopal hairs and pollen baskets to collect and carry pollen. The location and type differ among and between groups of bees. Most species have scopal hairs on their hind legs or on the underside of their abdomens. Some species in the family Apidae have pollen baskets on their hind legs, while very few lack these and instead collect pollen in their crops. The appearance of these structures drove the adaptive radiation of the angiosperms, and, in turn, bees themselves. Bees coevolved not only with flowers but it is believed that some species coevolved with mites. Some provide tufts of hairs called acarinaria that appear to provide lodgings for mites; in return, it is believed that mites eat fungi that attack pollen, so the relationship in this case may be mutualistic.
Phylogeny
External
This phylogenetic tree is based on Debevic et al, 2012, which used molecular phylogeny to demonstrate that the bees (Anthophila) arose from deep within the Crabronidae, which is therefore paraphyletic. The placement of the Heterogynaidae is uncertain. The small subfamily Mellininae was not included in this analysis.
Internal
This cladogram of the bee families is based on Hedtke et al., 2013, which places the former families Dasypodaidae and Meganomiidae as subfamilies inside the Melittidae. English names, where available, are given in parentheses.
Characteristics
Bees differ from closely related groups such as wasps by having branched or plume-like setae (hairs), combs on the forelimbs for cleaning their antennae, small anatomical differences in limb structure, and the venation of the hind wings; and in females, by having the seventh dorsal abdominal plate divided into two half-plates.
Bees have the following characteristics:
A pair of large compound eyes which cover much of the surface of the head. Between and above these are three small simple eyes (ocelli) which provide information on light intensity.
The antennae usually have 13 segments in males and 12 in females, and are geniculate, having an elbow joint part way along. They house large numbers of sense organs that can detect touch (mechanoreceptors), smell and taste; and small, hairlike mechanoreceptors that can detect air movement so as to "hear" sounds.
The mouthparts are adapted for both chewing and sucking by having both a pair of mandibles and a long proboscis for sucking up nectar.
The thorax has three segments, each with a pair of robust legs, and a pair of membranous wings on the hind two segments. The front legs of corbiculate bees bear combs for cleaning the antennae, and in many species the hind legs bear pollen baskets, flattened sections with incurving hairs to secure the collected pollen. The wings are synchronised in flight, and the somewhat smaller hind wings connect to the forewings by a row of hooks along their margin which connect to a groove in the forewing.
The abdomen has nine segments, the hindermost three being modified into the sting.
The largest species of bee is thought to be Wallace's giant bee Megachile pluto, whose females can attain a length of . The smallest species may be dwarf stingless bees in the tribe Meliponini whose workers are less than in length.
Sociality
Haplodiploid breeding system
According to inclusive fitness theory, organisms can gain fitness not just through increasing their own reproductive output, but also that of close relatives. In evolutionary terms, individuals should help relatives when Cost < Relatedness * Benefit. The requirements for eusociality are more easily fulfilled by haplodiploid species such as bees because of their unusual relatedness structure.
In haplodiploid species, females develop from fertilized eggs and males from unfertilized eggs. Because a male is haploid (has only one copy of each gene), his daughters (which are diploid, with two copies of each gene) share 100% of his genes and 50% of their mother's. Therefore, they share 75% of their genes with each other. This mechanism of sex determination gives rise to what W. D. Hamilton termed "supersisters", more closely related to their sisters than they would be to their own offspring. Workers often do not reproduce, but they can pass on more of their genes by helping to raise their sisters (as queens) than they would by having their own offspring (each of which would only have 50% of their genes), assuming they would produce similar numbers. This unusual situation has been proposed as an explanation of the multiple (at least nine) evolutions of eusociality within Hymenoptera.
Haplodiploidy is neither necessary nor sufficient for eusociality. Some eusocial species such as termites are not haplodiploid. Conversely, all bees are haplodiploid but not all are eusocial, and among eusocial species many queens mate with multiple males, creating half-sisters that share only 25% of each other's genes. But, monogamy (queens mating singly) is the ancestral state for all eusocial species so far investigated, so it is likely that haplodiploidy contributed to the evolution of eusociality in bees.
Eusociality
Bees may be solitary or may live in various types of communities. Eusociality appears to have originated from at least three independent origins in halictid bees. The most advanced of these are species with eusocial colonies; these are characterised by cooperative brood care and a division of labour into reproductive and non-reproductive adults, plus overlapping generations. This division of labour creates specialized groups within eusocial societies which are called castes. In some species, groups of cohabiting females may be sisters, and if there is a division of labour within the group, they are considered semisocial. The group is called eusocial if, in addition, the group consists of a mother (the queen) and her daughters (workers). When the castes are purely behavioural alternatives, with no morphological differentiation other than size, the system is considered primitively eusocial, as in many paper wasps; when the castes are morphologically discrete, the system is considered highly eusocial.
True honey bees (genus Apis, of which eight species are currently recognized) are highly eusocial, and are among the best known insects. Their colonies are established by swarms, consisting of a queen and several thousand workers. There are 29 subspecies of one of these species, Apis mellifera, native to Europe, the Middle East, and Africa. Africanized bees are a hybrid strain of A. mellifera that escaped from experiments involving crossing European and African subspecies; they are extremely defensive.
Stingless bees are also highly eusocial. They practise mass provisioning, with complex nest architecture and perennial colonies also established via swarming.
Many bumblebees are eusocial, similar to the eusocial Vespidae such as hornets in that the queen initiates a nest on her own rather than by swarming. Bumblebee colonies typically have from 50 to 200 bees at peak population, which occurs in mid to late summer. Nest architecture is simple, limited by the size of the pre-existing nest cavity, and colonies rarely last more than a year. In 2011, the International Union for Conservation of Nature set up the Bumblebee Specialist Group to review the threat status of all bumblebee species worldwide using the IUCN Red List criteria.
There are many more species of primitively eusocial than highly eusocial bees, but they have been studied less often. Most are in the family Halictidae, or "sweat bees". Colonies are typically small, with a dozen or fewer workers, on average. Queens and workers differ only in size, if at all. Most species have a single season colony cycle, even in the tropics, and only mated females hibernate. A few species have long active seasons and attain colony sizes in the hundreds, such as Halictus hesperus. Some species are eusocial in parts of their range and solitary in others, or have a mix of eusocial and solitary nests in the same population. The orchid bees (Apidae) include some primitively eusocial species with similar biology. Some allodapine bees (Apidae) form primitively eusocial colonies, with progressive provisioning: a larva's food is supplied gradually as it develops, as is the case in honey bees and some bumblebees.
Solitary and communal bees
Most other bees, including familiar insects such as carpenter bees, leafcutter bees and mason bees are solitary in the sense that every female is fertile, and typically inhabits a nest she constructs herself. There is no division of labor so these nests lack queens and worker bees for these species. Solitary bees typically produce neither honey nor beeswax.
Bees collect pollen to feed their young, and have the necessary adaptations to do this. However, certain wasp species such as pollen wasps have similar behaviours, and a few species of bee scavenge from carcases to feed their offspring. Solitary bees are important pollinators; they gather pollen to provision their nests with food for their brood. Often it is mixed with nectar to form a paste-like consistency. Some solitary bees have advanced types of pollen-carrying structures on their bodies. Very few species of solitary bee are being cultured for commercial pollination. Most of these species belong to a distinct set of genera which are commonly known by their nesting behavior or preferences, namely: carpenter bees, sweat bees, mason bees, plasterer bees, squash bees, dwarf carpenter bees, leafcutter bees, alkali bees and digger bees.
Most solitary bees are fossorial, digging nests in the ground in a variety of soil textures and conditions, while others create nests in hollow reeds or twigs, or holes in wood. The female typically creates a compartment (a "cell") with an egg and some provisions for the resulting larva, then seals it off. A nest may consist of numerous cells. When the nest is in wood, usually the last (those closer to the entrance) contain eggs that will become males. The adult does not provide care for the brood once the egg is laid, and usually dies after making one or more nests. The males typically emerge first and are ready for mating when the females emerge. Solitary bees are very unlikely to sting (only in self-defense, if ever), and some (esp. in the family Andrenidae) are stingless.
While solitary, females each make individual nests. Some species, such as the European mason bee Hoplitis anthocopoides, and the Dawson's Burrowing bee, Amegilla dawsoni, are gregarious, preferring to make nests near others of the same species, and giving the appearance of being social. Large groups of solitary bee nests are called aggregations, to distinguish them from colonies. In some species, multiple females share a common nest, but each makes and provisions her own cells independently. This type of group is called "communal" and is not uncommon. The primary advantage appears to be that a nest entrance is easier to defend from predators and parasites when multiple females use that same entrance regularly.
Biology
Life cycle
The life cycle of a bee, be it a solitary or social species, involves the laying of an egg, the development through several moults of a legless larva, a pupation stage during which the insect undergoes complete metamorphosis, followed by the emergence of a winged adult. The number of eggs laid by a female during her lifetime can vary from eight or less in some solitary bees, to more than a million in highly social species. Most solitary bees and bumble bees in temperate climates overwinter as adults or pupae and emerge in spring when increasing numbers of flowering plants come into bloom. The males usually emerge first and search for females with which to mate. Like the other members of Hymenoptera bees are haplodiploid; the sex of a bee is determined by whether or not the egg is fertilised. After mating, a female stores the sperm, and determines which sex is required at the time each individual egg is laid, fertilised eggs producing female offspring and unfertilised eggs, males. Tropical bees may have several generations in a year and no diapause stage.
The egg is generally oblong, slightly curved and tapering at one end. Solitary bees, lay each egg in a separate cell with a supply of mixed pollen and nectar next to it. This may be rolled into a pellet or placed in a pile and is known as mass provisioning. Social bee species provision progressively, that is, they feed the larva regularly while it grows. The nest varies from a hole in the ground or in wood, in solitary bees, to a substantial structure with wax combs in bumblebees and honey bees.
In most species, larvae are whitish grubs, roughly oval and bluntly-pointed at both ends. They have 15 segments and spiracles in each segment for breathing. They have no legs but move within the cell, helped by tubercles on their sides. They have short horns on the head, jaws for chewing food and an appendage on either side of the mouth tipped with a bristle. There is a gland under the mouth that secretes a viscous liquid which solidifies into the silk they use to produce a cocoon. The cocoon is semi-transparent and the pupa can be seen through it. Over the course of a few days, the larva undergoes metamorphosis into a winged adult. When ready to emerge, the adult splits its skin dorsally and climbs out of the exuviae and breaks out of the cell.
Flight
Antoine Magnan's 1934 book says that he and André Sainte-Laguë had applied the equations of air resistance to insects and found that their flight could not be explained by fixed-wing calculations, but that "One shouldn't be surprised that the results of the calculations don't square with reality". This has led to a common misconception that bees "violate aerodynamic theory". In fact it merely confirms that bees do not engage in fixed-wing flight, and that their flight is explained by other mechanics, such as those used by helicopters. In 1996 it was shown that vortices created by many insects' wings helped to provide lift. High-speed cinematography and robotic mock-up of a bee wing showed that lift was generated by "the unconventional combination of short, choppy wing strokes, a rapid rotation of the wing as it flops over and reverses direction, and a very fast wing-beat frequency". Wing-beat frequency normally increases as size decreases, but as the bee's wing beat covers such a small arc, it flaps approximately 230 times per second, faster than a fruitfly (200 times per second) which is 80 times smaller.
Navigation, communication, and finding food
The ethologist Karl von Frisch studied navigation in the honey bee. He showed that honey bees communicate by the waggle dance, in which a worker indicates the location of a food source to other workers in the hive. He demonstrated that bees can recognize a desired compass direction in three different ways: by the sun, by the polarization pattern of the blue sky, and by the earth's magnetic field. He showed that the sun is the preferred or main compass; the other mechanisms are used under cloudy skies or inside a dark beehive. Bees navigate using spatial memory with a "rich, map-like organization".
Digestion
The gut of bees is relatively simple, but multiple metabolic strategies exist in the gut microbiota. Pollinating bees consume nectar and pollen, which require different digestion strategies by somewhat specialized bacteria. While nectar is a liquid of mostly monosaccharide sugars and so easily absorbed, pollen contains complex polysaccharides: branching pectin and hemicellulose. Approximately five groups of bacteria are involved in digestion. Three groups specialize in simple sugars (Snodgrassella and two groups of Lactobacillus), and two other groups in complex sugars (Gilliamella and Bifidobacterium). Digestion of pectin and hemicellulose is dominated by bacterial clades Gilliamella and Bifidobacterium respectively. Bacteria that cannot digest polysaccharides obtain enzymes from their neighbors, and bacteria that lack certain amino acids do the same, creating multiple ecological niches.
Although most bee species are nectarivorous and palynivorous, some are not. Particularly unusual are vulture bees in the genus Trigona, which consume carrion and wasp brood, turning meat into a honey-like substance.
Ecology
Floral relationships
Most bees are polylectic (generalist) meaning they collect pollen from a range of flowering plants, but some are oligoleges (specialists), in that they only gather pollen from one or a few species or genera of closely related plants. In Melittidae and Apidae we also find a few genera that are highly specialized for collecting plant oils both in addition to, and instead of, nectar, which is mixed with pollen as larval food. Male orchid bees in some species gather aromatic compounds from orchids, which is one of the few cases where male bees are effective pollinators. Bees are able to sense the presence of desirable flowers through ultraviolet patterning on flowers, floral odors, and even electromagnetic fields. Once landed, a bee then uses nectar quality and pollen taste to determine whether to continue visiting similar flowers.
In rare cases, a plant species may only be effectively pollinated by a single bee species, and some plants are endangered at least in part because their pollinator is also threatened. But, there is a pronounced tendency for oligolectic bees to be associated with common, widespread plants visited by multiple pollinator species. For example, the creosote bush in the arid parts of the United States southwest is associated with some 40 oligoleges.
As mimics and models
Many bees are aposematically coloured, typically orange and black, warning of their ability to defend themselves with a powerful sting. As such they are models for Batesian mimicry by non-stinging insects such as bee-flies, robber flies and hoverflies, all of which gain a measure of protection by superficially looking and behaving like bees.
Bees are themselves Müllerian mimics of other aposematic insects with the same colour scheme, including wasps, lycid and other beetles, and many butterflies and moths (Lepidoptera) which are themselves distasteful, often through acquiring bitter and poisonous chemicals from their plant food. All the Müllerian mimics, including bees, benefit from the reduced risk of predation that results from their easily recognised warning coloration.
Bees are also mimicked by plants such as the bee orchid which imitates both the appearance and the scent of a female bee; male bees attempt to mate (pseudocopulation) with the furry lip of the flower, thus pollinating it.
As brood parasites
Brood parasites occur in several bee families including the apid subfamily Nomadinae. Females of these species lack pollen collecting structures (the scopa) and do not construct their own nests. They typically enter the nests of pollen collecting species, and lay their eggs in cells provisioned by the host bee. When the "cuckoo" bee larva hatches, it consumes the host larva's pollen ball, and often the host egg also. In particular, the Arctic bee species, Bombus hyperboreus is an aggressive species that attacks and enslaves other bees of the same subgenus. However, unlike many other bee brood parasites, they have pollen baskets and often collect pollen.
In Southern Africa, hives of African honeybees (A. mellifera scutellata) are being destroyed by parasitic workers of the Cape honeybee, A. m. capensis. These lay diploid eggs ("thelytoky"), escaping normal worker policing, leading to the colony's destruction; the parasites can then move to other hives.
The cuckoo bees in the Bombus subgenus Psithyrus are closely related to, and resemble, their hosts in looks and size. This common pattern gave rise to the ecological principle "Emery's rule". Others parasitize bees in different families, like Townsendiella, a nomadine apid, two species of which are cleptoparasites of the dasypodaid genus Hesperapis, while the other species in the same genus attacks halictid bees.
Nocturnal bees
Four bee families (Andrenidae, Colletidae, Halictidae, and Apidae) contain some species that are crepuscular. Most are tropical or subtropical, but some live in arid regions at higher latitudes. These bees have greatly enlarged ocelli, which are extremely sensitive to light and dark, though incapable of forming images. Some have refracting superposition compound eyes: these combine the output of many elements of their compound eyes to provide enough light for each retinal photoreceptor. Their ability to fly by night enables them to avoid many predators, and to exploit flowers that produce nectar only or also at night.
Predators, parasites and pathogens
Vertebrate predators of bees include bee-eaters, shrikes and flycatchers, which make short sallies to catch insects in flight. Swifts and swallows fly almost continually, catching insects as they go. The honey buzzard attacks bees' nests and eats the larvae. The greater honeyguide interacts with humans by guiding them to the nests of wild bees. The humans break open the nests and take the honey and the bird feeds on the larvae and the wax. Among mammals, predators such as the badger dig up bumblebee nests and eat both the larvae and any stored food.
Specialist ambush predators of visitors to flowers include crab spiders, which wait on flowering plants for pollinating insects; predatory bugs, and praying mantises, some of which (the flower mantises of the tropics) wait motionless, aggressive mimics camouflaged as flowers. Beewolves are large wasps that habitually attack bees; the ethologist Niko Tinbergen estimated that a single colony of the beewolf Philanthus triangulum might kill several thousand honeybees in a day: all the prey he observed were honeybees. Other predatory insects that sometimes catch bees include robber flies and dragonflies. Honey bees are affected by parasites including tracheal and Varroa mites. However, some bees are believed to have a mutualistic relationship with mites.
Some mites of genus Tarsonemus are associated with bees. They live in bee nests and ride on adult bees for dispersal. They are presumed to feed on fungi, nest materials or pollen. However, the impact they have on bees remains uncertain.
Symbiosis of Mycelium and Bess
Fungus properties
Recent studies have shown that mycelium provides honey bees and stingless bees with vital nutrients. Specific fungi, such as Zygosaccharomyces sp, Candida sp., and Monascus ruber, produce chemicals that fight against bacteria, fungal infections from different species, and viruses. Recently these types of bees have been observed eating mycelium, suggesting that honey bees have been “foraging mushrooms to collect antimicrobial medicine to boost their collective immunity” (White, K., 2022). Without these vital nutrients, honey bee morbidity rates rise, and the possibility of fungal infections can spike, leading to unhealthy bee hives and honey shortage. Fungal infections can also lead to colony collapse disorder, so the ingestion of mycelium lowers the morbidity rate of honey bees by preventing those fungal infections from happening. Colony collapse disorder (CCD) is when worker bees abandon the queen bee and leave behind the brood and a few nurse bees. This however is not enough to sustain a hive as workers are required to construct and maintain the hive structure as well as produce honey. Colony collapse disorder can also happen when varroa mites infiltrate a hive. These mites will attack and eat bees inside a hive, making it impossible for them to continue to reproduce and make honey. The presence of varroa mites results in a decrease in bee population, deformed bees, an inability to reproduce on the bees part, and overall weakening of the colony. Varroa mites are only capable of reproducing inside of a honey bee colony, posing an even greater threat if they are able to infiltrate because it will destroy their home. Mycelium has been shown to germinate inside of varroa mites and grow from the inside out, killing the mites and protecting the bees. The extermination of mites by mycelium is a better alternative to pesticides that have shown to be toxic towards the bee colony. Mycelium also plays a role in boosting anti-inflammatory and antibacterial resistance in bees due to the ecdysteroids and Zygosaccharomyces found in mycelium, which are then fed to larvae, boosting the next generations immunity and improving overall hive health. Zygosaccharomyces are “spoilage yeasts that have an extreme resistance to acids and preservatives” and can “tolerate high concentrations of sugars and salts” (Deak, T., 2004). Honey bees depend on this source of steroids to allow them to develop properly during insect pupation.
Bee broods
The symbiotic relationship between bees and mycelium is found primarily in Brazilian stingless bees and Malaysian stingless bees - or more commonly honey bees. Bee broods are the larvae of honeybees. They can typically be found inside of a bee hive, and in man made hives especially, the honeybees can be found developing at different stages (eggs, larvae, and pupae) inside a hexagonal shape. Bee larvae are incapable of producing steroids at birth, so they ingest mycelium to receive vital nutrients they cannot create on their own such as ecdysteroids and Zygosaccharomyces sp (Paludo, C.R. et al. ). Once the honey bee eggs hatch, a white microbial film starts to grow on the boundary between the brood cell and the larval food supply, and is then ingested by the larvae to complete their development (Paludo, C.R. et al.).
Gut microbiota play an immense role in the health of the entire bee colony. Three studies were recently conducted and each introduced a new organism to the bees gut microbiota. The bees were fed aged pollen, the assembly of the gut microbiota was disturbed, and antibiotic tetracycline entered their diet. All three studies showed that the honey bees' ability to survive decreased drastically and they became more likely to contract parasites and fungal infections (Bonilla-Rosso, G. and Engel, P. (2018). The introduction of certain mycelium to the honey bees gut microbiota has the opposite effect to what took place in these three studies, highlighting the importance of what bees ingest and the impacts it has on their survivability during both the development and adult stages.
Bee-fungus symbiosis
As mentioned above, honey bees cannot produce steroids themselves, they must be ingested through their diet, specifically in the early development process. Larvae eat the fungus and the ecdysteroids and Zygosaccharomyces produced by the mycelium benefit the larvae. Ecdysteroids are naturally occurring steroids found in mycelium and they help enhance performance and reproduction, boosting honey production and keeping the hive population running at a stable rate. “Zygosaccharomyces sp. is essential for S. depilis larvae” ( Paludo, C.R. et al.). These sterols thus have a high impact on the survival rate of honey bees. Their ingestion determines whether the honey bees will be able to protect themselves against fungal infections, viruses, and whether or not they will have sufficient strength to increase honey production and the ability to pollinate a larger area and more frequently. With the research provided on the positive impact of mycelium on bees, the relationship between mycelium and honey bees is symbiotic in that the survival of bees and the mycelium’s ability to help boost bee pollination, boosts the ability of the fungi to grow because bee pollination improves air and soil quality, thus boosting plant life. Allowing for a higher survivability rate for both bees and mycelium if they are able to perform their environmental roles properly without the interruption of harmful government approved pesticides. The recent studies done on the symbiotic relationship between mycelium and honey bees will prove to be vital in the argument towards lessening the types of chemicals legally allowed to be sprayed on produce. The use of pesticides on lawns and for other agricultural uses destroy the livelihood of mycelium by killing the soil it grows in, inhibiting bees from ingesting the necessary nutrients mycelium provides to survive.
Potential environmental impact
Pesticides have been diminishing the bee population recently due to a lack of regulations regarding what can and cannot be sprayed on produce to protect it from being damaged while it's being grown. When honey bees collect pollen and nectar for nutrition and to make honey, they are also ingesting harmful chemicals. These chemicals take a toll on the honey bees' already sensitive gut microbiome and lead to a higher morbidity rate in honey bees. "These microbes can suffer with toxic pesticides applied in agriculture, causing dangerous changes in the colony fitness and perturbing bee’s health.” (Yordanova, M. et al., 2022). Knowledge of how mycelium boosts honey bees immunity could be pivotal to the increase of a honey bee's lifespan and boost reproduction by helping implement new policies to prevent the use of harmful pesticides (Paludo, C.R. et al. ).
Relationship with humans
In mythology and folklore
Homer's Hymn to Hermes describes three bee-maidens with the power of divination and thus speaking truth, and identifies the food of the gods as honey. Sources associated the bee maidens with Apollo and, until the 1980s, scholars followed Gottfried Hermann (1806) in incorrectly identifying the bee-maidens with the Thriae. Honey, according to a Greek myth, was discovered by a nymph called Melissa ("Bee"); and honey was offered to the Greek gods from Mycenean times. Bees were also associated with the Delphic oracle and the prophetess was sometimes called a bee.
The image of a community of honey bees has been used from ancient to modern times, in Aristotle and Plato; in Virgil and Seneca; in Erasmus and Shakespeare; Tolstoy, and by political and social theorists such as Bernard Mandeville and Karl Marx as a model for human society. In English folklore, bees would be told of important events in the household, in a custom known as "Telling the bees".
In art and literature
Some of the oldest examples of bees in art are rock paintings in Spain which have been dated to 15,000 BC.
W. B. Yeats's poem The Lake Isle of Innisfree (1888) contains the couplet "Nine bean rows will I have there, a hive for the honey bee, / And live alone in the bee loud glade." At the time he was living in Bedford Park in the West of London. Beatrix Potter's illustrated book The Tale of Mrs Tittlemouse (1910) features Babbity Bumble and her brood (pictured). Kit Williams' treasure hunt book The Bee on the Comb (1984) uses bees and beekeeping as part of its story and puzzle. Sue Monk Kidd's The Secret Life of Bees (2004), and the 2009 film starring Dakota Fanning, tells the story of a girl who escapes her abusive home and finds her way to live with a family of beekeepers, the Boatwrights.
The 2007 animated comedy film Bee Movie used Jerry Seinfeld's first script and was his first work for children; he starred as a bee named Barry B. Benson, alongside Renée Zellweger. Critics found its premise awkward and its delivery tame. Dave Goulson's A Sting in the Tale (2014) describes his efforts to save bumblebees in Britain, as well as much about their biology. The playwright Laline Paull's fantasy The Bees (2015) tells the tale of a hive bee named Flora 717 from hatching onwards.
Beekeeping
Humans have kept honey bee colonies, commonly in hives, for millennia. Beekeepers collect honey, beeswax, propolis, pollen, and royal jelly from hives; bees are also kept to pollinate crops and to produce bees for sale to other beekeepers.
Depictions of humans collecting honey from wild bees date to 15,000 years ago; efforts to domesticate them are shown in Egyptian art around 4,500 years ago. Simple hives and smoke were used; jars of honey were found in the tombs of pharaohs such as Tutankhamun. From the 18th century, European understanding of the colonies and biology of bees allowed the construction of the moveable comb hive so that honey could be harvested without destroying the colony. Among Classical Era authors, beekeeping with the use of smoke is described in Aristotle's History of Animals Book 9. The account mentions that bees die after stinging; that workers remove corpses from the hive, and guard it; castes including workers and non-working drones, but "kings" rather than queens; predators including toads and bee-eaters; and the waggle dance, with the "irresistible suggestion" of ("", it waggles) and ("", they watch).
Beekeeping is described in detail by Virgil in his Georgics; it is also mentioned in his Aeneid, and in Pliny's Natural History.
As commercial pollinators
Bees play an important role in pollinating flowering plants, and are the major type of pollinator in many ecosystems that contain flowering plants. It is estimated that one third of the human food supply depends on pollination by insects, birds and bats, most of which is accomplished by bees, whether wild or domesticated. Over the last half century, there has been a general decline in the species richness of wild bees and other pollinators, probably attributable to stress from increased parasites and disease, the use of pesticides, and a general decrease in the number of wild flowers. Climate change probably exacerbates the problem.
Contract pollination has overtaken the role of honey production for beekeepers in many countries. After the introduction of Varroa mites, feral honey bees declined dramatically in the US, though their numbers have since recovered. The number of colonies kept by beekeepers declined slightly, through urbanization, systematic pesticide use, tracheal and Varroa mites, and the closure of beekeeping businesses. In 2006 and 2007 the rate of attrition increased, and was described as colony collapse disorder. In 2010 invertebrate iridescent virus and the fungus Nosema ceranae were shown to be in every killed colony, and deadly in combination. Winter losses increased to about 1/3. Varroa mites were thought to be responsible for about half the losses.
Apart from colony collapse disorder, losses outside the US have been attributed to causes including pesticide seed dressings, using neonicotinoids such as clothianidin, imidacloprid and thiamethoxam. From 2013 the European Union restricted some pesticides to stop bee populations from declining further. In 2014 the Intergovernmental Panel on Climate Change report warned that bees faced increased risk of extinction because of global warming. In 2018 the European Union decided to ban field use of all three major neonicotinoids; they remain permitted in veterinary, greenhouse, and vehicle transport usage.
Farmers have focused on alternative solutions to mitigate these problems. By raising native plants, they provide food for native bee pollinators like Lasioglossum vierecki and L. leucozonium, leading to less reliance on honey bee populations.
As food producers
Honey is a natural product produced by bees and stored for their own use, but its sweetness has always appealed to humans. Before domestication of bees was even attempted, humans were raiding their nests for their honey. Smoke was often used to subdue the bees and such activities are depicted in rock paintings in Spain dated to 15,000 BC.
Honey bees are used commercially to produce honey. They also produce some substances used as dietary supplements with possible health benefits, pollen, propolis, and royal jelly, though all of these can also cause allergic reactions.
As food
Bees are considered edible insects. People in some countries eat insects, including the larvae and pupae of bees, mostly stingless species. They also gather larvae, pupae and surrounding cells, known as bee brood, for consumption. In the Indonesian dish botok tawon from Central and East Java, bee larvae are eaten as a companion to rice, after being mixed with shredded coconut, wrapped in banana leaves, and steamed.
Bee brood (pupae and larvae) although low in calcium, has been found to be high in protein and carbohydrate, and a useful source of phosphorus, magnesium, potassium, and trace minerals iron, zinc, copper, and selenium. In addition, while bee brood was high in fat, it contained no fat soluble vitamins (such as A, D, and E) but it was a good source of most of the water-soluble B vitamins including choline as well as vitamin C. The fat was composed mostly of saturated and monounsaturated fatty acids with 2.0% being polyunsaturated fatty acids.
As alternative medicine
Apitherapy is a branch of alternative medicine that uses honey bee products, including raw honey, royal jelly, pollen, propolis, beeswax and apitoxin (Bee venom). The claim that apitherapy treats cancer, which some proponents of apitherapy make, remains unsupported by evidence-based medicine.
Stings
The painful stings of bees are mostly associated with the poison gland and the Dufour's gland which are abdominal exocrine glands containing various chemicals. In Lasioglossum leucozonium, the Dufour's Gland mostly contains octadecanolide as well as some eicosanolide. There is also evidence of n-triscosane, n-heptacosane, and 22-docosanolide. However, the secretions of these glands could also be used for nest construction.
See also
Australian native bees
Fear of bees (apiphobia)
Superorganism
World Bee Day
Explanatory notes
References
External links
"Apoidea" at All Living Thingsimages, identification guides, and maps of bees
Bee Genera of the World
Anthophila (Apoidea) – BeesNorth American species of bees at BugGuide
Native Bees of North America at BugGuide
"Bee declines driven by combined stress from parasites, pesticides, and lack of flowers"Science
Extant Early Cretaceous first appearances | 6 |
The Basques ( or ; ; ; ) are a Southwestern European ethnic group, characterised by the Basque language, a common culture and shared genetic ancestry to the ancient Vascones and Aquitanians. Basques are indigenous to, and primarily inhabit, an area traditionally known as the Basque Country ()—a region that is located around the western end of the Pyrenees on the coast of the Bay of Biscay and straddles parts of north-central Spain and south-western France.
Etymology
The English word Basque may be pronounced or and derives from the French Basque (), itself derived from Gascon Basco (pronounced ), cognate with Spanish Vasco (pronounced ). Those, in turn, come from Latin Vascō (pronounced ; plural Vascōnēs—see history section below). The Latin generally evolved into the bilabials and in Gascon and Spanish, probably under the influence of Basque and the related Aquitanian (the Latin /w/ instead evolved into in French, Italian and other Romance languages).
Several coins from the 2nd and the 1st centuries BC found in the Basque Country bear the inscription barscunes. The place in which they were minted is not certain but is thought to be somewhere near Pamplona, in the heartland of the area that historians believe was inhabited by the Vascones. Some scholars have suggested a Celtic etymology based on bhar-s-, meaning "summit", "point" or "leaves", according to which barscunes may have meant "the mountain people", "the tall ones" or "the proud ones", and others have posited a relationship to a Proto-Indo-European root *bar- meaning "border", "frontier", "march".
In Basque, people call themselves the euskaldunak, singular euskaldun, formed from euskal- (i.e. "Basque (language)") and -dun (i.e. "one who has"); euskaldun literally means a Basque-speaker. Not all Basques are Basque-speakers. Therefore, the neologism euskotar, plural euskotarrak, was coined in the 19th century to mean a Basque person, whether Basque-speaking or not. Alfonso Irigoyen posits that the word euskara is derived from an ancient Basque verb enautsi "to say" (compare modern Basque esan) and the suffix -(k)ara ("way (of doing something)"). Thus, euskara would mean literally "way of saying" or "way of speaking". One item of evidence in favour of that hypothesis is found in the Spanish book Compendio Historial, written in 1571 by the Basque writer Esteban de Garibay. He records the name of the Basque language as enusquera. That may, however, be a writing mistake.
In the 19th century, the Basque nationalist activist Sabino Arana posited an original root euzko, which he thought came from eguzkiko ("of the sun", related to the assumption of an original solar religion). On the basis of that putative root, Arana proposed the name Euzkadi for an independent Basque nation, composed of seven Basque historical territories. Arana's neologism Euzkadi (in the regularized spelling Euskadi) is still widely used in both Basque and Spanish since it is now the official name of the Autonomous Community of the Basque Country.
Origin
Early anthropological and genetic studies from the beginning and end of the 20th century theorized that the Basques are the descendants of the original Cro-Magnons. Although they are genetically distinctive in some ways due to isolation, the Basques are still very typically European in terms of their Y-DNA and mtDNA sequences, and in terms of some other genetic loci. These same sequences are widespread throughout the Western half of Europe, especially along the Western fringe of the continent. The distinctiveness noted by studies of 'classical' genetic markers (such as blood groups) and the apparently "pre-Indo-European" nature of the Basque language has resulted in a popular and long-held misleading view that Basques are "living fossils" of the earliest modern humans who colonised Europe.
However, studies of the Y-DNA haplogroups found that on their direct male lineages, the vast majority of modern Basques have a common ancestry with other Western Europeans, namely a marked predominance of Haplogroup R1b-DF27 (70%). Although also initially theorised to be that a Palaeolithic marker, this theory encountered inconsistencies even prior to most recent chronological re-evaluations, as more recent studies instead conclude that R1b spread up to Western Europe from southwestern Eurasia in the Neolithic period or later, between 4,000 and 8,000 years ago. The age of the subclade which Basque carry, R1b-DF27, "is estimated at ~4,200 years ago, at the transition between the Neolithic and the Bronze Age, when the Y chromosome landscape of Western Europe was thoroughly remodeled. In spite of its high frequency in Basques, Y-STR internal diversity of R1b-DF27 is lower there, and results in more recent age estimates", implying it was brought to the region from elsewhere.
Next to the main lineage R1b, high frequencies of E-V65 were found among Basque autochthonous inhabitants of Álava province (17.3%), Biscay province (10.9%), and Gipuzkoa province (3.3%). Several ancient DNA samples have been recovered and amplified from the Iberian and Basque region. The collection of mtDNA and Y-DNA haplogroups sampled there differed significantly compared to their modern frequencies. The authors concluded that there is "discontinuity" between ancient locals and modern Basques. Thus, while Basques harbour some very archaic mtDNA lineages, they are not of "undiluted Palaeolithic ancestry" but of significantly early Neolithic origin with a connection to the isolate Sardinian people. Rather, some 4500 years ago almost all Y-DNA heritage from Iberian admixture of Mesolithic hunter-gatherers and Neolithic farmers was replaced by the R1b lineage of herders from the steppe, and the Basque genetic distinctiveness is a result of centuries of low population size, genetic drift, and endogamy.
Autosomal genetic studies have confirmed that Basques share close genetic ties to other Europeans, especially with Spaniards, who have a common genetic identity of over 70% with Basques, a homogeneity amongst both their Spanish and French populations, according to high-density SNP genotyping study done in May 2010, and a genomic distinctiveness, relative to other European populations.
In 2015, a new scientific study of Basque DNA was published which seems to indicate that Basques are descendants of Neolithic farmers who mixed with local Mesolithic hunters before becoming genetically isolated from the rest of Europe for millennia. Mattias Jakobsson from Uppsala University in Sweden analysed genetic material from eight Stone Age human skeletons found in El Portalón Cavern in Atapuerca, northern Spain. These individuals lived between 3,500 and 5,500 years ago, after the transition to farming in southwest Europe. The results show that these early Iberian farmers are the closest ancestors to present-day Basques. The findings were published in Proceedings of the National Academy of Sciences of the United States of America. According to the study, the "results show that the Basques trace their ancestry to early farming groups from Iberia, which contradicts previous views of them being a remnant population that trace their ancestry to Mesolithic hunter-gatherer groups." These early Neolithic farmer ancestors of the Basques, however, additionally mixed with local southwestern hunter-gatherers, and "the proportion of hunter gatherer-related admixture into early farmers also increased over the course of two millennia." This admixed group was also found to be ancestral to other modern-day Iberian peoples, but while the Basques remained relatively isolated for millennia after this time, later migrations into Iberia led to distinct and additional admixture in all other Iberian groups.
In 2019, a study was published in Science in which a more fine-tuned and deep time-transect of Iberian ancient populations including the Basque were analyzed. From their abstract, it says: "and we reveal that present-day Basques are best described as a typical Iron Age population without the admixture events that later affected the rest of Iberia." This indicates Basques were isolated from admixture with outside groups since at least 1000 BC, or 3,000 years before the present. In Iberia, these later admixture (interbreeding) events were with central European (Celtic), eastern Mediterranean (Phoenician, Greek and Roman), northern African (Carthaginian and Mauritanian) and northern European (Gothic and Frankish) populations, and genomic ancestry from them are found in varying degrees in all or most present-day Iberian populations, except – albeit to a limited extent even there – for the Basque.
History
Basque tribes were mentioned in Roman times by Strabo and Pliny, including the Vascones, Aquitani, and others. There is enough evidence to support the hypothesis that at that time and later they spoke old varieties of the Basque language (see: Aquitanian language).
In the Early Middle Ages, the territory between the Ebro and Garonne rivers was known as Vasconia, a vaguely defined ethnic area and political entity struggling to fend off pressure from the Iberian Visigothic kingdom and Arab rule to the south, as well as the Frankish push from the north. By the turn of the first millennium, the territory of Vasconia had fragmented into different feudal regions, such as Soule and Labourd, while south of the Pyrenees the Castile, Pamplona and the Pyrenean counties of Aragon, Sobrarbe, Ribagorça (later Kingdom of Aragon), and Pallars emerged as the main regional entities with Basque population in the 9th and 10th centuries.
The Kingdom of Pamplona, a central Basque realm, later known as Navarre, underwent a process of feudalization and was subject to the influence of its much larger Aragonese, Castilian and French neighbours. Castile deprived Navarre of its coastline by conquering key western territories (1199–1201), leaving the kingdom landlocked. The Basques were ravaged by the War of the Bands, bitter partisan wars between local ruling families. Weakened by the Navarrese civil war, the bulk of the realm eventually fell before the onslaught of the Spanish armies (1512–1524). However, the Navarrese territory north of the Pyrenees remained beyond the reach of an increasingly powerful Spain. Lower Navarre became a province of France in 1620.
Nevertheless, the Basques enjoyed a great deal of self-government until the French Revolution (1790) and the Carlist Wars (1839, 1876), when the Basques supported heir apparent Carlos V and his descendants. On either side of the Pyrenees, the Basques lost their native institutions and laws held during the Ancien régime. Since then, despite the current limited self-governing status of the Basque Autonomous Community and Navarre as settled by the Spanish Constitution, many Basques have attempted higher degrees of self-empowerment (see Basque nationalism), sometimes by acts of violence. Labourd, Lower Navarre, and Soule were integrated into the French department system (starting 1790), with Basque efforts to establish a region-specific political-administrative entity failing to take off to date. However, in January 2017, a single agglomeration community was established for the Basque Country in France.
Geography
Political and administrative divisions
The Basque region is divided into at least three administrative units, namely the Basque Autonomous Community and Navarre in Spain, and the arrondissement of Bayonne and the cantons of Mauléon-Licharre and Tardets-Sorholus in the département of Pyrénées Atlantiques, France.
The autonomous community (a concept established in the Spanish Constitution of 1978) known as Euskal Autonomia Erkidegoa or EAE in Basque and as Comunidad Autónoma Vasca or CAV in Spanish (in English: Basque Autonomous Community or BAC), is made up of the three Spanish provinces of Álava, Biscay and Gipuzkoa. The corresponding Basque names of these territories are Araba, Bizkaia and Gipuzkoa, and their Spanish names are Álava, Vizcaya and Guipúzcoa.
The BAC only includes three of the seven provinces of the currently called historical territories. It is sometimes referred to simply as "the Basque Country" (or Euskadi) by writers and public agencies only considering those three western provinces, but also on occasions merely as a convenient abbreviation when this does not lead to confusion in the context. Others reject this usage as inaccurate and are careful to specify the BAC (or an equivalent expression such as "the three provinces", up to 1978 referred to as "Provincias Vascongadas" in Spanish) when referring to this entity or region. Likewise, terms such as "the Basque Government" for "the government of the BAC" are commonly though not universally employed. In particular in common usage the French term Pays Basque ("Basque Country"), in the absence of further qualification, refers either to the whole Basque Country ("Euskal Herria" in Basque), or not infrequently to the northern (or "French") Basque Country specifically.
Under Spain's present constitution, Navarre (Nafarroa in present-day Basque, Navarra historically in Spanish) constitutes a separate entity, called in present-day Basque Nafarroako Foru Erkidegoa, in Spanish Comunidad Foral de Navarra (the autonomous community of Navarre). The government of this autonomous community is the Government of Navarre. In historical contexts Navarre may refer to a wider area, and that the present-day northern Basque province of Lower Navarre may also be referred to as (part of) Nafarroa, while the term "High Navarre" (Nafarroa Garaia in Basque, Alta Navarra in Spanish) is also encountered as a way of referring to the territory of the present-day autonomous community.
There are three other historic provinces parts of the Basque Country: Labourd, Lower Navarre and Soule (Lapurdi, Nafarroa Beherea and Zuberoa in Basque; Labourd, Basse-Navarre and Soule in French), devoid of official status within France's present-day political and administrative territorial organization, and only minor political support to the Basque nationalists. A large number of regional and local nationalist and non-nationalist representatives have waged a campaign for years advocating for the creation of a separate Basque département, while these demands have gone unheard by the French administration.
Population, main cities, and languages
There are 2,123,000 people living in the Basque Autonomous Community (279,000 in Alava, 1,160,000 in Biscay and 684,000 in Gipuzkoa). The most important cities in this region, which serve as the provinces' administrative centers, are Bilbao (in Biscay), San Sebastián (in Gipuzkoa), and Vitoria-Gasteiz (in Álava). The official languages are Basque and Spanish. Knowledge of Spanish is compulsory under the Spanish constitution (article no. 3), and knowledge and usage of Basque is a right under the Statute of Autonomy (article no. 6), so only knowledge of Spanish is virtually universal. Knowledge of Basque, after declining for many years during Franco's dictatorship owing to official persecution, is again on the rise due to favorable official language policies and popular support. Currently about 33 percent of the population in the Basque Autonomous Community speaks Basque.
Navarre has a population of 601,000; its administrative capital and main city, also regarded by many nationalist Basques as the Basques' historical capital, is Pamplona (Iruñea in modern Basque). Only Spanish is an official language of Navarre, and the Basque language is only co-official in the province's northern region, where most Basque-speaking Navarrese are concentrated.
About a quarter of a million people live in the French Basque Country. Nowadays Basque-speakers refer to this region as Iparralde (Basque for North), and to the Spanish provinces as Hegoalde (South). Much of this population lives in or near the Bayonne-Anglet-Biarritz (BAB) urban belt on the coast (in Basque these are Baiona, Angelu and Miarritze). The Basque language, which was traditionally spoken by most of the region's population outside the BAB urban zone, is today rapidly losing ground to French. The French Basque Country's lack of self-government within the French state is coupled with the absence of official status for the Basque language in the region. Attempts to introduce bilingualism in local administration have so far met direct refusal from French officials.
Basque diaspora
Large numbers of Basques have left the Basque Country to settle in the rest of Spain, France or other parts of the world in different historical periods, often for economic or political reasons. Historically the Basques abroad were often employed in shepherding and ranching and by maritime fisheries and merchants. Millions of Basque descendants (see Basque American and Basque Canadian) live in North America (the United States; Canada, mainly in the provinces of Newfoundland and Quebec), all over Latin America, South Africa, and Australia.
Latin America
Miguel de Unamuno said: "There are at least two things that clearly can be attributed to Basques: the Society of Jesus and the Republic of Chile." Chilean historian Luis Thayer Ojeda estimated that 48 percent of immigrants to Chile in the 17th and 18th centuries were Basque. Estimates range between 2.5 and 5 million Basque descendants live in Chile; the Basque have been a major if not the strongest influence in the country's cultural and economic development.
Basque place names are to be found, such as Nueva Vizcaya (now Chihuahua and Durango, Mexico), New Navarre (now Sonora and Sinaloa, Mexico), Biscayne Bay (United States), and Aguereberry Point (United States). Nueva Vizcaya was the first province in the north of the Viceroyalty of New Spain (Mexico) to be explored and settled by the Spanish. It consisted mostly of the area which is today the states of Chihuahua and Durango (the original Durango is a known city in Biscay).
In Mexico most descendants of Basque emigrees are concentrated in the cities of Monterrey, Saltillo, Reynosa, Camargo, and the states of Jalisco, Durango, Nuevo León, Tamaulipas, Coahuila, and Sonora. The Basques were important in the mining industry; many were ranchers and vaqueros (cowboys), and the rest opened small shops in major cities such as Mexico City, Guadalajara and Puebla. In Guatemala, most Basques have been concentrated in Sacatepequez Department, Antigua Guatemala, Jalapa for six generations now, while some have migrated to Guatemala City.
In Colombia, a large number of Basques settled mainly in Antioquia and the Coffee Axis. In 1955, Joaquín Ospina said: "Is there something more similar to the Basque people than the "antioqueños". Also, writer Arturo Escobar Uribe said in his book "Mitos de Antioquia" (Myths of Antioquia) (1950): "Antioquia, which in its clean ascendance predominates the peninsular farmer of the Basque provinces, inherited the virtues of its ancestors. ... Despite the predominance of the white race, its extension in the mountains ... has projected over Colombia's map the prototype of its race; in Medellín with the industrial paisa, entrepreneur, strong and steady ... in its towns, the adventurer, arrogant, world-explorer. ... Its myths, which are an evidence of their deep credulity and an indubitable proof of their Iberian ancestor, are the sequel of the conqueror's blood which runs through their veins". Bambuco, a Colombian folk music, has Basque roots.
United States
The largest of several important Basque communities in the United States is in the area around Boise, Idaho, home to the Basque Museum and Cultural Center, host to an annual Basque festival, as well as a festival for the Basque diaspora every five years. Reno, Nevada, where the Center for Basque Studies and the Basque Studies Library are located at the University of Nevada, is another significant nucleus of Basque population. Elko, Nevada, sponsors an annual Basque festival that celebrates the dance, cuisine and cultures of the Basque peoples of Spanish, French and Mexican nationalities who have arrived in Nevada since the late 19th century.
Texas has a large percentage of Hispanics descended from Basques who participated in the conquest of New Spain. Many of the original Tejanos had Basque blood, including those who fought in the Battle of the Alamo alongside many of the other Texans. Along the Mexican/Texan border, many Basque surnames can be found. The largest concentration of Basques who settled on Mexico's north-eastern "frontera", including the states of Chihuahua, Durango, Coahuila, Nuevo León, and Tamaulipas, also settled along Texas' Rio Grande from South Texas to West Texas. Many of the historic hidalgos, or noble families from this area, had gained their titles and land grants from Spain and Mexico; they still value their land. Some of North America's largest ranches, which were founded under these colonial land grants, can be found in this region.
California has a major concentration of Basques, most notably in the San Joaquin Valley between Stockton, Fresno and Bakersfield. The city of Bakersfield has a large Basque community and the city has several Basque restaurants, including Noriega's which won the 2011 James Beard Foundation America's Classic Award. There is a history of Basque culture in Chino, California. In Chino, two annual Basque festivals celebrate the dance, cuisine, and culture of the peoples. The surrounding area of San Bernardino County has many Basque descendants as residents. They are mostly descendants of settlers from Spain and Mexico. These Basques in California are grouped in the group known as Californios.
Basques of European Spanish-French and Latin American nationalities also settled throughout the western U.S. in states like Louisiana, New Mexico, Arizona, Utah, Colorado, Wyoming, Montana, Oregon, and Washington.
Culture
Language
The identifying language of the Basques is called Basque or Euskara, spoken today by 25%-30% of the region's population. An idea of the central place the language has in cultural terms is given by the fact that Basques identify themselves by the term euskaldun and their country as Euskal Herria, literally "Basque speaker" and "Country of the Basque Language" respectively. The language has been made a political issue by official Spanish and French policies restricting its use either historically or currently; however, this has not stopped the teaching, speaking, writing, and cultivating of this increasingly vibrant minority language. This sense of Basque identity tied to the local language does not only exist in isolation. For many Basques, it is juxtaposed with a sense of either Spanish or French identity tied with the use of the Spanish and French languages among other Basques, especially in the French Basque Country. Regarding the Spanish Basque Country, Basques that don't have a sense of Spanish identity make up an important part of the population. As with many European states, a regional identity, be it linguistically derived or otherwise, is not mutually exclusive with the broader national one. For example, Basque rugby union player for France, Imanol Harinordoquy, has said about his national identity:"I am French and Basque. There is no conflict, I am proud of both. ... I have friends who are involved in the political side of things but that is not for me. My only interest is the culture, the Euskera language, the people, our history and ways."
As a result of state language promotion, school policies, the effects of mass media and migration, today virtually all Basques (except for some children below school age) speak the official language of their state (Spanish or French). There are extremely few Basque monolingual speakers: essentially all Basque speakers are bilingual on both sides of the border. Spanish or French is typically the first language of citizens from other regions (who often feel no need to learn Basque), and Spanish or French is also the first language of many Basques, all of which maintains the dominance of the state tongues of both France and Spain. Recent Basque Government policies aim to change this pattern, as they are viewed as potential threats against mainstream usage of the minority tongue.
The Basque language is thought to be a genetic language isolate in contrast with other European languages, vast majority of which belong to the broad Indo-European language family. Another peculiarity of Basque is that it has probably been spoken continuously in situ, in and around its present territorial location, for longer than most other modern European languages, which are typically thought to have been introduced in historic or prehistoric times through population migrations or other processes of cultural transmission.
However, popular stereotypes characterizing Basque as "the oldest language in Europe" and "unique among the world's languages" may be misunderstood and lead to erroneous assumptions. Over the centuries, Basque has remained in continuous contact with neighboring western European languages with which it has come to share numerous lexical properties and typological features; it is therefore misleading to exaggerate the "outlandish" character of Basque. Basque is also a modern language, and is established as a written and printed one used in present-day forms of publication and communication, as well as a language spoken and used in a very wide range of social and cultural contexts, styles, and registers.
Land and inheritance
Basques have a close attachment to their home (etxe(a) 'house, home'), especially when this consists of the traditional self-sufficient, family-run farm or baserri(a). Home in this context is synonymous with family roots. Some Basque surnames were adapted from old baserri or habitation names. They typically related to a geographical orientation or other locally meaningful identifying features. Such surnames provide even those Basques whose families may have left the land generations ago with an important link to their rural family origins: Bengoetxea "the house of further down", Goikoetxea "the house above", Landaburu "top of the field", Errekondo "next to the stream", Elizalde "by the church", Mendizabal "wide hill", Usetxe "house of birds" Ibarretxe "house in the valley", Etxeberria "the new house", and so on.
In contrast to surrounding regions, ancient Basque inheritance patterns, recognised in the fueros, favoured survival of the unity of inherited land holdings. In a kind of primogeniture, these usually were inherited by the eldest male or female child. As in other cultures, the fate of other family members depended on the assets of a family: wealthy Basque families tended to provide for all children in some way, while less-affluent families may have had only one asset to provide to one child. However, this heir often provided for the rest of the family (unlike in England, with strict primogeniture, where the eldest son inherited everything and often did not provide for others). Even though they were provided for in some way, younger siblings had to make much of their living by other means. Mostly after the advent of industrialisation, this system resulted in the emigration of many rural Basques to Spain, France or the Americas. Harsh by modern standards, this custom resulted in a great many enterprising figures of Basque origin who went into the world to earn their way, from Spanish conquistadors such as Lope de Aguirre and Francisco Vásquez de Coronado, to explorers, missionaries and saints of the Catholic Church, such as Francis Xavier.
A widespread belief that Basque society was originally matriarchal is at odds with the current, clearly patrilineal kinship system and inheritance structures. Some scholars and commentators have attempted to reconcile these points by assuming that patrilineal kinship represents an innovation. In any case, the social position of women in both traditional and modern Basque society is somewhat better than in neighbouring cultures, and women have a substantial influence in decisions about the domestic economy. In the past, some women participated in collective magical ceremonies. They were key participants in a rich folklore, today largely forgotten.
Cuisine
Basque cuisine is at the heart of Basque culture, influenced by the neighboring communities and produce from the sea and the land. A 20th-century feature of Basque culture is the phenomenon of gastronomical societies (called txoko in Basque), food clubs where men gather to cook and enjoy their own food. Until recently, women were allowed entry only one day in the year. Cider houses (Sagardotegiak) are popular restaurants in Gipuzkoa open for a few months while the cider is in season.
Cultural production
At the end of the 20th century, despite ETA violence (ended in 2010) and the crisis of heavy industries, the Basque economic condition recovered remarkably. They emerged from the Franco regime with a revitalized language and culture. The Basque language expanded geographically led by large increases in the major urban centers of Pamplona, Bilbao, and Bayonne, where only a few decades ago the Basque language had all but disappeared. Nowadays, the number of Basque speakers is maintaining its level or increasing slightly.
Music
Religion
Traditionally Basques have been mostly Catholics. In the 19th century and well into the 20th, Basques as a group remained notably devout and churchgoing. In recent years church attendance has fallen off, as in most of Western Europe. The region has been a source of missionaries like Francis Xavier and Michel Garicoïts. Ignatius Loyola, founder of the Society of Jesus, was a Basque. California Franciscan Fermín Lasuén was born in Vitoria. Lasuén was the successor to Franciscan Padre Junípero Serra and founded 9 of the 21 extant California Missions along the coast.
A sprout of Protestantism in the continental Basque Country produced the first translation of the new Testament into Basque by Joanes Leizarraga. Queen Jeanne III of Navarre, a devout Huguenot, commissioned the translation of the New Testament into Basque and Béarnese for the benefit of her subjects. By the time Henry III of Navarre converted to Catholicism in order to become king of France, Protestantism virtually disappeared from the Basque community.
Bayonne held a Jewish community composed mainly of Sephardi Jews fleeing from the Spanish and Portuguese Inquisitions. There were also important Jewish and Muslim communities in Navarre before the Castilian invasion of 1512–21.
Nowadays, according to one single opinion poll, only slightly more than 50% of Basques profess some kind of belief in God, while the rest are either agnostic or atheist. The number of religious skeptics increases noticeably for the younger generations, while the older ones are more religious. Catholicism is, by far, the largest religion in Basque Country. In 2019, the proportion of Basques that identify themselves as Roman Catholic was 60%, while it is one of the most secularized communities of Spain: 24.6% were non-religious and 12.3% of Basques were atheist.
Pre-Christian religion and mythology
Christianisation of the Basque Country has been the topic of some discussion. There are, broadly speaking, two views. According to one, Christianity arrived in the Basque Country during the 4th and 5th centuries but according to the other, it did not take place until the 12th and 13th centuries. The main issue lies in the different interpretations of what is considered Christianisation. Early traces of Christianity can be found in the major urban areas from the 4th century onwards, a bishopric from 589 in Pamplona and three hermit cave concentrations (two in Álava, one in Navarre) that were in use from the 6th century onwards. In this sense, Christianity arrived "early".
Pre-Christian belief seems to have focused on a goddess called Mari. A number of place-names contain her name, which would suggest these places were related to worship of her such as Anbotoko Mari who appears to have been related to the weather. According to one tradition, she travelled every seven years between a cave on Mount Anboto and one on another mountain (the stories vary); the weather would be wet when she was in Anboto, dry when she was in Aloña, or Supelegor, or Gorbea. One of her names, Mari Urraca possibly ties her to an historical Navarrese princess of the 11th and 12th century, with other legends giving her a brother or cousin who was a Roman Catholic priest. So far the discussions about whether the name Mari is original and just happened to coincide closely with the Christian name María or if Mari is an early Basque attempt to give a Christian veneer to pagan worship have remained speculative. At any rate, Mari (Andramari) is one of the oldest worshipped Christian icons in Basque territories.
Mari's consort is Sugaar. This chthonic couple seems to bear the superior ethical power and the power of creation and destruction. It's said that when they gathered in the high caves of the sacred peaks, they engendered the storms. These meetings typically happened on Friday nights, the day of historical akelarre or coven. Mari was said to reside in Mount Anboto; periodically she crossed the skies as a bright light to reach her other home at Mount Txindoki.
Legends also speak of many and abundant genies, like jentilak (equivalent to giants), lamiak (equivalent to nymphs), mairuak (builders of the cromlechs or stone circles, literally Moors), iratxoak (imps), sorginak (witches, priestess of Mari), and so on. Basajaun is a Basque version of the Woodwose. There is a trickster named San Martin Txiki ("St Martin the Lesser").
It is unclear whether Neolithic stone structures called dolmens have a religious significance or were built to house animals or resting shepherds. Some of the dolmens and cromlechs are burial sites serving also as border markers.
The jentilak ('Giants'), on the other hand, are a legendary people which explains the disappearance of a people of Stone Age culture that used to live in the high lands and with no knowledge of iron. Many legends about them tell that they were bigger and taller, with a great force, but were displaced by the ferrons, or workers of ironworks foundries, until their total fade-out. They were pagans, but one of them, Olentzero, accepted Christianity and became a sort of Basque Santa Claus. They gave name to several toponyms, as Jentilbaratza.
Society
Historically, Basque society can be described as being somewhat at odds with Roman and later European societal norms. Strabo's account of the north of Spain in his Geographica (written between approximately 20 BC and 20 AD) makes a mention of "a sort of woman-rule—not at all a mark of civilization" (Hadington 1992), a first mention of the—for the period—unusual position of women: "Women could inherit and control property as well as officiate in churches." The evidence for this assertion is rather sparse however.
This preference for female dominance existed well into the 20th century:
... matrilineal inheritance laws, and agricultural work performed by women continued in Basque country until the early twentieth century. For more than a century, scholars have widely discussed the high status of Basque women in law codes, as well as their positions as judges, inheritors, and arbitrators through ante-Roman, medieval, and modern times. The system of laws governing succession in the French Basque region reflected total equality between the sexes. Up until the eve of the French Revolution, the Basque woman was truly 'the mistress of the house', hereditary guardian, and head of the lineage.
While women continued to have a higher position in Basque than other western European societies, it is highly unlikely that any point the society was 'matriarchal', as is often falsely claimed about pre-Indo-European peoples in general. The 'Basque matriarchy' argument is typically tied to 20th century nationalism and is at odds with earlier accounts of the society.
Although the Kingdom of Navarre did adopt feudalism, most Basques also possessed unusual social institutions different from those of the rest of feudal Europe. Some aspects of this include the elizate tradition where local house-owners met in front of the church to elect a representative to send to the juntas and Juntas Generales (such as the Juntas Generales de Vizcaya or Guipúzcoa) which administered much larger areas. Another example was that in the medieval period most land was owned by the farmers, not the Church or a king.
Sports in the Basque Country
Pelota
The great family of ball games has its unique offspring among Basque ball games, known generically as pilota (Spanish: pelota). Some variants have been exported to the United States and Macau under the name of Jai Alai.
Rural sports
There are several sports derived by Basques from everyday chores. Heavy workers were challenged and bets placed upon them. Examples are:
estropadak rowing regattas: from fishermen activities.
sokatira: tug-of-war.
harri-jasotzea: stone-lifting, from quarry works.
aizkolaritza and trontzalaritza: wood-chopping and log sawing.
sega jokoa: cutting grass with a scythe.
Giza-abere probak: stone block pulling, from construction works:
idi probak with teams of oxen.
asto probak with donkeys.
zaldi probak with horses.
gizon probak with human teams.
txinga eramatea: carrying of weights, one in each hand, representing milk canisters.
ahari topaketa: ram fights.
harri zulaketa competitions: drilling stone blocks with a metal bar, only in the former mining areas of West Biscay.
Basque sheepdog trials competitions.
Bull runs and bullock games
The encierro (bull run) in Pamplona's fiestas Sanfermines started as a transport of bulls to the ring. These encierros, as well as other bull and bullock related activities are not exclusive to Pamplona but are traditional in many towns and villages of the Basque country.
Football
There are several clubs within the Basque Country, such as Athletic Bilbao, Real Sociedad, Deportivo Alavés, SD Eibar and, as Navarre club, the CA Osasuna (the only club in La Liga that has a Basque name—osasuna means "health"). In the 2016–17 season these five clubs played together in La Liga, the first instance where five Basque clubs have reached that level at the same time. Athletic's recruitment policy has meant the club refuses to sign any non-Basque players, with "Basque" currently defined to include either ethnic Basques or players of any ethnicity trained by a Basque club. Real Sociedad also previously employed such a policy.
Basketball
The Basque Country also features several professional basketball teams, the most notable of which is Saski Baskonia from Vitoria-Gasteiz, one of the 11 clubs that own stakes in Euroleague Basketball, the company that operates the continent-wide EuroLeague and EuroCup. They are currently joined in the Spanish top flight, Liga ACB, by Bilbao Basket, with the two clubs involved in a longstanding rivalry. Another club from the Basque Country, Gipuzkoa Basket from Donostia, currently plays in the second-level LEB Oro.
Rugby union
Rugby union is a popular sport among French Basques, with major clubs Biarritz Olympique and Aviron Bayonnais traditional powerhouses in the premier division of French Rugby (the Top 14). Biarritz regularly play Champions Cup matches, especially knockout matches, at Estadio Anoeta in San Sebastian. Games between the Basque clubs and Catalan club USA Perpignan are always hard fought.
Professional cycling
Cycling is popular and the professional cycling team, partly sponsored by the Basque Government participated in the UCI World Tour division until 2014. Known for their orange tops and hill-climbing ability, their fans were famous for lining the famous Pyrenean climbs in the Tour de France, in support of their compatriots.
Each April the week-long Tour of the Basque Country showcases the beautiful rolling Basque countryside. Miguel Indurain, born in Villava is one of the most celebrated cyclists in the world having won 5 consecutive Tours de France.
Politics
While there is no independent Basque state, Spain's autonomous community of the Basque Country, made up of the provinces of Álava (Araba), Biscay (Bizkaia) and Gipuzkoa, is primarily a historical consequence and an answer to the wide autonomy claim of its population.
Navarre has a separate statute of autonomy, a contentious arrangement designed during Spanish transition to democracy (the Amejoramiento, an 'upgrade' of its previous status during dictatorship). It refers back to the kingdom status of Navarre (up to 1841) and their traditional institutional and legal framework (charters). Basque, the original and main language of Navarre up to the late 18th century, has kept family transmission especially in the northern part of Navarre and central areas to a lesser extent, designated as Basque speaking or mixed area in Navarrese law. Questions of political, linguistic and cultural allegiance and identity are highly complex in Navarre. Politically some Basque nationalists would like to integrate with the Basque Autonomous Community.
The French Basque Country today does not exist as a formal political entity and is officially simply part of the French department of Pyrénées Atlantiques, centered in Béarn. In recent years the number of mayors of the region supporting the creation of a separate Basque department has grown to 63.87%. So far, their attempts have been unsuccessful.
Political conflicts
Language
Both the Spanish and French governments have, at times, suppressed Basque linguistic and cultural identity. The French Republics, the epitome of the nation-state, have a long history of attempting the complete cultural absorption of cultural minority groups. Spain has, at most points in its history, granted some degree of linguistic, cultural, and even political autonomy to its Basques, but under the regime of Francisco Franco, the Spanish government reversed the advances of Basque nationalism, as it had fought in the opposite side of the Spanish Civil War: cultural activity in Basque was limited to folkloric issues and the Catholic Church.
Today, the Southern Basque Country within Spain enjoys an extensive cultural and political autonomy. The majority of schools under the jurisdiction of the Basque education system use Basque as the primary medium of teaching. However, the situation is more delicate in the Northern Basque Country within France, where Basque is not officially recognized, and where lack of autonomy and monolingual public schooling in French exert great pressure on the Basque language.
In Navarre, Basque has been declared an endangered language, since the anti-Basque and conservative government of Navarrese People's Union opposes the symbols of Basque culture, highlighting a Spanish identity for Navarre.
Basque is also spoken by immigrants in the major cities of Spain and France, in Australia, in many parts of Latin America, and in the United States, especially in Nevada, Idaho, and California.
Political status and violence
Since its articulation by Sabino Arana in the late 19th century, the more radical currents of Basque nationalism have demanded the right of self-determination and even independence. Within the Basque country, this element of Basque politics is often in balance with the conception of the Basque Country as just another part of the Spanish state, a view more commonly espoused on the right of the political spectrum. In contrast, the desire for greater autonomy or independence is particularly common among leftist Basque nationalists. The right of self-determination was asserted by the Basque Parliament in 2002 and 2006. Since self-determination is not recognized in the Spanish Constitution of 1978, a wide majority of Basques abstained (55%) and some even voted against it (23.5%) in the ratification referendum of December 6 of that year. However, it was approved by clear majority overall in Spain (87%). The autonomous regime for the Basque Country was approved in a 1979 referendum but the autonomy of Navarre (Amejoramiento del Fuero: "improvement of the charter") was never subject to a referendum but only approved by the Navarrese Cortes (parliament).
Political violence
Classification
As with their language, the Basques are clearly a distinct cultural group in their region. They regard themselves as culturally and especially linguistically distinct from their surrounding neighbours. Some Basques identify themselves as Basques only whereas others identify themselves both as Basque and Spanish. Many Basques regard the designation as a "cultural minority" as incomplete, favouring instead the definition as a nation, the commonly accepted designation for the Basque people up to the rise of the nation-states and the definition imposed by the 1812 Spanish Constitution.
In modern times, as a European people living in a highly industrialized area, cultural differences from the rest of Europe are inevitably blurred, although a conscious cultural identity as a people or nation remains very strong, as does an identification with their homeland, even among many Basques who have emigrated to other parts of Spain or France, or to other parts of the world.
The strongest distinction between the Basques and their traditional neighbours is linguistic. Surrounded by Romance-language speakers, the Basques traditionally spoke (and many still speak) a language that was not only non-Romance but non-Indo-European. The prevailing belief amongst Basques, and forming part of their national identity, is that their language has continuity with the people who were in this region since not only pre-Roman and pre-Celtic times, but since the Stone Age.
Notable Basques
Among the most notable Basque people are Juan Sebastián Elcano (who led the first successful expedition to circumnavigate the globe after Ferdinand Magellan died mid-journey); Sancho III of Navarre; and Ignatius of Loyola and Francis Xavier, founders of the Society of Jesus.
Don Diego María de Gardoqui y Arriquibar (1735–1798) was also a Basque who became Spain's first Ambassador to the United States, and Miguel de Unamuno was a noted novelist and philosopher of the late 19th and the 20th century, was also a Basque.
Another well-known Basque was Father Alberto Hurtado, S.J. (1901–1952), a Jesuit priest who founded the charitable housing system Hogar de Cristo, meaning hearth, or home, of Christ, in Chile. El Hogar provided a home-like milieu for the homeless. Hurtado also founded the Chilean Trade Union Association to promote a union movement based on the social teachings of the Catholic Church. He was a friend and savior to all the poor and homeless, and was beatified by Pope John Paul II on October 16, 1994. He was canonized by Pope Benedict XVI on October 23, 2005.
See also
Aberri Eguna
Aquitani
Basque code talkers
Cro-Magnon
Duchy of Vasconia
French people
Genetic history of Europe
Iberians
Late Basquisation
List of Basques
National and regional identity in Spain
Spanish people
Vascones
Footnotes
References
Allières, Jacques. The Basques 1977; online 2016 reprint.
The Basques, the Catalans and Spain, Daniele Conversi, 2000, .
The Basque History of the World, Mark Kurlansky, 1999, .
The Oldest Europeans, J. F. del Giorgio, A. J. Place, 2006, .
Ethnologue report for France for population statistics in France.
Euskal Herria en la Prehistoria, Xabier Peñalver Iribarren, 1996, .
Gimbutas, Marija, The Living Goddesses (Berkeley: University of California Press, 2001).
External links
Basque Autonomous Government
8 Probintziak. Non profit association working with the basques in the world
Oroitzapenak Voices From Basque America, University of Nevada, Reno, Special Collections.
Basque Digital Collection, University of Nevada, Reno Special Collections
Sheepherders of Northern Nevada, University of Nevada, Reno, Special Collections
Basque Posters, University of Nevada, Reno, Special Collections
Voices from Basque America University of Nevada, Reno Libraries
Basque people
People
Ethnic groups divided by international borders
Ethnic groups in Argentina
Ethnic groups in Chile
Ethnic groups in France
Ethnic groups in Mexico
Ethnic groups in South America
Ethnic groups in Spain
Ethnic groups in Uruguay
Indigenous peoples of Europe
Ethnic groups in Cuba
Pre-Indo-Europeans | 7 |
Bookkeeping is the recording of financial transactions, and is part of the process of accounting in business and other organizations. It involves preparing source documents for all transactions, operations, and other events of a business. Transactions include purchases, sales, receipts and payments by an individual person or an organization/corporation. There are several standard methods of bookkeeping, including the single-entry and double-entry bookkeeping systems. While these may be viewed as "real" bookkeeping, any process for recording financial transactions is a bookkeeping process.
The person in an organisation who is employed to perform bookkeeping functions is usually called the bookkeeper (or book-keeper). They usually write the daybooks (which contain records of sales, purchases, receipts, and payments), and document each financial transaction, whether cash or credit, into the correct daybook—that is, petty cash book, suppliers ledger, customer ledger, etc.—and the general ledger. Thereafter, an accountant can create financial reports from the information recorded by the bookkeeper. The bookkeeper brings the books to the trial balance stage, from which an accountant may prepare financial reports for the organisation, such as the income statement and balance sheet.
History
The origin of book-keeping is lost in obscurity, but recent research indicates that methods of keeping accounts have existed from the remotest times of human life in cities. Babylonian records written with styli on small slabs of clay have been found dating to 2600 BC. Mesopotamian bookkeepers kept records on clay tablets that may date back as far as 7,000 years. Use of the modern double entry bookkeeping system was described by Luca Pacioli in 1494.
The term "waste book" was used in colonial America, referring to the documenting of daily transactions of receipts and expenditures. Records were made in chronological order, and for temporary use only. Daily records were then transferred to a daybook or account ledger to balance the accounts and to create a permanent journal; then the waste book could be discarded, hence the name.
Process
The primary purpose of bookkeeping is to record the financial effects of transactions. An important difference between a manual and an electronic accounting system is the former's latency between the recording of a financial transaction and its posting in the relevant account. This delay, which is absent in electronic accounting systems due to nearly instantaneous posting to relevant accounts, is characteristic of manual systems, and gave rise to the primary books of accounts—cash book, purchase book, sales book, etc.—for immediately documenting a financial transaction.
In the normal course of business, a document is produced each time a transaction occurs. Sales and purchases usually have invoices or receipts. Historically, deposit slips were produced when lodgements (deposits) were made to a bank account; and checks (spelled "cheques" in the UK and several other countries) were written to pay money out of the account. Nowadays such transactions are mostly made electronically. Bookkeeping first involves recording the details of all of these source documents into multi-column journals (also known as books of first entry or daybooks). For example, all credit sales are recorded in the sales journal; all cash payments are recorded in the cash payments journal. Each column in a journal normally corresponds to an account. In the single entry system, each transaction is recorded only once. Most individuals who balance their check-book each month are using such a system, and most personal-finance software follows this approach.
After a certain period, typically a month, each column in each journal is totalled to give a summary for that period. Using the rules of double-entry, these journal summaries are then transferred to their respective accounts in the ledger, or account book. For example, the entries in the Sales Journal are taken and a debit entry is made in each customer's account (showing that the customer now owes us money), and a credit entry might be made in the account for "Sale of class 2 widgets" (showing that this activity has generated revenue for us). This process of transferring summaries or individual transactions to the ledger is called posting. Once the posting process is complete, accounts kept using the "T" format (debits on the left side of the "T" and credits on the right side) undergo balancing, which is simply a process to arrive at the balance of the account.
As a partial check that the posting process was done correctly, a working document called an unadjusted trial balance is created. In its simplest form, this is a three-column list. Column One contains the names of those accounts in the ledger which have a non-zero balance. If an account has a debit balance, the balance amount is copied into Column Two (the debit column); if an account has a credit balance, the amount is copied into Column Three (the credit column). The debit column is then totalled, and then the credit column is totalled. The two totals must agree—which is not by chance—because under the double-entry rules, whenever there is a posting, the debits of the posting equal the credits of the posting. If the two totals do not agree, an error has been made, either in the journals or during the posting process. The error must be located and rectified, and the totals of the debit column and the credit column recalculated to check for agreement before any further processing can take place.
Once the accounts balance, the accountant makes a number of adjustments and changes the balance amounts of some of the accounts. These adjustments must still obey the double-entry rule: for example, the inventory account and asset account might be changed to bring them into line with the actual numbers counted during a stocktake. At the same time, the expense account associated with use of inventory is adjusted by an equal and opposite amount. Other adjustments such as posting depreciation and prepayments are also done at this time. This results in a listing called the adjusted trial balance. It is the accounts in this list, and their corresponding debit or credit balances, that are used to prepare the financial statements.
Finally financial statements are drawn from the trial balance, which may include:
the income statement, also known as the statement of financial results, profit and loss account, or P&L
the balance sheet, also known as the statement of financial position
the cash flow statement
the statement of changes in equity, also known as the statement of total recognised gains and losses
Single-entry system
The primary bookkeeping record in single-entry bookkeeping is the cash book, which is similar to a checking account register (in UK: cheque account, current account), except all entries are allocated among several categories of income and expense accounts. Separate account records are maintained for petty cash, accounts payable and accounts receivable, and other relevant transactions such as inventory and travel expenses. To save time and avoid the errors of manual calculations, single-entry bookkeeping can be done today with do-it-yourself bookkeeping software.
Double-entry system
A double-entry bookkeeping system is a set of rules for recording financial information in a financial accounting system in which every transaction or event changes at least two different nominal ledger accounts.
Daybooks
A daybook is a descriptive and chronological (diary-like) record of day-to-day financial transactions; it is also called a book of original entry. The daybook's details must be transcribed formally into journals to enable posting to ledgers. Daybooks include:
Sales daybook, for recording sales invoices.
Sales credits daybook, for recording sales credit notes.
Purchases daybook, for recording purchase invoices.
Purchases debits daybook, for recording purchase debit notes.
Cash daybook, usually known as the cash book, for recording all monies received and all monies paid out. It may be split into two daybooks: a receipts daybook documenting every money-amount received, and a payments daybook recording every payment made.
General Journal daybook, for recording journal entries.
Petty cash book
A petty cash book is a record of small-value purchases before they are later transferred to the ledger and final accounts; it is maintained by a petty or junior cashier. This type of cash book usually uses the imprest system: a certain amount of money is provided to the petty cashier by the senior cashier. This money is to cater for minor expenditures (hospitality, minor stationery, casual postage, and so on) and is reimbursed periodically on satisfactory explanation of how it was spent.
The balance of petty cash book is Asset.
Journals
Journals are recorded in the general journal daybook. A journal is a formal and chronological record of financial transactions before their values are accounted for in the general ledger as debits and credits. A company can maintain one journal for all transactions, or keep several journals based on similar activity (e.g., sales, cash receipts, revenue, etc.), making transactions easier to summarize and reference later. For every debit journal entry recorded, there must be an equivalent credit journal entry to maintain a balanced accounting equation.
Ledgers
A ledger is a record of accounts. The ledger is a permanent summary of all amounts entered in supporting Journals which list individual transactions by date. These accounts are recorded separately, showing their beginning/ending balance. A journal lists financial transactions in chronological order, without showing their balance but showing how much is going to be charged in each account. A ledger takes each financial transaction from the journal and records it into the corresponding account for every transaction listed. The ledger also sums up the total of every account, which is transferred into the balance sheet and the income statement. There are three different kinds of ledgers that deal with book-keeping:
Sales ledger, which deals mostly with the accounts receivable account. This ledger consists of the records of the financial transactions made by customers to the business.
Purchase ledger is the record of the company's purchasing transactions; it goes hand in hand with the Accounts Payable account.
Abbreviations used in bookkeeping
Chart of accounts
A chart of accounts is a list of the accounts codes that can be identified with numeric, alphabetical, or alphanumeric codes allowing the account to be located in the general ledger. The equity section of the chart of accounts is based on the fact that the legal structure of the entity is of a particular legal type. Possibilities include sole trader, partnership, trust, and company.
Computerized bookkeeping
Computerized bookkeeping removes many of the paper "books" that are used to record the financial transactions of a business entity; instead, relational databases are used today, but typically, these still enforce the norms of bookkeeping including the single-entry and double-entry bookkeeping systems. Certified Public Accountants (CPAs) supervise the internal controls for computerized bookkeeping systems, which serve to minimize errors in documenting the numerous activities a business entity may initiate or complete over an accounting period.
See also
Accounting
Comparison of accounting software
POS system: records sales and updates stock levels
Bookkeeping Associations
coordinate bookkeeper
References
External links
Guide to the Account Book from Italy 1515–1520
Accounting systems
Accounting | 5 |
A Bézier curve ( ) is a parametric curve used in computer graphics and related fields. A set of discrete "control points" defines a smooth, continuous curve by means of a formula. Usually the curve is intended to approximate a real-world shape that otherwise has no mathematical representation or whose representation is unknown or too complicated. The Bézier curve is named after French engineer Pierre Bézier (1910–1999), who used it in the 1960s for designing curves for the bodywork of Renault cars. Other uses include the design of computer fonts and animation. Bézier curves can be combined to form a Bézier spline, or generalized to higher dimensions to form Bézier surfaces. The Bézier triangle is a special case of the latter.
In vector graphics, Bézier curves are used to model smooth curves that can be scaled indefinitely. "Paths", as they are commonly referred to in image manipulation programs, are combinations of linked Bézier curves. Paths are not bound by the limits of rasterized images and are intuitive to modify.
Bézier curves are also used in the time domain, particularly in animation, user interface design and smoothing cursor trajectory in eye gaze controlled interfaces. For example, a Bézier curve can be used to specify the velocity over time of an object such as an icon moving from A to B, rather than simply moving at a fixed number of pixels per step. When animators or interface designers talk about the "physics" or "feel" of an operation, they may be referring to the particular Bézier curve used to control the velocity over time of the move in question.
This also applies to robotics where the motion of a welding arm, for example, should be smooth to avoid unnecessary wear.
Invention
The mathematical basis for Bézier curves—the Bernstein polynomials—was established in 1912, but the polynomials were not applied to graphics until some 50 years later when mathematician Paul de Casteljau in 1959 developed de Casteljau's algorithm, a numerically stable method for evaluating the curves, and became the first to apply them to computer-aided design at French automaker Citroën. Yet, de Casteljau's method was patented in France but not published until the 1980s while the Bézier polynomials were widely publicised in the 1960s by the French engineer Pierre Bézier, who discovered them independently and used them to design automobile bodies at Renault.
Specific cases
A Bézier curve is defined by a set of control points P0 through Pn, where n is called the order of the curve (n = 1 for linear, 2 for quadratic, 3 for cubic, etc.). The first and last control points are always the endpoints of the curve; however, the intermediate control points generally do not lie on the curve. The sums in the following sections are to be understood as affine combinations – that is, the coefficients sum to 1.
Linear Bézier curves
Given distinct points P0 and P1, a linear Bézier curve is simply a line between those two points. The curve is given by
and is equivalent to linear interpolation. The quantity represents the displacement vector from the start point to the end point.
Quadratic Bézier curves
A quadratic Bézier curve is the path traced by the function B(t), given points P0, P1, and P2,
,
which can be interpreted as the linear interpolant of corresponding points on the linear Bézier curves from P0 to P1 and from P1 to P2 respectively. Rearranging the preceding equation yields:
This can be written in a way that highlights the symmetry with respect to P1:
Which immediately gives the derivative of the Bézier curve with respect to t:
from which it can be concluded that the tangents to the curve at P0 and P2 intersect at P1. As t increases from 0 to 1, the curve departs from P0 in the direction of P1, then bends to arrive at P2 from the direction of P1.
The second derivative of the Bézier curve with respect to t is
Cubic Bézier curves
Four points P0, P1, P2 and P3 in the plane or in higher-dimensional space define a cubic Bézier curve.
The curve starts at P0 going toward P1 and arrives at P3 coming from the direction of P2. Usually, it will not pass through P1 or P2; these points are only there to provide directional information. The distance between P1 and P2 determines "how far" and "how fast" the curve moves towards P1 before turning towards P2.
Writing BPi,Pj,Pk(t) for the quadratic Bézier curve defined by points Pi, Pj, and Pk, the cubic Bézier curve can be defined as an affine combination of two quadratic Bézier curves:
The explicit form of the curve is:
For some choices of P1 and P2 the curve may intersect itself, or contain a cusp.
Any series of 4 distinct points can be converted to a cubic Bézier curve that goes through all 4 points in order.
Given the starting and ending point of some cubic Bézier curve, and the points along the curve corresponding to t = 1/3 and t = 2/3, the control points for the original Bézier curve can be recovered.
The derivative of the cubic Bézier curve with respect to t is
The second derivative of the Bézier curve with respect to t is
General definition
Bézier curves can be defined for any degree n.
Recursive definition
A recursive definition for the Bézier curve of degree n expresses it as a point-to-point linear combination (linear interpolation) of a pair of corresponding points in two Bézier curves of degree n − 1.
Let denote the Bézier curve determined by any selection of points P0, P1, ..., Pk. Then to start,
This recursion is elucidated in the animations below.
Explicit definition
The formula can be expressed explicitly as follows (where t0 and (1-t)0 are extended continuously to be 1 throughout [0,1]):
where are the binomial coefficients.
For example, when n = 5:
Terminology
Some terminology is associated with these parametric curves. We have
where the polynomials
are known as Bernstein basis polynomials of degree n.
t0 = 1, (1 − t)0 = 1, and the binomial coefficient, , is:
The points Pi are called control points for the Bézier curve. The polygon formed by connecting the Bézier points with lines, starting with P0 and finishing with Pn, is called the Bézier polygon (or control polygon). The convex hull of the Bézier polygon contains the Bézier curve.
Polynomial form
Sometimes it is desirable to express the Bézier curve as a polynomial instead of a sum of less straightforward Bernstein polynomials. Application of the binomial theorem to the definition of the curve followed by some rearrangement will yield
where
This could be practical if can be computed prior to many evaluations of ; however one should use caution as high order curves may lack numeric stability (de Casteljau's algorithm should be used if this occurs). Note that the empty product is 1.
Properties
The curve begins at and ends at ; this is the so-called endpoint interpolation property.
The curve is a line if and only if all the control points are collinear.
The start and end of the curve is tangent to the first and last section of the Bézier polygon, respectively.
A curve can be split at any point into two subcurves, or into arbitrarily many subcurves, each of which is also a Bézier curve.
Some curves that seem simple, such as the circle, cannot be described exactly by a Bézier or piecewise Bézier curve; though a four-piece cubic Bézier curve can approximate a circle (see composite Bézier curve), with a maximum radial error of less than one part in a thousand, when each inner control point (or offline point) is the distance horizontally or vertically from an outer control point on a unit circle. More generally, an n-piece cubic Bézier curve can approximate a circle, when each inner control point is the distance from an outer control point on a unit circle, where (i.e. ), and .
Every quadratic Bézier curve is also a cubic Bézier curve, and more generally, every degree n Bézier curve is also a degree m curve for any m > n. In detail, a degree n curve with control points is equivalent (including the parametrization) to the degree n + 1 curve with control points , where , and define , .
Bézier curves have the variation diminishing property. What this means in intuitive terms is that a Bézier curve does not "undulate" more than the polygon of its control points, and may actually "undulate" less than that.
There is no local control in degree n Bézier curves—meaning that any change to a control point requires recalculation of and thus affects the aspect of the entire curve, "although the further that one is from the control point that was changed, the smaller is the change in the curve."
A Bézier curve of order higher than two may intersect itself or have a cusp for certain choices of the control points.
Second-order curve is a parabolic segment
A quadratic Bézier curve is also a segment of a parabola. As a parabola is a conic section, some sources refer to quadratic Béziers as "conic arcs". With reference to the figure on the right, the important features of the parabola can be derived as follows:
Tangents to the parabola at the endpoints of the curve (A and B) intersect at its control point (C).
If D is the midpoint of AB, the tangent to the curve which is perpendicular to CD (dashed cyan line) defines its vertex (V). Its axis of symmetry (dash-dot cyan) passes through V and is perpendicular to the tangent.
E is either point on the curve with a tangent at 45° to CD (dashed green). If G is the intersection of this tangent and the axis, the line passing through G and perpendicular to CD is the directrix (solid green).
The focus (F) is at the intersection of the axis and a line passing through E and perpendicular to CD (dotted yellow). The latus rectum is the line segment within the curve (solid yellow).
Derivative
The derivative for a curve of order n is
Constructing Bézier curves
Linear curves
Let t denote the fraction of progress (from 0 to 1) the point B(t) has made along its traversal from P0 to P1. For example, when t=0.25, B(t) is one quarter of the way from point P0 to P1. As t varies from 0 to 1, B(t) draws a line from P0 to P1.
Quadratic curves
For quadratic Bézier curves one can construct intermediate points Q0 and Q1 such that as t varies from 0 to 1:
Point Q0(t) varies from P0 to P1 and describes a linear Bézier curve.
Point Q1(t) varies from P1 to P2 and describes a linear Bézier curve.
Point B(t) is interpolated linearly between Q0(t) to Q1(t) and describes a quadratic Bézier curve.
Higher-order curves
For higher-order curves one needs correspondingly more intermediate points. For cubic curves one can construct intermediate points Q0, Q1, and Q2 that describe linear Bézier curves, and points R0 and R1 that describe quadratic Bézier curves:
For fourth-order curves one can construct intermediate points Q0, Q1, Q2 and Q3 that describe linear Bézier curves, points R0, R1 and R2 that describe quadratic Bézier curves, and points S0 and S1 that describe cubic Bézier curves:
For fifth-order curves, one can construct similar intermediate points.
These representations rest on the process used in De Casteljau's algorithm to calculate Bézier curves.
Offsets (or stroking) of Bézier curves
The curve at a fixed offset from a given Bézier curve, called an offset or parallel curve in mathematics (lying "parallel" to the original curve, like the offset between rails in a railroad track), cannot be exactly formed by a Bézier curve (except in some trivial cases). In general, the two-sided offset curve of a cubic Bézier is a 10th-order algebraic curve and more generally for a Bézier of degree n the two-sided offset curve is an algebraic curve of degree 4n − 2. However, there are heuristic methods that usually give an adequate approximation for practical purposes.
In the field of vector graphics, painting two symmetrically distanced offset curves is called stroking (the Bézier curve or in general a path of several Bézier segments). The conversion from offset curves to filled Bézier contours is of practical importance in converting fonts defined in Metafont, which require stroking of Bézier curves, to the more widely used PostScript type 1 fonts, which only require (for efficiency purposes) the mathematically simpler operation of filling a contour defined by (non-self-intersecting) Bézier curves.
Degree elevation
A Bézier curve of degree n can be converted into a Bézier curve of degree n + 1 with the same shape. This is useful if software supports Bézier curves only of specific degree. For example, systems that can only work with cubic Bézier curves can implicitly work with quadratic curves by using their equivalent cubic representation.
To do degree elevation, we use the equality Each component is multiplied by (1 − t) and t, thus increasing a degree by one, without changing the value. Here is the example of increasing degree from 2 to 3.
For arbitrary n we use equalities
Therefore:
introducing arbitrary and .
Therefore, new control points are
Repeated degree elevation
The concept of degree elevation can be repeated on a control polygon R to get a sequence of control polygons R, R1, R2, and so on. After r degree elevations, the polygon Rr has the vertices P0,r, P1,r, P2,r, ..., Pn+r,r given by
It can also be shown that for the underlying Bézier curve B,
Rational Bézier curves
The rational Bézier curve adds adjustable weights to provide closer approximations to arbitrary shapes. The numerator is a weighted Bernstein-form Bézier curve and the denominator is a weighted sum of Bernstein polynomials. Rational Bézier curves can, among other uses, be used to represent segments of conic sections exactly, including circular arcs.
Given n + 1 control points P0, ..., Pn, the rational Bézier curve can be described by
or simply
The expression can be extended by using number systems besides reals for the weights. In the complex plane the points {1}, {-1}, and {1} with weights {}, {1}, and {} generate a full circle with radius one. For curves with points and weights on a circle, the weights can be scaled without changing the curve's shape. Scaling the central weight of the above curve by 1.35508 gives a more uniform parameterization.
Applications
Computer graphics
Bézier curves are widely used in computer graphics to model smooth curves. As the curve is completely contained in the convex hull of its control points, the points can be graphically displayed and used to manipulate the curve intuitively. Affine transformations such as translation and rotation can be applied on the curve by applying the respective transform on the control points of the curve.
Quadratic and cubic Bézier curves are most common. Higher degree curves are more computationally expensive to evaluate. When more complex shapes are needed, low order Bézier curves are patched together, producing a composite Bézier curve. A composite Bézier curve is commonly referred to as a "path" in vector graphics languages (like PostScript), vector graphics standards (like SVG) and vector graphics programs (like Artline, Timeworks Publisher, Adobe Illustrator, CorelDraw, Inkscape, and Allegro). In order to join Bézier curves into a composite Bézier curve without kinks, a property called G1 continuous, it suffices to force the control point at which two constituent Bézier curves meet to lie on the line defined by the two control points on either side.
The simplest method for scan converting (rasterizing) a Bézier curve is to evaluate it at many closely spaced points and scan convert the approximating sequence of line segments. However, this does not guarantee that the rasterized output looks sufficiently smooth, because the points may be spaced too far apart. Conversely it may generate too many points in areas where the curve is close to linear. A common adaptive method is recursive subdivision, in which a curve's control points are checked to see if the curve approximates a line to within a small tolerance. If not, the curve is subdivided parametrically into two segments, 0 ≤ t ≤ 0.5 and 0.5 ≤ t ≤ 1, and the same procedure is applied recursively to each half. There are also forward differencing methods, but great care must be taken to analyse error propagation.
Analytical methods where a Bézier is intersected with each scan line involve finding roots of cubic polynomials (for cubic Béziers) and dealing with multiple roots, so they are not often used in practice.
The rasterisation algorithm used in Metafont is based on discretising the curve, so that it is approximated by a sequence of "rook moves" that are purely vertical or purely horizontal, along the pixel boundaries. To that end, the plane is first split into eight 45° sectors (by the coordinate axes and the two lines ), then the curve is decomposed into smaller segments such that the direction of a curve segment stays within one sector; since the curve velocity is a second degree polynomial, finding the values where it is parallel to one of these lines can be done by solving quadratic equations. Within each segment, either horizontal or vertical movement dominates, and the total number of steps in either direction can be read off from the endpoint coordinates; in for example the 0–45° sector horizontal movement to the right dominates, so it only remains to decide between which steps to the right the curve should make a step up.
There is also a modified curve form of Bresenham's line drawing algorithm by Zingl that performs this rasterization by subdividing the curve into rational pieces and calculating the error at each pixel location such that it either travels at a 45° angle or straight depending on compounding error as it iterates through the curve. This reduces the next step calculation to a series of integer additions and subtractions.
Animation
In animation applications, such as Adobe Flash and Synfig, Bézier curves are used to outline, for example, movement. Users outline the wanted path in Bézier curves, and the application creates the needed frames for the object to move along the path.
In 3D animation, Bézier curves are often used to define 3D paths as well as 2D curves for keyframe interpolation. Bézier curves are now very frequently used to control the animation easing in CSS, JavaScript, JavaFx and Flutter SDK.
Fonts
TrueType fonts use composite Bézier curves composed of quadratic Bézier curves. Other languages and imaging tools (such as PostScript, Asymptote, Metafont, and SVG) use composite Béziers composed of cubic Bézier curves for drawing curved shapes. OpenType fonts can use either kind of curve, depending on which font technology underlies the OpenType wrapper.
Font engines, like FreeType, draw the font's curves (and lines) on a pixellated surface using a process known as font rasterization. Typically font engines and vector graphics engines render Bézier curves by splitting them recursively up to the point where the curve is flat enough to be drawn as a series of linear or circular segments. The exact splitting algorithm is implementation dependent, only the flatness criteria must be respected to reach the necessary precision and to avoid non-monotonic local changes of curvature. The "smooth curve" feature of charts in Microsoft Excel also uses this algorithm.
Because arcs of circles and ellipses cannot be exactly represented by Bézier curves, they are first approximated by Bézier curves, which are in turn approximated by arcs of circles. This is inefficient as there exists also approximations of all Bézier curves using arcs of circles or ellipses, which can be rendered incrementally with arbitrary precision. Another approach, used by modern hardware graphics adapters with accelerated geometry, can convert exactly all Bézier and conic curves (or surfaces) into NURBS, that can be rendered incrementally without first splitting the curve recursively to reach the necessary flatness condition. This approach also preserves the curve definition under all linear or perspective 2D and 3D transforms and projections.
Robotics
Bézier curves can be used in robotics to produce trajectories of an end-effector due to the virtue of the control polygon’s ability to give a clear indication of whether the path is colliding with any nearby obstacle or object. Furthermore, joint space trajectories can be accurately differentiated using Bézier curves. Consequently, the derivatives of joint space trajectories are used in the calculation of the dynamics and control effort (torque profiles) of the robotic manipulator.
See also
Bézier surface
B-spline
GEM/4 and GEM/5
Hermite curve
NURBS
String art – Bézier curves are also formed by many common forms of string art, where strings are looped across a frame of nails.
Variation diminishing property of Bézier curves
Notes
References
Citations
Sources
Excellent discussion of implementation details; available for free as part of the TeX distribution.
Further reading
A Primer on Bézier Curves an open source online book explaining Bézier curves and associated graphics algorithms, with interactive graphics
Cubic Bezier Curves – Under the Hood (video) video showing how computers render a cubic Bézier curve, by Peter Nowell
From Bézier to Bernstein Feature Column from American Mathematical Society
This book is out of print and freely available from the author.
(60 pages)
Hovey, Chad (2022). Formulation and Python Implementation of Bézier and B-Spline Geometry. SAND2022-7702C. (153 pages)
External links
Computer code
TinySpline: Open source C-library for NURBS, B-splines and Bézier curves with bindings for various languages
C++ library to generate Bézier functions at compile time
Simple Bézier curve implementation via recursive method in Python
Graphic design
Interpolation
Curves
Design | 14 |
Boris Leonidovich Pasternak (; ; 30 May 1960) was a Russian poet, novelist, composer, and literary translator. Composed in 1917, Pasternak's first book of poems, My Sister, Life, was published in Berlin in 1922 and soon became an important collection in the Russian language. Pasternak's translations of stage plays by Goethe, Schiller, Calderón de la Barca and Shakespeare remain very popular with Russian audiences.
Pasternak was the author of Doctor Zhivago (1957), a novel that takes place between the Russian Revolution of 1905 and the Second World War. Doctor Zhivago was rejected for publication in the USSR, but the manuscript was smuggled to Italy and was first published there in 1957. Pasternak was awarded the Nobel Prize in Literature in 1958, an event that enraged the Communist Party of the Soviet Union, which forced him to decline the prize. In 1989, Pasternak's son Yevgeny finally accepted the award on his father's behalf. Doctor Zhivago has been part of the main Russian school curriculum since 2003.
Early life
Pasternak was born in Moscow on 10 February (Gregorian), 1890 (29 January, Julian) into a wealthy, assimilated Jewish family. His father was the post-Impressionist painter Leonid Pasternak, who taught as a professor at the Moscow School of Painting, Sculpture, and Architecture. His mother was Rosa Kaufman, a concert pianist and the daughter of Odessa industrialist Isadore Kaufman and his wife. Pasternak had a younger brother, Alex, and two sisters, Lydia and Josephine. The family claimed descent on the paternal line from Isaac Abarbanel, the famous 15th-century Sephardic Jewish philosopher, Bible commentator, and treasurer of Portugal.
Early education
From 1904 to 1907, Boris Pasternak was the cloister-mate of Peter Minchakievich (1890–1963) in Holy Dormition Pochayiv Lavra, in today's Western Ukraine. Minchakievich came from an Orthodox Ukrainian family and Pasternak came from a Jewish family. Some confusion has arisen as to Pasternak attending a military academy in his boyhood years. The uniforms of their monastery Cadet Corp were only similar to those of The Czar Alexander the Third Military Academy, as Pasternak and Minchakievich never attended any military academy. Most schools used a distinctive military-looking uniform particular to them as was the custom of the time in Eastern Europe and Russia. Boyhood friends, they parted in 1908, friendly but with different politics, never to see each other again. Pasternak went to the Moscow Conservatory to study music (later Germany to study philosophy), and Minchakievich went to Lviv University to study history and philosophy. The good dimension of the character Strelnikov in Dr. Zhivago is based upon Peter Minchakievich. Several of Pasternak's characters are composites. After World War One and the Revolution, fighting for the Provisional or Republican government under Kerensky, and then escaping a Communist jail and execution, Minchakievich trekked across Siberia in 1917 and became an American citizen. Pasternak stayed in Russia.
In a 1959 letter to Jacqueline de Proyart, Pasternak recalled:
Shortly after his birth, Pasternak's parents had joined the Tolstoyan Movement. Novelist Leo Tolstoy was a close family friend, as Pasternak recalled, "my father illustrated his books, went to see him, revered him, and ...the whole house was imbued with his spirit."
In a 1956 essay, Pasternak recalled his father's feverish work creating illustrations for Tolstoy's novel Resurrection. The novel was serialized in the journal Niva by the publisher Fyodor Marx, based in St Petersburg. The sketches were drawn from observations in such places as courtrooms, prisons and on trains, in a spirit of realism. To ensure that the sketches met the journal deadline, train conductors were enlisted to personally collect the illustrations. Pasternak wrote,
According to Max Hayward, "In November 1910, when Tolstoy fled from his home and died in the stationmaster's house at Astapovo, Leonid Pasternak was informed by telegram and he went there immediately, taking his son Boris with him, and made a drawing of Tolstoy on his deathbed."
Regular visitors to the Pasternaks' home also included Sergei Rachmaninoff, Alexander Scriabin, Lev Shestov, Rainer Maria Rilke. Pasternak aspired first to be a musician. Inspired by Scriabin, Pasternak briefly was a student at the Moscow Conservatory. In 1910 he abruptly left for the University of Marburg in Germany, where he studied under neo-Kantian philosophers Hermann Cohen, Nicolai Hartmann and Paul Natorp.
Life and career
Olga Freidenberg
In 1910 Pasternak was reunited with his cousin Olga Freidenberg (1890–1955). They had shared the same nursery but been separated when the Freidenberg family moved to Saint Petersburg. They fell in love immediately but were never lovers. The romance, however, is made clear from their letters, Pasternak writing:You do not know how my tormenting feeling grew and grew until it became obvious to me and to others. As you walked beside me with complete detachment, I could not express it to you. It was a rare sort of closeness, as if we two, you and I, were in love with something that was utterly indifferent to both of us, something that remained aloof from us by virtue of its extraordinary inability to adapt to the other side of life.The cousins' initial passion developed into a lifelong close friendship. From 1910 Pasternak and Freidenberg exchanged frequent letters, and their correspondence lasted over 40 years until 1954. The cousins last met in 1936.
Ida Wissotzkaya
Pasternak fell in love with Ida Wissotzkaya, a girl from a notable Moscow Jewish family of tea merchants, whose company Wissotzky Tea was the largest tea company in the world. Pasternak had tutored her in the final class of high school. He helped her prepare for finals. They met in Marburg during the summer of 1912 when Boris' father, Leonid Pasternak, painted her portrait.
Although Professor Cohen encouraged him to remain in Germany and to pursue a Philosophy doctorate, Pasternak decided against it. He returned to Moscow around the time of the outbreak of the First World War. In the aftermath of events, Pasternak proposed marriage to Ida. However, the Wissotzky family was disturbed by Pasternak's poor prospects and persuaded Ida to refuse him. She turned him down and he told of his love and rejection in the poem "Marburg" (1917):
I quivered. I flared up, and then was extinguished.
I shook. I had made a proposal—but late,
Too late. I was scared, and she had refused me.
I pity her tears, am more blessed than a saint.
Around this time, when he was back in Russia, he joined the Russian Futurist group Centrifuge (Tsentrifuga) as a pianist: poetry was just a hobby for him then. It was in their group journal, Lirika, where some of his earliest poems were published. His involvement with the Futurist movement as a whole reached its peak when, in 1914, he published a satirical article in Rukonog, which attacked the jealous leader of the "Mezzanine of Poetry", Vadim Shershenevich, who was criticizing Lirika and the Ego-Futurists because Shershenevich himself was barred from collaborating with Centrifuge, the reason being that he was such a talentless poet. The action eventually caused a verbal battle amongst several members of the groups, fighting for recognition as the first, truest Russian Futurists; these included the Cubo-Futurists, who were by that time already notorious for their scandalous behaviour. Pasternak's first and second books of poetry were published shortly after these events.
Another failed love affair in 1917 inspired the poems in his third and first major book, My Sister, Life. His early verse cleverly dissimulates his preoccupation with Immanuel Kant's philosophy. Its fabric includes striking alliterations, wild rhythmic combinations, day-to-day vocabulary, and hidden allusions to his favourite poets such as Rilke, Lermontov, Pushkin and German-language Romantic poets.
During World War I, Pasternak taught and worked at a chemical factory in Vsevolodo-Vilva near Perm, which undoubtedly provided him with material for Dr. Zhivago many years later. Unlike the rest of his family and many of his closest friends, Pasternak chose not to leave Russia after the October Revolution of 1917. According to Max Hayward,
When it finally was published in 1922, Pasternak's My Sister, Life revolutionised Russian poetry. It made Pasternak the model for younger poets, and decisively changed the poetry of Osip Mandelshtam, Marina Tsvetayeva and others.
Following My Sister, Life, Pasternak produced some hermetic pieces of uneven quality, including his masterpiece, the lyric cycle Rupture (1921). Both Pro-Soviet writers and their White émigré equivalents applauded Pasternak's poetry as pure, unbridled inspiration.
In the late 1920s, he also participated in the much celebrated tripartite correspondence with Rilke and Tsvetayeva. As the 1920s wore on, however, Pasternak increasingly felt that his colourful style was at odds with a less educated readership. He attempted to make his poetry more comprehensible by reworking his earlier pieces and starting two lengthy poems on the Russian Revolution of 1905. He also turned to prose and wrote several autobiographical stories, notably "The Childhood of Luvers" and "Safe Conduct". (The collection Zhenia's Childhood and Other Stories would be published in 1982.)
In 1922 Pasternak married Evgeniya Lurye (Евгения Лурье), a student at the Art Institute. The following year their son Yevgenii was born.
Evidence of Pasternak's support of still-revolutionary members of the leadership of the Communist Party as late as 1926 is indicated by his poem "In Memory of Reissner" presumably written upon the premature death from typhus of Bolshevik leader Larisa Reisner aged 30 in February of that year.
By 1927, Pasternak's close friends Vladimir Mayakovsky and Nikolai Aseyev were advocating the complete subordination of the arts to the needs of the Communist Party of the Soviet Union. In a letter to his sister Josephine, Pasternak wrote of his intentions to "break off relations" with both of them. Although he expressed that it would be deeply painful, Pasternak explained that it could not be prevented. He explained:
By 1932, Pasternak had strikingly reshaped his style to make it more understandable to the general public and printed the new collection of poems, aptly titled The Second Birth. Although its Caucasian pieces were as brilliant as the earlier efforts, the book alienated the core of Pasternak's refined audience abroad, which was largely composed of anti-communist émigrés.
In 1932 Pasternak fell in love with Zinaida Neuhaus, the wife of the Russian pianist Heinrich Neuhaus. They both got divorces and married two years later.
He continued to change his poetry, simplifying his style and language through the years, as expressed in his next book, Early Trains (1943).
Stalin Epigram
In April 1934 Osip Mandelstam recited his "Stalin Epigram" to Pasternak. After listening, Pasternak told Mandelstam: "I didn't hear this, you didn't recite it to me, because, you know, very strange and terrible things are happening now: they've begun to pick people up. I'm afraid the walls have ears and perhaps even these benches on the boulevard here may be able to listen and tell tales. So let's make out that I heard nothing."
On the night of 14 May 1934, Mandelstam was arrested at his home based on a warrant signed by NKVD boss Genrikh Yagoda. Devastated, Pasternak went immediately to the offices of Izvestia and begged Nikolai Bukharin to intercede on Mandelstam's behalf.
Soon after his meeting with Bukharin, the telephone rang in Pasternak's Moscow apartment. A voice from the Kremlin said, "Comrade Stalin wishes to speak with you." According to Ivinskaya, Pasternak was struck dumb. "He was totally unprepared for such a conversation. But then he heard his voice, the voice of Stalin, coming over the line. The Leader addressed him in a rather bluff uncouth fashion, using the familiar thou form: 'Tell me, what are they saying in your literary circles about the arrest of Mandelstam? Flustered, Pasternak denied that there was any discussion or that there were any literary circles left in Soviet Russia. Stalin went on to ask him for his own opinion of Mandelstam. In an "eager fumbling manner" Pasternak explained that he and Mandelstam each had a completely different philosophy about poetry. Stalin finally said, in a mocking tone of voice: "I see, you just aren't able to stick up for a comrade", and put down the receiver.
Great Purge
According to Pasternak, during the 1937 show trial of General Iona Yakir and Marshal Mikhail Tukhachevsky, the Union of Soviet Writers requested all members to add their names to a statement supporting the death penalty for the defendants. Pasternak refused to sign, even after leadership of the Union visited and threatened him.
Soon after, Pasternak appealed directly to Stalin, describing his family's strong Tolstoyan convictions and putting his own life at Stalin's disposal; he said that he could not stand as a self-appointed judge of life and death. Pasternak was certain that he would be arrested, but instead Stalin is said to have crossed Pasternak's name off an execution list, reportedly declaring, "Do not touch this cloud dweller" (or, in another version, "Leave that holy fool alone!").
Pasternak's close friend Titsian Tabidze did fall victim to the Great Purge. In an autobiographical essay published in the 1950s, Pasternak described the execution of Tabidze and the suicides of Marina Tsvetaeva and Paolo Iashvili as the greatest heartbreaks of his life.
Ivinskaya wrote, "I believe that between Stalin and Pasternak there was an incredible, silent duel."
World War II
When the Luftwaffe began bombing Moscow, Pasternak immediately began to serve as a fire warden on the roof of the writer's building on Lavrushinski Street. According to Ivinskaya, he repeatedly helped to dispose of German bombs which fell on it.
In 1943, Pasternak was finally granted permission to visit the soldiers at the front. He bore it well, considering the hardships of the journey (he had a weak leg from an old injury), and he wanted to go to the most dangerous places. He read his poetry and talked extensively with the active and injured troops.
Pasternak later said, "If, in a bad dream, we had seen all the horrors in store for us after the war, we should not have been sorry to see Stalin fall, together with Hitler. Then, an end to the war in favour of our allies, civilized countries with democratic traditions, would have meant a hundred times less suffering for our people than that which Stalin again inflicted on it after his victory."
Olga Ivinskaya
In October 1946, the twice-married Pasternak met Olga Ivinskaya, a 34 year old single mother employed by Novy Mir. Deeply moved by her resemblance to his first love Ida Vysotskaya, Pasternak gave Ivinskaya several volumes of his poetry and literary translations. Although Pasternak never left his wife Zinaida, he started an extramarital relationship with Ivinskaya that would last for the remainder of Pasternak's life. Ivinskaya later recalled, "He phoned almost every day and, instinctively fearing to meet or talk with him, yet dying of happiness, I would stammer out that I was 'busy today.' But almost every afternoon, toward the end of working hours, he came in person to the office and often walked with me through the streets, boulevards, and squares all the way home to Potapov Street. 'Shall I make you a present of this square?' he would ask."
She gave him the phone number of her neighbour Olga Volkova who resided below. In the evenings, Pasternak would phone and Volkova would signal by Olga banging on the water pipe which connected their apartments.
When they first met, Pasternak was translating the verse of the Hungarian national poet, Sándor Petőfi. Pasternak gave his lover a book of Petőfi with the inscription, "Petőfi served as a code in May and June 1947, and my close translations of his lyrics are an expression, adapted to the requirements of the text, of my feelings and thoughts for you and about you. In memory of it all, B.P., 13 May 1948."
Pasternak later noted on a photograph of himself: "Petőfi is magnificent with his descriptive lyrics and picture of nature, but you are better still. I worked on him a good deal in 1947 and 1948, when I first came to know you. Thank you for your help. I was translating both of you." Ivinskaya would later describe the Petőfi translations as "a first declaration of love".
According to Ivinskaya, Zinaida Pasternak was infuriated by her husband's infidelity. Once, when his younger son Leonid fell seriously ill, Zinaida extracted a promise from her husband, as they stood by the boy's sickbed, that he would end his affair with Ivinskaya. Pasternak asked Luisa Popova, a mutual friend, to tell Ivinskaya about his promise. Popova told him that he must do it himself. Soon after, Ivinskaya happened to be ill at Popova's apartment, when suddenly Zinaida Pasternak arrived and confronted her.
Ivinskaya later recalled,
In 1948, Pasternak advised Ivinskaya to resign her job at Novy Mir, which was becoming extremely difficult due to their relationship. In the aftermath, Pasternak began to instruct her in translating poetry. In time, they began to refer to her apartment on Potapov Street as, "Our Shop".
On the evening of 6 October 1949, Ivinskaya was arrested at her apartment by the KGB. Ivinskaya relates in her memoirs that, when the agents burst into her apartment, she was at her typewriter working on translations of the Korean poet Won Tu-Son. Her apartment was ransacked and all items connected with Pasternak were piled up in her presence. Ivinskaya was taken to the Lubyanka Prison and repeatedly interrogated, where she refused to say anything incriminating about Pasternak. At the time, she was pregnant with Pasternak's child and had a miscarriage early in her ten-year sentence in the GULAG.
Upon learning of his mistress' arrest, Pasternak telephoned Liuisa Popova and asked her to come at once to Gogol Boulevard. She found him sitting on a bench near the Palace of Soviets Metro Station. Weeping, Pasternak told her, "Everything is finished now. They've taken her away from me and I'll never see her again. It's like death, even worse."
According to Ivinskaya, "After this, in conversation with people he scarcely knew, he always referred to Stalin as a 'murderer.' Talking with people in the offices of literary periodicals, he often asked: 'When will there be an end to this freedom for lackeys who happily walk over corpses to further their own interests?' He spent a good deal of time with Akhmatova—who in those years was given a very wide berth by most of the people who knew her. He worked intensively on the second part of Doctor Zhivago."
In a 1958 letter to a friend in West Germany, Pasternak wrote, "She was put in jail on my account, as the person considered by the secret police to be closest to me, and they hoped that by means of a gruelling interrogation and threats they could extract enough evidence from her to put me on trial. I owe my life, and the fact that they did not touch me in those years, to her heroism and endurance."
Translating Goethe
Pasternak's translation of the first part of Faust led him to be attacked in the August 1950 edition of Novy Mir. The critic accused Pasternak of distorting Goethe's "progressive" meanings to support "the reactionary theory of 'pure art, as well as introducing aesthetic and individualist values. In a subsequent letter to the daughter of Marina Tsvetaeva, Pasternak explained that the attack was motivated by the fact that the supernatural elements of the play, which Novy Mir considered, "irrational", had been translated as Goethe had written them. Pasternak further declared that, despite the attacks on his translation, his contract for the second part had not been revoked.
Khrushchev thaw
When Stalin died of a stroke on 5 March 1953, Ivinskaya was still imprisoned in the Gulag, and Pasternak was in Moscow. Across the nation, there were waves of panic, confusion, and public displays of grief. Pasternak wrote, "Men who are not free... always idealize their bondage."
After her release, Pasternak's relationship with Ivinskaya picked up where it had left off. Soon after he confided in her, "For so long we were ruled over by a madman and a murderer, and now by a fool and a pig. The madman had his occasional flights of fancy, he had an intuitive feeling for certain things, despite his wild obscurantism. Now we are ruled over by mediocrities." During this period, Pasternak delighted in reading a clandestine copy of George Orwell's Animal Farm in English. In conversation with Ivinskaya, Pasternak explained that the pig dictator Napoleon, in the novel, "vividly reminded" him of Soviet Premier Nikita Khrushchev.
Doctor Zhivago
Although it contains passages written in the 1910s and 1920s, Doctor Zhivago was not completed until 1955. Pasternak submitted the novel to Novy Mir in 1956, which refused publication due to its rejection of socialist realism. The author, like his protagonist Yuri Zhivago, showed more concern for the welfare of individual characters than for the "progress" of society. Censors also regarded some passages as anti-Soviet, especially the novel's criticisms of Stalinism, Collectivisation, the Great Purge, and the Gulag.
Pasternak's fortunes were soon to change, however. In March 1956, the Italian Communist Party sent a journalist, Sergio D'Angelo, to work in the Soviet Union, and his status as a journalist as well as his membership in the Italian Communist Party allowed him to have access to various aspects of the cultural life in Moscow at the time. A Milan publisher, the communist Giangiacomo Feltrinelli, had also given him a commission to find new works of Soviet literature that would be appealing to Western audiences, and upon learning of Doctor Zhivagos existence, D'Angelo travelled immediately to Peredelkino and offered to submit Pasternak's novel to Feltrinelli's company for publication. At first Pasternak was stunned. Then he brought the manuscript from his study and told D'Angelo with a laugh, "You are hereby invited to watch me face the firing squad."
According to Lazar Fleishman, Pasternak was aware that he was taking a huge risk. No Soviet author had attempted to deal with Western publishers since the 1920s, when such behavior led the Soviet State to declare war on Boris Pilnyak and Evgeny Zamyatin. Pasternak, however, believed that Feltrinelli's Communist affiliation would not only guarantee publication, but might even force the Soviet State to publish the novel in Russia.
In a rare moment of agreement, both Olga Ivinskaya and Zinaida Pasternak were horrified by the submission of Doctor Zhivago to a Western publishing house. Pasternak, however, refused to change his mind and informed an emissary from Feltrinelli that he was prepared to undergo any sacrifice in order to see Doctor Zhivago published.
In 1957, Feltrinelli announced that the novel would be published by his company. Despite repeated demands from visiting Soviet emissaries, Feltrinelli refused to cancel or delay publication. According to Ivinskaya, "He did not believe that we would ever publish the manuscript here and felt he had no right to withhold a masterpiece from the world – this would be an even greater crime." The Soviet government forced Pasternak to cable the publisher to withdraw the manuscript, but he sent separate, secret letters advising Feltrinelli to ignore the telegrams.
Helped considerably by the Soviet campaign against the novel (as well as by the U.S. Central Intelligence Agency's secret purchase of hundreds of copies of the book as it came off the presses around the world – see "Nobel Prize" section below), Doctor Zhivago became an instant sensation throughout the non-Communist world upon its release in November 1957. In the State of Israel, however, Pasternak's novel was sharply criticized for its assimilationist views towards the Jewish people. When informed of this, Pasternak responded, "No matter. I am above race..." According to Lazar Fleishman, Pasternak had written the disputed passages prior to Israeli independence. At the time, Pasternak had also been regularly attending Russian Orthodox Divine Liturgy. Therefore, he believed that Soviet Jews converting to Christianity was preferable to assimilating into atheism and Stalinism.
The first English translation of Doctor Zhivago was hastily produced by Max Hayward and Manya Harari in order to coincide with overwhelming public demand. It was released in August 1958, and remained the only edition available for more than fifty years. Between 1958 and 1959, the English language edition spent 26 weeks at the top of The New York Times''' bestseller list.
Ivinskaya's daughter Irina circulated typed copies of the novel in Samizdat. Although no Soviet critics had read the banned novel, Doctor Zhivago was pilloried in the State-owned press. Similar attacks led to a humorous Russian saying, "I haven't read Pasternak, but I condemn him".
During the aftermath of the Second World War, Pasternak had composed a series of poems on Gospel themes. According to Ivinskaya, Pasternak had regarded Stalin as a "giant of the pre-Christian era." Therefore, Pasternak's decision to write Christian poetry was "a form of protest".
On 9 September 1958, the Literary Gazette critic Viktor Pertsov retaliated by denouncing "the decadent religious poetry of Pasternak, which reeks of mothballs from the Symbolist suitcase of 1908–10 manufacture." Furthermore, the author received much hate mail from Communists both at home and abroad. According to Ivinskaya, Pasternak continued to receive such letters for the remainder of his life.
In a letter written to his sister Josephine, however, Pasternak recalled the words of his friend Ekaterina Krashennikova upon reading Doctor Zhivago. She had said, "Don't forget yourself to the point of believing that it was you who wrote this work. It was the Russian people and their sufferings who created it. Thank God for having expressed it through your pen."
Nobel Prize
According to Yevgeni Borisovich Pasternak, "Rumors that Pasternak was to receive the Nobel Prize started right after the end of World War II. According to the former Nobel Committee head Lars Gyllensten, his nomination was discussed every year from 1946 to 1950, then again in 1957 (it was finally awarded in 1958). Pasternak guessed at this from the growing waves of criticism in USSR. Sometimes he had to justify his European fame: 'According to the Union of Soviet Writers, some literature circles of the West see unusual importance in my work, not matching its modesty and low productivity…'
Meanwhile, Pasternak wrote to Renate Schweitzer and his sister, Lydia Pasternak Slater. In both letters, the author expressed hope that he would be passed over by the Nobel Committee in favour of Alberto Moravia. Pasternak wrote that he was wracked with torments and anxieties at the thought of placing his loved ones in danger.
On 23 October 1958, Boris Pasternak was announced as the winner of the Nobel Prize. The citation credited Pasternak's contribution to Russian lyric poetry and for his role in "continuing the great Russian epic tradition." On 25 October, Pasternak sent a telegram to the Swedish Academy: "Infinitely grateful, touched, proud, surprised, overwhelmed." That same day, the Literary Institute in Moscow demanded that all its students sign a petition denouncing Pasternak and his novel. They were further ordered to join a "spontaneous" demonstration demanding Pasternak's exile from the Soviet Union. Also on that day, the Literary Gazette published a letter which was sent to B. Pasternak in September 1956 by the editors of the Soviet literary journal Novy Mir to justify their rejection of Doctor Zhivago. In publishing this letter the Soviet authorities wished to justify the measures they had taken against the author and his work. On 26 October, the Literary Gazette ran an article by David Zaslavski entitled, Reactionary Propaganda Uproar over a Literary Weed.
According to Solomon Volkov:
Furthermore, Pasternak was informed that, if he traveled to Stockholm to collect his Nobel Medal, he would be refused re-entry to the Soviet Union. As a result, on 29 October Pasternak sent a second telegram to the Nobel Committee: "In view of the meaning given the award by the society in which I live, I must renounce this undeserved distinction which has been conferred on me. Please do not take my voluntary renunciation amiss." The Swedish Academy announced: "This refusal, of course, in no way alters the validity of the award. There remains only for the Academy, however, to announce with regret that the presentation of the Prize cannot take place."
According to Yevgenii Pasternak, "I couldn't recognize my father when I saw him that evening. Pale, lifeless face, tired painful eyes, and only speaking about the same thing: 'Now it all doesn't matter, I declined the Prize.
Deportation plans
Despite his decision to decline the award, the Union of Soviet Writers continued to demonise Pasternak in the State-owned press. Furthermore, he was threatened at the very least with formal exile to the West. In response, Pasternak wrote directly to Soviet Premier Nikita Khrushchev,
In The Oak and the Calf, Alexander Solzhenitsyn sharply criticized Pasternak, both for declining the Nobel Prize and for sending such a letter to Khrushchev. In her own memoirs, Olga Ivinskaya blames herself for pressuring her lover into making both decisions.
According to Yevgenii Pasternak, "She accused herself bitterly for persuading Pasternak to decline the Prize. After all that had happened, open shadowing, friends turning away, Pasternak's suicidal condition at the time, one can... understand her: the memory of Stalin's camps was too fresh, [and] she tried to protect him."
On 31 October 1958, the Union of Soviet Writers held a trial behind closed doors. According to the meeting minutes, Pasternak was denounced as an internal émigré and a Fascist fifth columnist. Afterwards, the attendees announced that Pasternak had been expelled from the Union. They further signed a petition to the Politburo, demanding that Pasternak be stripped of his Soviet citizenship and exiled to "his Capitalist paradise." According to Yevgenii Pasternak, however, author Konstantin Paustovsky refused to attend the meeting. Yevgeny Yevtushenko did attend, but walked out in disgust.
According to Yevgenii Pasternak, his father would have been exiled had it not been for Indian Prime Minister Jawaharlal Nehru, who telephoned Khrushchev and threatened to organize a Committee for Pasternak's protection.
It is possible that the 1958 Nobel Prize prevented Pasternak's imprisonment due to the Soviet State's fear of international protests. Yevgenii Pasternak believes, however, that the resulting persecution fatally weakened his father's health.
Meanwhile, Bill Mauldin produced a cartoon about Pasternak that won the 1959 Pulitzer Prize for Editorial Cartooning. The cartoon depicts Pasternak as a GULAG inmate splitting trees in the snow, saying to another inmate: "I won the Nobel Prize for Literature. What was your crime?"
Last years
Pasternak's post-Zhivago poetry probes the universal questions of love, immortality, and reconciliation with God.Conference set on Doctor Zhivago writer (Stanford Report, 28 April 2004). Boris Pasternak wrote his last complete book, When the Weather Clears, in 1959.
According to Ivinskaya, Pasternak continued to stick to his daily writing schedule even during the controversy over Doctor Zhivago. He also continued translating the writings of Juliusz Słowacki and Pedro Calderón de la Barca. In his work on Calderon, Pasternak received the discreet support of Nikolai Mikhailovich Liubimov, a senior figure in the Party's literary apparatus. Ivinskaya describes Liubimov as, "a shrewd and enlightened person who understood very well that all the mudslinging and commotion over the novel would be forgotten, but that there would always be a Pasternak." In a letter to his sisters in Oxford, England, Pasternak claimed to have finished translating one of Calderon's plays in less than a week.
During the summer of 1959, Pasternak began writing The Blind Beauty, a trilogy of stage plays set before and after Alexander II's abolition of serfdom in Russia. In an interview with Olga Carlisle from The Paris Review, Pasternak enthusiastically described the play's plot and characters. He informed Olga Carlisle that, at the end of The Blind Beauty, he wished to depict "the birth of an enlightened and affluent middle class, open to occidental influences, progressive, intelligent, artistic". However, Pasternak fell ill with terminal lung cancer before he could complete the first play of the trilogy.
"Unique Days"
"Unique Days" was the last poem Pasternak wrote.
Death
Boris Pasternak died of lung cancer in his dacha in Peredelkino on the evening of 30 May 1960. He first summoned his sons, and in their presence said, "Who will suffer most because of my death? Who will suffer most? Only Oliusha will, and I haven't had time to do anything for her. The worst thing is that she will suffer." Pasternak's last words were, "I can't hear very well. And there's a mist in front of my eyes. But it will go away, won't it? Don't forget to open the window tomorrow."
Funeral demonstration
Despite only a small notice appearing in the Literary Gazette, handwritten notices carrying the date and time of the funeral were posted throughout the Moscow subway system. As a result, thousands of admirers braved Militia and KGB surveillance to attend Pasternak's funeral in Peredelkino.
Before Pasternak's civil funeral, Ivinskaya had a conversation with Konstantin Paustovsky. According to her,
Then, in the presence of a large number of foreign journalists, the body of Pasternak was removed to the cemetery. According to Ivinskaya,
To the horror of the assembled Party officials, however, someone with "a young and deeply anguished voice" began reciting Pasternak's banned poem Hamlet.
According to Ivinskaya,
The final speaker at the graveside service said,
As the spectators cheered, the bells of Peredelkino's Church of the Transfiguration began to toll. Written prayers for the dead were then placed upon Pasternak's forehead and the coffin was closed and buried. Pasternak's gravesite would go on to become a major shrine for members of the Soviet dissident movement.
Modern research about the CIA role in the 1958 Nobel Prize
Writer and Radio Liberty journalist Ivan Tolstoy wrote the book The Laundered Novel: Doctor Zhivago between the KGB and the CIA, published in Russia in December 2008.
Ivan Tolstoy said in his book that the British MI6 and the American CIA allegedly lent a hand to ensure Doctor Zhivago was submitted to the Nobel Committee in the original Russian. According to Tolstoy, this was allegedly done so that Pasternak could win the Nobel Prize and harm the international credibility of the Soviet Union. He repeats and elaborates upon Feltrinelli's claims that the CIA operatives had photographed a manuscript of the novel and secretly printed a small number of books in the Russian language.
Ivan Tolstoy explained on a Russian radio program Echo of Moscow, aired on 7 December 2008, his research about whether the Central Intelligence Agency helped Pasternak win the Nobel Prize. He said "...possibly, because of the publication of this CIA's Russian edition, Pasternak received the Nobel Prize. I emphasize — it is possible! These documents do not exist. I suppose he got it, after all, because of the CIA edition. But I stipulate this very carefully."
Anna Sergeyeva-Klyatis, a Russian philologist, published her research in 2012, where she suggested that the first Russian edition of Doctor Zhivago, which was a pirated version with numerous typographical errors and omissions, was actually initiated by the Central Association of Postwar Émigrés, in response to a growing demand among Russian émigrés.
On 14 April 2014, The Central Intelligence Agency declassified more than 130 documents of files about 1,000 Russian copies published by the Mouton Publishers of the Hague early September 1958. In one of the files, dated 12 December 1957, the CIA agents recommend: "Dr. Zhivago should be published in a maximum number of foreign editions, for maximum free world discussion and acclaim and consideration for such honor as the Nobel prize". [sic]
In its announcement of the declassification of the Zhivago documents the CIA states: "After working secretly to publish the Russian-language edition in the Netherlands, the CIA moved quickly to ensure that copies of Doctor Zhivago were available for distribution to Soviet visitors at the 1958 Brussels World's Fair. By the end of the Fair, 355 copies of Doctor Zhivago had been surreptitiously handed out..."
The Washington Post's journalist Peter Finn and writer Petra Couvée, who collaborated on a book titled The Zhivago Affair, after studying the disclosed files, said: "While the CIA hoped Pasternak's novel would draw global attention, including from the Swedish Academy, there was no indication that the agency's motive for printing a Russian-language edition was to help Pasternak win the prize, something that has been a matter of speculation for some decades."
Legacy
After Pasternak's death, Ivinskaya was arrested for the second time, with her daughter, Irina Emelyanova. Both were accused of being Pasternak's link with Western publishers and of dealing in hard currency for Doctor Zhivago. All of Pasternak's letters to Ivinskaya, as well as many other manuscripts and documents, were seized by the KGB. The KGB quietly released them, Irina after one year, in 1962, and Olga in 1964. By this time, Ivinskaya had served four years of an eight-year sentence, in retaliation for her role in Doctor Zhivago's publication. In 1978, her memoirs were smuggled abroad and published in Paris. An English translation by Max Hayward was published the same year under the title A Captive of Time: My Years with Pasternak.
Ivinskaya was rehabilitated only in 1988. After the dissolution of the Soviet Union, Ivinskaya sued for the return of the letters and documents seized by the KGB in 1961. The Russian Supreme Court ultimately ruled against her, stating that "there was no proof of ownership" and that the "papers should remain in the state archive". Ivinskaya died of cancer on 8 September 1995. A reporter on NTV compared her role to that of other famous muses for Russian poets: "As Pushkin would not be complete without Anna Kern, and Yesenin would be nothing without Isadora, so Pasternak would not be Pasternak without Olga Ivinskaya, who was his inspiration for Doctor Zhivago.".
Meanwhile, Boris Pasternak continued to be pilloried by the Soviet State until Mikhail Gorbachev proclaimed Perestroika during the 1980s.
In 1980, an asteroid was named 3508 Pasternak after Boris Pasternak.
In 1988, after decades of circulating in Samizdat, Doctor Zhivago was serialized in the literary journal Novy Mir.
In December 1989, Yevgenii Borisovich Pasternak was permitted to travel to Stockholm in order to collect his father's Nobel Medal. At the ceremony, acclaimed cellist and Soviet dissident Mstislav Rostropovich performed a Bach serenade in honor of his deceased countryman.
A 2009 book by Ivan Tolstoi reasserts claims that British and American intelligence officers were involved in ensuring Pasternak's Nobel victory; another Russian researcher, however, disagreed. When Yevgeny Borisovich Pasternak was questioned about this, he responded that his father was completely unaware of the actions of Western intelligence services. Yevgeny further declared that the Nobel Prize caused his father nothing but severe grief and harassment at the hands of the Soviet State.
The Pasternak family papers are stored at the Hoover Institution Archives, Stanford University. They contain correspondence, drafts of Doctor Zhivago and other writings, photographs, and other material, of Boris Pasternak and other family members.
Since 2003, during the first presidency of Vladimir Putin, the novel Doctor Zhivago has entered the Russian school curriculum, where it is read in the 11th grade of secondary school.
Commemoration
In October 1984 by decision of a court, Pasternak's dacha in Peredelkino was taken from the writer's relatives and transferred to state ownership. Two years later, in 1986, the House-Museum of Boris Pasternak was founded (the first house-museum in the USSR).
In 1990, the year of the poet's 100th anniversary, the Pasternak Museum opened its doors in Chistopol, in the house where the poet evacuated to during the Great Patriotic War (1941–1943), and in Peredelkino, where he lived for many years until his death. The head of the poet's house-museum is Natalia Pasternak, his daughter-in-law (widow of the youngest son Leonid).
In 2008 a museum was opened in Vsevolodo-Vilva in the house where the budding poet lived from January to June 1916.
In 2009 on the City Day in Perm the first Russian monument to Pasternak was erected in the square near the Opera Theater (sculptor: Elena Munc).
A memorial plaque was installed on the house where Pasternak was born.
In memory of the poet's three-time stay in Tula, on 27 May 2005 a marble memorial plaque to Pasternak was installed on the Wörmann hotel's wall, as Pasternak was a Nobel laureate and dedicated several of his works to Tula.
On 20 February 2008, in Kyiv, a memorial plaque was put up on the house №9 on Lipinsky Street, but seven years later it was stolen by vandals.
In 2012 a monument to Boris Pasternak was erected in the district center of Muchkapsky by Z. Tsereteli.
In 1990, as part of the series "Nobel Prize Winners", the USSR and Sweden ("Nobel Prize Winners – Literature") issued stamps depicting Boris Pasternak.
In 2015, as part of the series "125th Annive. of the Birth of Boris Pasternak, 1890–1960", Mozambique issued a miniature sheet depicting Boris Pasternak. Although this issue was acknowledged by the postal administration of Mozambique, the issue was not placed on sale in Mozambique, and was only distributed to the new issue trade by Mozambique's philatelic agent.
In 2015, as part of the series "125th Birth Anniversary of Boris Pasternak", Maldives issued a miniature sheet depicting Boris Pasternak. The issue was acknowledged by the Maldive postal authorities, but only distributed by the Maldive philatelic agent for collecting purposes.
On the occasion of the 50th anniversary of B. Pasternak's Nobel Prize, the Principality of Monaco issued a postage stamp in his memory.
On 27 January 2015, in honor of the poet's 125th birthday, the Russian Post issued an envelope with the original stamp.
On 1 October 2015, a monument to Pasternak was erected in Chistopol.
On 10 February 2020, a celebration of the 130th birthday anniversary was held at Exhibition of Achievements of National Economy in Moscow.
On 10 February 2021, Google celebrated his 131st birthday with a Google Doodle. The Doodle was displayed in Russia, Sweden, some Middle Eastern countries and some Mediterranean countries.
Cultural influence
A minor planet (3508 Pasternak) discovered by Soviet astronomer Lyudmila Georgievna Karachkina in 1980 is named after him.
Russian-American singer and songwriter Regina Spektor recites a verse from "Black Spring", a 1912 poem by Pasternak in her song "Apres Moi" from her album Begin to Hope.
Russian-Dutch composer Fred Momotenko (Alfred Momotenko) wrote a companion composition to Sergej Rachmaninov's All-Night Vigil Op 37. based on the eponymous poem from the diptych Doktor Zhivago Na Strastnoy
Adaptations
The first screen adaptation of Doctor Zhivago, adapted by Robert Bolt and directed by David Lean, appeared in 1965. The film, which toured in the roadshow tradition, starred Omar Sharif, Geraldine Chaplin, and Julie Christie. Concentrating on the love triangle aspects of the novel, the film became a worldwide blockbuster, but was unavailable in Russia until perestroika.
In 2002, the novel was adapted as a television miniseries. Directed by Giacomo Campiotti, the serial starred Hans Matheson, Alexandra Maria Lara, Keira Knightley, and Sam Neill.
The Russian TV version of 2006, directed by Aleksandr Proshkin and starring Oleg Menshikov as Zhivago, is considered more faithful to Pasternak's novel than David Lean's 1965 film.
Work
Poetry
Thoughts on poetry
According to Olga Ivinskaya:
For this reason, Pasternak regularly avoided literary cafes where young poets regularly invited them to read their verse. According to Ivinskaya, "It was this sort of thing that moved him to say: 'Who started the idea that I love poetry? I can't stand poetry.
Also according to Ivinskaya, " 'The way they could write!' he once exclaimed – by 'they' he meant the Russian classics. And immediately afterward, reading or, rather, glancing through some verse in the Literary Gazette: 'Just look how tremendously well they've learned to rhyme! But there's actually nothing there – it would be better to say it in a news bulletin. What has poetry got to do with this?' By 'they' in this case, he meant the poets writing today."
Translation
Reluctant to conform to socialist realism, Pasternak turned to translation in order to provide for his family. He soon produced acclaimed translations of Sándor Petőfi, Johann Wolfgang von Goethe, Rainer Maria Rilke, Paul Verlaine, Taras Shevchenko, and Nikoloz Baratashvili. Osip Mandelstam, however, privately warned him, "Your collected works will consist of twelve volumes of translations, and only one of your own work."
In a 1942 letter, Pasternak declared, "I am completely opposed to contemporary ideas about translation. The work of Lozinski, Radlova, Marshak, and Chukovski is alien to me, and seems artificial, soulless, and lacking in depth. I share the nineteenth-century view of translation as a literary exercise demanding insight of a higher kind than that provided by a merely philological approach."
According to Ivinskaya, Pasternak believed in not being too literal in his translations, which he felt could confuse the meaning of the text. He instead advocated observing each poem from afar to plumb its true depths.
Pasternak's translations of William Shakespeare (Romeo and Juliet, Antony and Cleopatra, Othello, King Henry IV (Part I) and (Part II), Hamlet, Macbeth, King Lear) remain deeply popular with Russian audiences because of their colloquial, modernised dialogues. Pasternak's critics, however, accused him of "pasternakizing" Shakespeare. In a 1956 essay, Pasternak wrote: "Translating Shakespeare is a task which takes time and effort. Once it is undertaken, it is best to divide it into sections long enough for the work to not get stale and to complete one section each day. In thus daily progressing through the text, the translator finds himself reliving the circumstances of the author. Day by day, he reproduces his actions and he is drawn into some of his secrets, not in theory, but practically, by experience."
According to Ivinskaya:
While they were both collaborating on translating Rabindranath Tagore from Bengali into Russian, Pasternak advised Ivinskaya: "1) Bring out the theme of the poem, its subject matter, as clearly as possible; 2) tighten up the fluid, non-European form by rhyming internally, not at the end of the lines; 3) use loose, irregular meters, mostly ternary ones. You may allow yourself to use assonances."
Later, while she was collaborating with him on a translation of Vítězslav Nezval, Pasternak told Ivinskaya:
According to Ivinskaya, however, translation was not a genuine vocation for Pasternak. She later recalled:
Music
Boris Pasternak was also a composer, and had a promising musical career as a musician ahead of him, had he chosen to pursue it. He came from a musical family: his mother was a concert pianist and a student of Anton Rubinstein and Theodor Leschetizky, and Pasternak's early impressions were of hearing piano trios in the home. The family had a dacha (country house) close to one occupied by Alexander Scriabin. Sergei Rachmaninoff, Rainer Maria Rilke and Leo Tolstoy were all visitors to the family home. His father Leonid was a painter who produced one of the most important portraits of Scriabin, and Pasternak wrote many years later of witnessing with great excitement the creation of Scriabin's Symphony No. 3 (The Divine Poem), in 1903.
Pasternak began to compose at the age of 13. The high achievements of his mother discouraged him from becoming a pianist, but – inspired by Scriabin – he entered the Moscow Conservatory, but left abruptly in 1910 at the age of twenty, to study philosophy in Marburg University. Four years later he returned to Moscow, having finally decided on a career in literature, publishing his first book of poems, influenced by Aleksandr Blok and the Russian Futurists, the same year.
Pasternak's early compositions show the clear influence of Scriabin. His single-movement Piano Sonata of 1909 shows a more mature and individual voice. Nominally in B minor, it moves freely from key to key with frequent changes of key-signature and a chromatic dissonant style that defies easy analysis. Although composed during his time at the Conservatory, the Sonata was composed at Rayki, some 40 km north-east of Moscow, where Leonid Pasternak had his painting studio and taught his students.
Selected books by Pasternak
Poetry collectionsTwin in the Clouds (1914)Over the Barriers (1916)Themes and Variations (1917)My Sister, Life (1922)Second Birth (1932)On Early Trains (1944)Selected Poems (1946)Poems (1954)When the Weather Clears (1959)In The Interlude: Poems 1945–1960 (1962)
Books of proseSafe Conduct (1931)The Last Summer (1934)Childhood (1941)Selected Writings (1949)Collected Works (1945)Goethe's Faust (1952)Essay in Autobiography (1956)Doctor Zhivago (1957)
See also
List of Jewish Nobel laureates
References
Sources
.
Further reading
Conquest, Robert. (1979). The Pasternak Affair: Courage of Genius :A Documentary Report. New York, NY: Octagon Books.
Paolo Mancosu, Inside the Zhivago Storm: The Editorial Adventures of Pasternak's Masterpiece, Milan: Feltrinelli, 2013
Mossman, Elliott (ed.) (1982) The Correspondence of Boris Pasternak and Olga Freidenberg 1910 – 1954, Harcourt Brace Jovanovich,
Peter Finn and Petra Couvee, The Zhivago Affair: The Kremlin, the CIA, and the Battle Over a Forbidden Book, New York: Pantheon Books, 2014
Paolo Mancosu, Zhivago's Secret Journey: From Typescript to Book, Stanford: Hoover Press, 2016
Anna Pasternak, Lara: The Untold Love Story and the Inspiration for Doctor Zhivago, Ecco, 2017; .
Paolo Mancosu, Moscow has Ears Everywhere: New Investigations on Pasternak and Ivinskaya,'' Stanford: Hoover Press, 2019
External links
Read Pasternak's interview with The Paris Review Summer-Fall 1960 No. 24
Pasternak profile at Poets.org
PBS biography of Pasternak
Register of the Pasternak Family Papers at the Hoover Institution Archives
profile and images at the Pasternak Trust
pp. 36–39: Pasternak as a student at Marburg University, Germany
Boris Pasternak poetry
The Poems by Boris Pasternak (English)
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Moscow Conservatory alumni | 6 |
A boy band is loosely defined as a vocal group consisting of young male singers, usually in their teenage years or in their twenties at the time of formation. Generally, boy bands perform love songs marketed towards girls and young women. Many boy bands dance as well as sing, usually giving highly choreographed performances. South Korean boy bands usually also have designated rappers.
Some such bands are formed on their own, often evolving out of church choral or gospel music groups. In contrast, others are created by talent managers or record producers who hold auditions. Being vocal groups, most boy band members do not play musical instruments, either in recording sessions or on-stage. They are similar in concept to their counterparts known as girl groups. The popularity of boy bands has peaked three times: first in the 1960s to 70s (e.g., with the Jackson 5 and the Osmonds); the second time it peaked during the late 1980s, the 1990s and the 2000s, when acts such as New Kids on the Block, Take That, Backstreet Boys, NSYNC, Boyzone, Five, A1, O-Zone and Westlife dominated
global pop charts; and last time in the 2010s up to the present, with the emergence of groups such as One Direction, The Wanted, Big Time Rush, The Vamps, Ballinciaga and K-pop acts such as BigBang, Exo and BTS.
History
Early history
The earliest forerunner of boy band music began in the late 19th century as a cappella barbershop quartets. They were usually a group of males and sang in four-part harmonies. Barbershop quartets were popular into the earlier part of the 20th century. A revival of the male vocal group took place in the late 1940s and 1950s with the use of doo-wop music. Doo-wop bands sang about topics such as love and other themes used in pop music. The earliest traces of boy bands were in the mid-1950s although the term boy band was not used. African American vocal group The Ink Spots was one of the first of what would now be called boy bands. The term boy band was not established until the late 1980s as before that they were called male vocal groups or "hep harmony singing groups".
Although generally described as a rock band, the highest-selling band in history the Beatles have been described by some journalists as "the first" or "the original" boyband, "before anyone had thought of the term", exclusively due to the enthusiastic response they received from their young female audience.
Other critics, however, have pointed out that this assessment of the Beatles as a "boy band" could be applied to all other bands of the 1960s, saying, "if they were a (boy band), so was everyone else" and is countered by others, including Ringo Starr, who point out that, from the beginning, the Beatles wrote and exercised creative control over their own music, played their own instruments, were not manufactured by a record label, and did not feature the choreographed dance moves that later came to be associated with boy bands. The Beatles did, however, inspire the production of the 1966 television series The Monkees, which featured a music group of the same name, created for the show, that consisted of the four starring actors. The Monkees had a career as a rock and pop band after their songs from the TV series were released as successful records.
Late 1960s and 1970s: The Jackson 5 and the Osmonds
Although the term "boy band" was not commonly used then, the earliest predecessors of this format were groups such as the Jackson 5 and the Osmonds which helped form the template for boy bands. The Jackson 5 were a sibling group that established many musical conventions that boy bands follow. For instance, their music featured close harmonies from soul music and catchy pop hooks influenced as much as they were by Motown and acts like the Supremes. The group also incorporated choreographed dance moves to their performances. All members of the band sang, which is a common convention of a boy band, as opposed to having a front man and the rest on instruments; thus, no one person dominated the stage. Also a sibling group, The Osmonds first started singing barbershop music for local audiences, before being hired to perform at Disneyland early in their career. Their appearance in a televised Disney special earned them additional TV spots, such as The Andy Williams Show and The Jerry Lewis Show.
Late 1970s and 1980s: Menudo, New Edition, and New Kids on the Block
Other antecedents (apart from those already mentioned) exist throughout the history of pop music. The genre has been copied into languages and cultures other than the Anglo-American. The Puerto Rican boy band Menudo, appealing to young Latina audiences, was founded in 1977. Menudo had a convention unique among boy bands: when a member turned 16, became too tall, or their voice changed, they were replaced. The members of Menudo were generally aged 12–16.
The Bay City Rollers are a Scottish pop band who were most popular in the mid-1970s. The British Hit Singles & Albums noted that they were "tartan teen sensations from Edinburgh", and were "the first of many acts heralded as the 'Biggest Group since The Beatles' and one of the most screamed-at teeny-bopper acts of the 1970s". For a fairly brief but fervent period (nicknamed "Rollermania"), they were worldwide teen idols. The group were one of the first bands, like the Monkees before them, to take the formula shown by the Beatles and apply it to a teen market. The group achieved the same amount of success but for a limited period of time. At the peak of their popularity in the UK, comparisons were being made to the Beatles. Also by this time, Bay City Roller fans had a completely distinctive style of dress, the main elements of which were ankle-length tartan trousers and tartan scarves, the group using the benefit of merchandise and promotion.
The German boy band formed in West Berlin, 1976, and had a couple of hits targeting young females, selling more than 5 million albums worldwide. The band dissolved in 1982.
In the US, the Cleveland-based power pop group Raspberries was generally interpreted as a "teen act", although all the band members played their own music. Vocalist Eric Carmen later commented, "It was not hip for people to like us, because their little sister liked us."
Boston group New Edition was formed in 1978 and reached their height of popularity in the 1980s, meaning they are often credited for starting the boy-band trend, even though the term "boy band" did not exist until the 1990s. Maurice Starr was influenced by New Edition and popularized it with his protégé New Kids on the Block (NKOTB), the first commercially successful modern boy band, which formed in 1984 and found international success in 1988. Starr's idea was to take the traditional template from the R&B genre (in this case his teenage band New Edition) and apply it to a pop genre.
Bros (abbreviation of the word "brothers") were a British boy band active in the late 1980s and early 1990s, consisting of twin brothers Matt and Luke Goss along with Craig Logan. Formed in 1986, they scored multiple top 10 hits between 1987 and 1989 and in 1988 became the first modern era–style boy band to have a multiple platinum-selling album in the UK, with Push, still one of the most successful boy-band albums in the UK. Other big boy bands in Britain during the late 1980s were Big Fun and Brother Beyond.
1990s: Boyz II Men, Take That, Backstreet Boys, NSYNC, Westlife, Seo Taiji and Boys and the birth of modern K-pop
The ongoing international success of New Kids on the Block inspired music managers in Europe to create their own acts, beginning with Nigel Martin-Smith's Take That in the UK (formed in 1990) and followed by Tom Watkins, who had success with Bros in the late 1980s and formed East 17 in 1991. East 17 were marketed and pitted against Take That as "rivals" with a rougher or harsher attitude, style and sound. Take That reformed in 2006 after a decade-long hiatus and became one of the most successful groups in British music chart history, with renewed chart success internationally, especially in Europe. Irish music manager Louis Walsh, who had witnessed the impact of these British boy bands, put out an advert for an "Irish Take That", thereby creating Boyzone in 1993. Let Loose (formed in 1993), MN8 and 911 (formed in 1995), and Damage (formed in 1996) were also successful boy bands in Britain; however, by the late 1990s all these bands had split up.
All these artists were very successful on both the singles and albums charts domestically and internationally; however, with the emergence of Britpop and the commercial co-option of indie rock, many boy bands were ridiculed by the British music press as having no artistic credibility, although some, such as East 17 and Take That, did write most of their own material. The media attention was then placed on the "Battle of Britpop", and the bands Oasis and Blur replaced the importance and rivalry of Take That and East 17 as the two new biggest bands in Britain. However, boy bands continued to find success in the late 1990s, such as Five, Another Level, Point Break and Westlife. In 1995 successful German music manager Frank Farian, who had been manager of Boney M and Milli Vanilli, put together Latin American band No Mercy who scored a few worldwide hits during the mid-90s.
Although being American and the sons of Tito Jackson, a member of the Jackson 5, 3T had several hits singles across Europe in the mid-1990s, despite limited success in the US, and finished the second biggest selling act of 1996 in Europe behind the Spice Girls. With the success of North American boy bands like New Kids on the Block in East Asia, Japanese entertainment company Johnny & Associates formed SMAP in 1992. The group enjoyed tremendous success, selling over 35 million records.
In 1992, after the disbandment of the heavy metal band Sinawe, in which he had a brief stint, Seo Taiji formed the boy band Seo Taiji and Boys (Korean: 서태지와 아이들) together with dancers Lee Juno and Yang Hyun-suk, which went on to become highly successful and created a craze at the time. Seo Taiji and Boys is credited with changing the South Korean music industry by pioneering the incorporation of rap and breakdance as well as the fusion of Korean music and various popular Western music genres in Korean popular music, and in turn creating the prototype for the modern hybrid K-pop genre or "rap-dance", as it was called at the time, and K-pop groups. They also left a lasting impact by explicitly putting social criticism at the forefront of their music, as well as paving the way for artistic freedom in South Korea by challenging censorship laws and the television networks hegemony over the music market. In 1995 the Korean Broadband is not 6 ft to a particular location casting Ethics Committee demanded that Seo Taiji and Boys change the lyrics for "Regret of the Times". As a result, Seo decided to release the song as a purely instrumental track. This incited protests and resulted in the abolishment of music pre-censorship in Korea. Seo Taiji also did not have to rely on television networks due to the fact that he owned his own studio. This autonomy allowed Seo to bring subcultures in Korea, such as heavy metal, to the forefront of popular culture and challenge pervasive social norms. The band's independent success diminished the power of the television networks to dictate which artists appeared on shows, and gave rise to the influence of record labels and talent agencies. In 1996, Seo Taiji and Boys disbanded. In April 1996, Billboard reported that the band's first three albums had each sold over 1.6 million copies, with the fourth nearing two million, making all four some of the best-selling albums of all time in South Korea to this day. Lee Juno became a record producer, and Yang Hyun-suk was successful in founding YG Entertainment, one of the three biggest record companies in the country. Seo Taiji returned to music two years later with a successful solo career as a rock artist; he rose to become one of the most prominent and influential cultural icons in South Korea and was dubbed "the President of culture". In 2017, Seo Taiji released a 25th Anniversary album with his greatest hits and remakes by prominent Korean artists, including the group BTS. He also held a joint celebratory concert with the latter, in which he acknowledged them as his spiritual successors in K-pop due to the socially conscious thematic similarities in their music as well their shared hip hop leanings, and metaphorically passed the torch, saying "This is your generation now".
In the early 1990s in North America, with New Kids on the Block's continued success and Color Me Badd also having success, boy bands became a continued staple of the Billboard charts. Continuing this success in the mid-1990s, most prominent boy bands were African American and had R&B and gospel elements, such as the groups All-4-One (formed in 1993) and Boyz II Men (formed in 1988). Boyz II Men are also the most successful boy band act on the U.S. Hot 100 as well as the Australian Singles Chart. Although they had success on the Billboard charts, they were not marketed towards youth but more towards adults. It was not until 1997 and the change to pop-oriented groups such as Backstreet Boys, 98 Degrees, NSYNC, the Moffatts, and Hanson that boy bands exploded commercially and dominated the market in the United States. This late 1990s marked the height of boy band popularity in North America, which has not been seen since.
Arguably the most successful boy band manager from the U.S. was Lou Pearlman, who founded commercially successful acts such as the Backstreet Boys in 1993, NSYNC and LFO in 1995, O-Town in 2000, and US5 in 2005. Backstreet Boys and NSYNC became the two biggest boy bands in the late 1990s until the early 2000s, and Backstreet Boys went on to become the best-selling boy band in history with over 100 million records sold.
In the late 1990s in the UK, producer Simon Cowell (noted in the U.S. for the American Idol/The X Factor franchise) is also known for having managed British boyband Five (formed in 1997) and Irish boyband Westlife (formed in 1998). Westlife was created by Irishman Louis Walsh as a replacement for Boyzone and was initially managed by a former member of the band Ronan Keating. Westlife would eventually overtake Take That in number one's tally in the UK although Take That's overall UK sales are still higher. In 2012, the Official Charts Company revealed the biggest selling singles artists in British music chart history with Take That placed 15th overall and the highest selling boyband act (9.3 million), followed by Boyzone at 29 (7.1 million) and Westlife at 34 (6.8 million). Even though Cowell is known to have managed several successful boy bands, he is also infamous for passing on signing two of the biggest boybands to emerge from the 1990s and 2000s, Take That and Busted.
2000s: Backstreet Boys, NSYNC, Westlife, Jonas Brothers and F4
With the continued success of Backstreet Boys and *NSYNC, American and British groups like 98 Degrees, Westlife, O-Town, A1, Blue, and Busted gained quick popularity both domestically and internationally. International boy bands would also occasionally spring up, such as the Moldovan band O-Zone (better known today as an Internet meme), and Overground. American Christian boy band Plus One also enjoyed brief remarkable success during this time.
At the height of boy band popularity in North America, MTV created their own parody boyband, 2gether. Like the Monkees in the 1960s, they were a manufactured act composed of actors. 2gether played off of the idea that every successful boy band must have five distinct personality types: the bad boy, the shy one, the young one, the older brother type, and a heart throb.
Since 2001, the dominance of traditional boy bands on pop charts began to fade in the western hemisphere, although Gil Kaufman of MTV has described "new boy bands" that are "more likely to resemble My Chemical Romance, Sum 41, and Simple Plan.
In 2001, Taiwanese boy band F4 (called JVKV since 2007) blew up big as a result of the success of their TV drama Meteor Garden. According to Forbes, F4 has sold 3.5 million copies of their first two albums all over Asia as of July 2003.
With their success, many other Taiwanese boy bands emerged around this time, such as 5566 and Fahrenheit. In South Korea, Shinhwa also spread hallyu wave throughout Asia such as Japan, Thailand, Singapore, Taiwan, Hong Kong and China. Also in 2001, a new all-male pop band and dance group boyband hailing from Japan called Exile debuted under Avex Group's label Rhythm Zone with 14 members, putting them on par with Super Junior, a South Korean boy band, who at the time, had had 13 members at its peak.
Japanese boy band Arashi has sold over 30 million copies of their records since their first release in 1999. They had the yearly best-selling single in Japan in 2008 and 2009. In 2003 SMAP released the single "Sekai ni Hitotsu Dake no Hana" that has become the third best-selling single ever in Japan, with over three million copies sold.
In North America, the Jonas Brothers rose to fame from promotion on the Disney Channel in 2008. Other boy bands like JLS and Mindless Behavior also emerged and experienced remarkable success around this time. However, apart from them, boy bands have not seen the commercial boom experienced in the genre from the mid to late nineties in North America.
The mid 2000s, especially the United Kingdom and the rest of Europe, saw the continued longevity of nineties boy bands such as Backstreet Boys and Westlife (before they disbanded in 2012), and the successful comeback of Take That in 2005, Boyzone in 2007, and New Kids on the Block in 2008. Some sections of the press have referred to these acts, particularly those who have reformed after a previous split, such as Take That, Boyzone, and 98 Degrees, as 'man bands'.
2010s and 2020s: Big Time Rush, One Direction and rise of K-pop
In the early 2010s, there was somewhat of a resurgence of boy band popularity in countries where the trend had not maintained, with the emergence of new boy bands like Big Time Rush, the Wanted, and One Direction and the formation of supergroup NKOTBSB which comprised members of New Kids on the Block and Backstreet Boys. NKOTBSB's success inspired boy bands who were fairly popular during the 1990s and 2000s to make a comeback, such as A1, Blue, 98 Degrees, Five, 911, and O-Town. Like 2gether and the Monkees, Big Time Rush was a manufactured act created for a television show. One Direction were often credited as sparking a resurgence in the popularity and interest boy bands alongside being credited with forming part of a new "British Invasion" in the United States. Their Where We Are Tour was the highest-grossing tour by a vocal group in history and after the release of their fourth album, Four, they became the only group in the 58-year history of the Billboard 200 to have their first four albums debut at number one.
In Southeast Asia, local boy bands also emerged as a result of the continued success of Korean and Japanese boy bands. After the debut of the Philippines supergroup SB19 in 2018, the group appeared at number six on Billboard Year-End Social 50 chart, making them the first Southeast Asian act to reach the top 10 of the magazine's annual chart.
In South Korea, boy bands have been commercially successful. On the Circle Chart year-end albums chart of 2022, 7 of the top 10 and 13 of the top 20 albums are by boy bands or by subunits/members of boy bands. BTS' Map of the Soul: 7 is the best-selling album of all time in South Korea, with more than 5 million copies sold, and BTS's Love Yourself: Her became the first album released since 2001 to sell more than 1 million copies.
In 2013, Billboard started covering music releases in K-pop, though K-pop had been entering the charts as early as 2009. By 2017, BTS crossed into the international music market, furthering the Korean Wave in the United States and becoming the first Korean group to receive a certification by the Recording Industry Association of America (RIAA) with their single "Mic Drop". The band is the first Korean act to top the U.S. Billboard 200 with their studio album Love Yourself: Tear (2018) and have since hit the top of the U.S. charts with their albums Love Yourself: Answer (2018), Map of the Soul: Persona (2019), Map of the Soul: 7 (2020), Be (2020) and Proof. Love Yourself: Answer also broke South Korea's Gaon Album Chart's all-time monthly record previously set by Love Yourself: Tear and became the first Korean album certified Gold in the United States. SuperM later became the first K-pop group to debut at No. 1 in the U.S. Billboard 200. In 2020, BTS "Dynamite" debuted atop the Billboard Hot 100, making them the first all-South Korean act in Hot 100 history to debut at number one. It garnered the band their first Grammy nomination, for Best Pop Duo/Group Performance at 63rd Annual Grammy Awards, making them the first K-pop act to be nominated for one.
In Japan, Arashi was the best-selling music artist in Japan from 2013 through 2017 by value of sales and also having the yearly best-selling album in the country in 2010, 2011, 2013, 2015 and 2016. Other successful Japanese boy bands in this decade include Sandaime J Soul Brothers, the second best-selling music artist of 2016 in the country and Kanjani Eight, the fifth best-selling music artist of that year in Japan.
In Norway, the boy band Ballinciaga gained commercial success in 2022 with dance and party songs like "Dans På Bordet" and "Beklager (Guttaklubben)". The group is also known for keeping their identities anonymous by wearing pink-colored masks in the public.
Key factors of the concept
Seen as important to a "boy band" group's commercial success is the group's image, carefully controlled by managing all aspects of the group's attire, promotional materials (which are frequently supplied to teen magazines), and music videos. The key factor of a boy band is being trendy. This means that the band conforms to the most recent fashion and musical trends in the popular music scene. Typically, each member of the group will have some distinguishing feature and be portrayed as having a particular personality stereotype, such as "the baby", "the bad boy", or "the shy one". While managing the portrayal of popular musicians is as old as popular music, the particular pigeonholing of band members is a defining characteristic of boy and girl bands. In K-pop, officially designated positions within the group are common, such as "leader", "maknae" (Korean: 막내, English: "the youngest"), "visual", "center" "vocalist", "rapper" and "dancer". The latter three are based on the members' specialized skills and are further divided into "main-", "lead-" and "sub-" (vocalist/rapper/dancer) positions, with the members occupying the "main" positions often being considered the most skilled and having the most parts in songs or being highlighted during solo dance parts. The "leader" is the spokesperson who represents the group in public, and is in charge of mediating between group members, as well as between the group and the label.
In most cases, their music is written, arranged and produced by a producer who works with the band at all times and controls the group's sound – if necessary, to the point of hiring session singers to record guide vocals for each member of the group to sing individually if the members cannot harmonize well together. However, for clarity of each voice, recording each voice individually is most commonly the norm with most modern vocal groups. In recent years, auto-tune has become a popular tool in vocal producing, some boy bands have come under fire for that reason. Some have also come under fire for lip syncing in their performances as well, for example New Kids on the Block.
A typical boy band performance features elaborately choreographed dancing, with the members taking turns singing and/or rapping. Boy bands generally do not compose or produce their own material, unless the members lobby hard enough for creative control. However, some bands were created around the talent of a songwriter within the group like Gary Barlow of Take That or Tony Mortimer of East 17. It is not uncommon to find extra songs on an album written by one or more of the band members; however, their producers rarely use these as singles.
Since the 21st century, however, boy bands have been expected to write or at least contribute in some part lyrically to songs. Apart from the groups mentioned above who all had at least one primary songwriter from their beginning, other groups soon caught up. At the close of the nineties, groups like Backstreet Boys and *NSYNC who had previously used writers like Max Martin during their early albums began writing their own songs. Newer groups from late 2000s such as JLS have all made a point from early interviews that they write their own songs and hold their own image as this is an important part of marketing. Some bands like The Wanted have even spent time learning the craft of songwriting. There has also been a rising trend of so-called "songwriter-" or "producer idols" (Korean: Hangul 작곡돌, rev. Rom. jakgok-dol) in K-pop since the early 2000s. Nowadays, it's not uncommon for groups to have at least one member who is heavily involved in the songwriting and producing of the groups' music. In many cases, these members are the rappers in the group, who have often gained songwriting and producing experience while being active as amateur or underground rappers before joining the group. There is also a higher expectation for rappers to write their own lyrics due to self-expression being a core value of the hip-hop genre. There are cases of "producer idols" writing or producing for other artists outside of their solo or respective group work as well, such as BIGBANG's G-Dragon, SHINee's Jonghyun, Block B's Zico, BTS' RM and Suga, or AB6IX' Lee Daehwi.
Individuals can also go on to achieve greater success as a solo artist coming out of a boy band having used the groups popularity to build on. Usually this signals the end of the group until potential future reunions. Examples of this include Michael Jackson from The Jackson 5, Donny Osmond from The Osmonds, Ricky Martin from Menudo, Justin Timberlake from *NSYNC, and Ronan Keating from Boyzone. Sometimes the most successful solo star from a band is not the most popular member such as Robbie Williams as opposed to lead singer Gary Barlow from Take That. Some boy band members have gone on to successful careers elsewhere in the media. Michael Dolenz of The Monkees went on to become a successful television producer, working for ITV franchises such as LWT and Television South. In K-pop, it is expected and common practice for members to embark on solo endeavors as musical artists or in other entertainment sectors, such as acting, or as variety personalities, alongside their group career after a few years. At the latest, this happens around the time the eldest member reaches the age of 28 (in exceptional cases 30) and is drafted for mandatory military service, forcing the group into a temporary hiatus of at least 18 months. The other members then often go on to pursue solo endeavors and reconvene as a group while no member is serving, or after all members have completed their service, BTS and Exo being recent examples.
Music genres
Although most boy bands consist of R&B or pop influences, other music genres, most notably country music and folk music, are also represented. South 65 and Marshall Dyllon, for example, were both country music boy bands. Il Divo, created by Simon Cowell in 2004, are a vocal group that performs operatic pop in several (mainly Italian) languages. Since then operatic/classical boy bands have become quite popular and common, especially in the UK. Since 2001, there has been some crossover with power pop and pop punk from bands that play live instruments. Just recently some boy bands decided to go back to their original doo-wop roots, most notably, The Overtones.
Controversy
Since the 2000s, groups such as Backstreet Boys and LFO have disliked the term "boy band" and have preferred to be known as a "male vocal group". Being categorized among boy bands was also the main reason the Moffatts split up. Boy bands have been accused by the music press of emphasizing the appearance and marketing of the group above the quality of music, deliberately trying to appeal to a preteen audience and for conforming to trends instead of being original. Such criticisms can become extremely scathing. Boy bands are often seen as being short-lived, although some acts such as The Jackson 5, Backstreet Boys, Human Nature, New Edition, SMAP, Shinhwa and Westlife (before they split up in 2012) have sustained lasting careers.
Best-selling boy bands
The following is a list of the best-selling boy bands based on claimed sales figures of over 40 million records:
See also
All-female band
Girl group
References
Further reading
External links
Boybands Radio – Only boy bands 24/7
Top 10 Boy Bands at About.com
The Best Boy Bands of All Time—Rolling Stone
Best Boy Bands—The Washington Times
10 Biggest Boy Bands (1987–2012)—Billboard
Pop music genres
Types of musical groups | 6 |
In computer science, a B-tree is a self-balancing tree data structure that maintains sorted data and allows searches, sequential access, insertions, and deletions in logarithmic time. The B-tree generalizes the binary search tree, allowing for nodes with more than two children. Unlike other self-balancing binary search trees, the B-tree is well suited for storage systems that read and write relatively large blocks of data, such as databases and file systems.
History
B-trees were invented by Rudolf Bayer and Edward M. McCreight while working at Boeing Research Labs, for the purpose of efficiently managing index pages for large random-access files. The basic assumption was that indices would be so voluminous that only small chunks of the tree could fit in main memory. Bayer and McCreight's paper, Organization and maintenance of large ordered indices, was first circulated in July 1970 and later published in Acta Informatica.
Bayer and McCreight never explained what, if anything, the B stands for: Boeing, balanced, between, broad, bushy, and Bayer have been suggested. McCreight has said that "the more you think about what the B in B-trees means, the better you understand B-trees."
In 2011 Google developed the C++ B-Tree, reporting a 50-80% reduction in memory use for small data types and improved performance for large data sets when compared to a Red-Black tree.
Definition
According to Knuth's definition, a B-tree of order m is a tree which satisfies the following properties:
Every node has at most m children.
Every internal node has at least ⌈m/2⌉ children.
The root node has at least two children unless it is a leaf.
All leaves appear on the same level.
A non-leaf node with k children contains k−1 keys.
Each internal node's keys act as separation values which divide its subtrees. For example, if an internal node has 3 child nodes (or subtrees) then it must have 2 keys: a1 and a2. All values in the leftmost subtree will be less than a1, all values in the middle subtree will be between a1 and a2, and all values in the rightmost subtree will be greater than a2.
Internal nodes
Internal nodes (also known as inner nodes) are all nodes except for leaf nodes and the root node. They are usually represented as an ordered set of elements and child pointers. Every internal node contains a maximum of U children and a minimum of L children. Thus, the number of elements is always 1 less than the number of child pointers (the number of elements is between L−1 and U−1). U must be either 2L or 2L−1; therefore each internal node is at least half full. The relationship between U and L implies that two half-full nodes can be joined to make a legal node, and one full node can be split into two legal nodes (if there's room to push one element up into the parent). These properties make it possible to delete and insert new values into a B-tree and adjust the tree to preserve the B-tree properties.
The root node
The root node's number of children has the same upper limit as internal nodes, but has no lower limit. For example, when there are fewer than L−1 elements in the entire tree, the root will be the only node in the tree with no children at all.
Leaf nodes
In Knuth's terminology, the "leaf" nodes are the actual data objects / chunks. The internal nodes that are one level above these leaves are what would be called the "leaves" by other authors: these nodes only store keys (at most m-1, and at least m/2-1 if they are not the root) and pointers (one for each key) to nodes carrying the data objects / chunks.
A B-tree of depth n+1 can hold about U times as many items as a B-tree of depth n, but the cost of search, insert, and delete operations grows with the depth of the tree. As with any balanced tree, the cost grows much more slowly than the number of elements.
Some balanced trees store values only at leaf nodes, and use different kinds of nodes for leaf nodes and internal nodes. B-trees keep values in every node in the tree except leaf nodes.
Differences in terminology
The literature on B-trees is not uniform in its terminology.
Bayer and McCreight (1972), Comer (1979), and others define the order of B-tree as the minimum number of keys in a non-root node. Folk and Zoellick points out that terminology is ambiguous because the maximum number of keys is not clear. An order 3 B-tree might hold a maximum of 6 keys or a maximum of 7 keys. Knuth (1998) avoids the problem by defining the order to be the maximum number of children (which is one more than the maximum number of keys).
The term leaf is also inconsistent. Bayer and McCreight (1972) considered the leaf level to be the lowest level of keys, but Knuth considered the leaf level to be one level below the lowest keys. There are many possible implementation choices. In some designs, the leaves may hold the entire data record; in other designs, the leaves may only hold pointers to the data record. Those choices are not fundamental to the idea of a B-tree.
For simplicity, most authors assume there are a fixed number of keys that fit in a node. The basic assumption is the key size is fixed and the node size is fixed. In practice, variable length keys may be employed.
Informal description
Node structure
As with other trees, B-trees can be represented as a collection of three types of nodes: root, internal (a.k.a. interior), and leaf.
Note the following variable definitions:
: Maximum number of potential search keys for each node in a B-tree. (this value is constant over the entire tree).
: The pointer to a child node which starts a sub-tree.
: The pointer to a record which stores the data.
: The search key at the zero-based node index .
In B-trees, the following properties are maintained for these nodes:
If exists in any node in a B+ tree, then exists in that node where .
All leaf nodes have the same number of ancestors (i.e., they are all at the same depth).
Each internal node in a B-tree has the following format:
Each leaf node in a B-tree has the following format:
The node bounds are summarized in the table below:
Insertion and deletion
In order to maintain the pre-defined range of child nodes, internal nodes may be joined or split.
Usually, the number of keys is chosen to vary between and , where is the minimum number of keys, and is the minimum degree or branching factor of the tree. The factor of 2 will guarantee that nodes can be split or combined.
If an internal node has keys, then adding a key to that node can be accomplished by splitting the hypothetical key node into two key nodes and moving the key that would have been in the middle to the parent node. Each split node has the required minimum number of keys. Similarly, if an internal node and its neighbor each have keys, then a key may be deleted from the internal node by combining it with its neighbor. Deleting the key would make the internal node have keys; joining the neighbor would add keys plus one more key brought down from the neighbor's parent. The result is an entirely full node of keys.
A B-tree is kept balanced after insertion by splitting a would-be overfilled node, of keys, into two -key siblings and inserting the mid-value key into the parent. Depth only increases when the root is split, maintaining balance. Similarly, a B-tree is kept balanced after deletion by merging or redistributing keys among siblings to maintain the -key minimum for non-root nodes. A merger reduces the number of keys in the parent potentially forcing it to merge or redistribute keys with its siblings, and so on. The only change in depth occurs when the root has two children, of and (transitionally) keys, in which case the two siblings and parent are merged, reducing the depth by one.
This depth will increase slowly as elements are added to the tree, but an increase in the overall depth is infrequent, and results in all leaf nodes being one more node farther away from the root.
Comparison to other trees
Because a range of child nodes is permitted, B-trees do not need re-balancing as frequently as other self-balancing search trees, but may waste some space, since nodes are not entirely full.
B-trees have substantial advantages over alternative implementations when the time to access the data of a node greatly exceeds the time spent processing that data, because then the cost of accessing the node may be amortized over multiple operations within the node. This usually occurs when the node data are in secondary storage such as disk drives. By maximizing the number of keys within each internal node, the height of the tree decreases and the number of expensive node accesses is reduced. In addition, rebalancing of the tree occurs less often. The maximum number of child nodes depends on the information that must be stored for each child node and the size of a full disk block or an analogous size in secondary storage. While 2–3 B-trees are easier to explain, practical B-trees using secondary storage need a large number of child nodes to improve performance.
Variants
The term B-tree may refer to a specific design or it may refer to a general class of designs. In the narrow sense, a B-tree stores keys in its internal nodes but need not store those keys in the records at the leaves. The general class includes variations such as the B+ tree, the B* tree and the B*+ tree.
In the B+ tree, the internal nodes do not store any pointers to records, thus all pointers to records are stored in the leaf nodes. In addition, a leaf node may include a pointer to the next leaf node to speed sequential access. Because B+ tree internal nodes have fewer pointers, each node can hold more keys, causing the tree to be shallower, and thus, faster to search.
The B* tree balances more neighboring internal nodes to keep the internal nodes more densely packed. This variant ensures non-root nodes are at least 2/3 full instead of 1/2. As the most costly part of operation of inserting the node in B-tree is splitting the node, B*-trees are created to postpone splitting operation as long as they can. To maintain this, instead of immediately splitting up a node when it gets full, its keys are shared with a node next to it. This spill operation is less costly to do than split, because it requires only shifting the keys between existing nodes, not allocating memory for a new one. For inserting, first it is checked whether the node has some free space in it, and if so, the new key is just inserted in the node. However, if the node is full (it has keys, where is the order of the tree as maximum number of pointers to subtrees from one node), it needs to be checked whether the right sibling exists and has some free space. If the right sibling has keys, then keys are redistributed between the two sibling nodes as evenly as possible. For this purpose, keys from the current node, the new key inserted, one key from the parent node and keys from the sibling node are seen as an ordered array of keys. The array becomes split by half, so that lowest keys stay in the current node, the next (middle) key is inserted in the parent and the rest go to the right sibling. (The newly inserted key might end up in any of the three places.) The situation when right sibling is full, and left isn't is analogous. When both the sibling nodes are full, then the two nodes (current node and a sibling) are split into three and one more key is shifted up the tree, to the parent node. If the parent is full, then spill/split operation propagates towards the root node. Deleting nodes is somewhat more complex than inserting however.
The B*+ tree combines the main B+ tree and B* tree features together.
B-trees can be turned into order statistic trees to allow rapid searches for the Nth record in key order, or counting the number of records between any two records, and various other related operations.
B-tree usage in databases
Time to search a sorted file
Usually, sorting and searching algorithms have been characterized by the number of comparison operations that must be performed using order notation. A binary search of a sorted table with records, for example, can be done in roughly comparisons. If the table had 1,000,000 records, then a specific record could be located with at most 20 comparisons: .
Large databases have historically been kept on disk drives. The time to read a record on a disk drive far exceeds the time needed to compare keys once the record is available. The time to read a record from a disk drive involves a seek time and a rotational delay. The seek time may be 0 to 20 or more milliseconds, and the rotational delay averages about half the rotation period. For a 7200 RPM drive, the rotation period is 8.33 milliseconds. For a drive such as the Seagate ST3500320NS, the track-to-track seek time is 0.8 milliseconds and the average reading seek time is 8.5 milliseconds. For simplicity, assume reading from disk takes about 10 milliseconds.
Naively, then, the time to locate one record out of a million would take 20 disk reads times 10 milliseconds per disk read, which is 0.2 seconds.
The time won't be that bad because individual records are grouped together in a disk block. A disk block might be 16 kilobytes. If each record is 160 bytes, then 100 records could be stored in each block. The disk read time above was actually for an entire block. Once the disk head is in position, one or more disk blocks can be read with little delay. With 100 records per block, the last 6 or so comparisons don't need to do any disk reads—the comparisons are all within the last disk block read.
To speed the search further, the first 13 to 14 comparisons (which each required a disk access) must be sped up.
An index speeds the search
A significant improvement in performance can be made with a B-tree index. A B-tree index creates a multi-level tree structure that breaks a database down into fixed-size blocks or pages. Each level of this tree can be used to link those pages via an address location, allowing one page (known as a node, or internal page) to refer to another with leaf pages at the lowest level. One page is typically the starting point of the tree, or the "root". This is where the search for a particular key would begin, traversing a path that terminates in a leaf. Most pages in this structure will be leaf pages which ultimately refer to specific table rows.
Because each node (or internal page) can have more than two children, a B-tree index will usually have a shorter height (the distance from the root to the farthest leaf) than a Binary Search Tree. In the example above, initial disk reads narrowed the search range by a factor of two. That can be improved substantially by creating an auxiliary index that contains the first record in each disk block (sometimes called a sparse index). This auxiliary index would be 1% of the size of the original database, but it can be searched more quickly. Finding an entry in the auxiliary index would tell us which block to search in the main database; after searching the auxiliary index, we would have to search only that one block of the main database—at a cost of one more disk read. The index would hold 10,000 entries, so it would take at most 14 comparisons. Like the main database, the last six or so comparisons in the auxiliary index would be on the same disk block. The index could be searched in about eight disk reads, and the desired record could be accessed in 9 disk reads.
The trick of creating an auxiliary index can be repeated to make an auxiliary index to the auxiliary index. That would make an aux-aux index that would need only 100 entries and would fit in one disk block.
Instead of reading 14 disk blocks to find the desired record, we only need to read 3 blocks. This blocking is the core idea behind the creation of the B-tree, where the disk blocks fill-out a hierarchy of levels to make up the index. Reading and searching the first (and only) block of the aux-aux index which is the root of the tree identifies the relevant block in aux-index in the level below. Reading and searching that aux-index block identifies the relevant block to read, until the final level, known as the leaf level, identifies a record in the main database. Instead of 150 milliseconds, we need only 30 milliseconds to get the record.
The auxiliary indices have turned the search problem from a binary search requiring roughly disk reads to one requiring only disk reads where is the blocking factor (the number of entries per block: entries per block in our example; reads).
In practice, if the main database is being frequently searched, the aux-aux index and much of the aux index may reside in a disk cache, so they would not incur a disk read. The B-tree remains the standard index implementation in almost all relational databases, and many nonrelational databases use them too.
Insertions and deletions
If the database does not change, then compiling the index is simple to do, and the index need never be changed. If there are changes, then managing the database and its index becomes more complicated.
Deleting records from a database is relatively easy. The index can stay the same, and the record can just be marked as deleted. The database remains in sorted order. If there are a large number of lazy deletions, then searching and storage become less efficient.
Insertions can be very slow in a sorted sequential file because room for the inserted record must be made. Inserting a record before the first record requires shifting all of the records down one. Such an operation is just too expensive to be practical. One solution is to leave some spaces. Instead of densely packing all the records in a block, the block can have some free space to allow for subsequent insertions. Those spaces would be marked as if they were "deleted" records.
Both insertions and deletions are fast as long as space is available on a block. If an insertion won't fit on the block, then some free space on some nearby block must be found and the auxiliary indices adjusted. The hope is that enough space is available nearby, such that a lot of blocks do not need to be reorganized. Alternatively, some out-of-sequence disk blocks may be used.
Advantages of B-tree usage for databases
The B-tree uses all of the ideas described above. In particular, a B-tree:
keeps keys in sorted order for sequential traversing
uses a hierarchical index to minimize the number of disk reads
uses partially full blocks to speed up insertions and deletions
keeps the index balanced with a recursive algorithm
In addition, a B-tree minimizes waste by making sure the interior nodes are at least half full. A B-tree can handle an arbitrary number of insertions and deletions.
Best case and worst case heights
Let be the height of the classic B-tree (see for the tree height definition). Let be the number of entries in the tree. Let m be the maximum number of children a node can have. Each node can have at most keys.
It can be shown (by induction for example) that a B-tree of height h with all its nodes completely filled has entries. Hence, the best case height (i.e. the minimum height) of a B-tree is:
Let be the minimum number of children an internal (non-root) node must have. For an ordinary B-tree,
Comer (1979) and Cormen et al. (2001) give the worst case height (the maximum height) of a B-tree as
Algorithms
Search
Searching is similar to searching a binary search tree. Starting at the root, the tree is recursively traversed from top to bottom. At each level, the search reduces its field of view to the child pointer (subtree) whose range includes the search value. A subtree's range is defined by the values, or keys, contained in its parent node. These limiting values are also known as separation values.
Binary search is typically (but not necessarily) used within nodes to find the separation values and child tree of interest.
Insertion
All insertions start at a leaf node. To insert a new element, search the tree to find the leaf node where the new element should be added. Insert the new element into that node with the following steps:
If the node contains fewer than the maximum allowed number of elements, then there is room for the new element. Insert the new element in the node, keeping the node's elements ordered.
Otherwise the node is full, evenly split it into two nodes so:
A single median is chosen from among the leaf's elements and the new element that is being inserted.
Values less than the median are put in the new left node and values greater than the median are put in the new right node, with the median acting as a separation value.
The separation value is inserted in the node's parent, which may cause it to be split, and so on. If the node has no parent (i.e., the node was the root), create a new root above this node (increasing the height of the tree).
If the splitting goes all the way up to the root, it creates a new root with a single separator value and two children, which is why the lower bound on the size of internal nodes does not apply to the root. The maximum number of elements per node is U−1. When a node is split, one element moves to the parent, but one element is added. So, it must be possible to divide the maximum number U−1 of elements into two legal nodes. If this number is odd, then U=2L and one of the new nodes contains (U−2)/2 = L−1 elements, and hence is a legal node, and the other contains one more element, and hence it is legal too. If U−1 is even, then U=2L−1, so there are 2L−2 elements in the node. Half of this number is L−1, which is the minimum number of elements allowed per node.
An alternative algorithm supports a single pass down the tree from the root to the node where the insertion will take place, splitting any full nodes encountered on the way pre-emptively. This prevents the need to recall the parent nodes into memory, which may be expensive if the nodes are on secondary storage. However, to use this algorithm, we must be able to send one element to the parent and split the remaining U−2 elements into two legal nodes, without adding a new element. This requires U = 2L rather than U = 2L−1, which accounts for why some textbooks impose this requirement in defining B-trees.
Deletion
There are two popular strategies for deletion from a B-tree.
Locate and delete the item, then restructure the tree to retain its invariants, OR
Do a single pass down the tree, but before entering (visiting) a node, restructure the tree so that once the key to be deleted is encountered, it can be deleted without triggering the need for any further restructuring
The algorithm below uses the former strategy.
There are two special cases to consider when deleting an element:
The element in an internal node is a separator for its child nodes
Deleting an element may put its node under the minimum number of elements and children
The procedures for these cases are in order below.
Deletion from a leaf node
Search for the value to delete.
If the value is in a leaf node, simply delete it from the node.
If underflow happens, rebalance the tree as described in section "Rebalancing after deletion" below.
Deletion from an internal node
Each element in an internal node acts as a separation value for two subtrees, therefore we need to find a replacement for separation. Note that the largest element in the left subtree is still less than the separator. Likewise, the smallest element in the right subtree is still greater than the separator. Both of those elements are in leaf nodes, and either one can be the new separator for the two subtrees. Algorithmically described below:
Choose a new separator (either the largest element in the left subtree or the smallest element in the right subtree), remove it from the leaf node it is in, and replace the element to be deleted with the new separator.
The previous step deleted an element (the new separator) from a leaf node. If that leaf node is now deficient (has fewer than the required number of nodes), then rebalance the tree starting from the leaf node.
Rebalancing after deletion
Rebalancing starts from a leaf and proceeds toward the root until the tree is balanced. If deleting an element from a node has brought it under the minimum size, then some elements must be redistributed to bring all nodes up to the minimum. Usually, the redistribution involves moving an element from a sibling node that has more than the minimum number of nodes. That redistribution operation is called a rotation. If no sibling can spare an element, then the deficient node must be merged with a sibling. The merge causes the parent to lose a separator element, so the parent may become deficient and need rebalancing. The merging and rebalancing may continue all the way to the root. Since the minimum element count doesn't apply to the root, making the root be the only deficient node is not a problem. The algorithm to rebalance the tree is as follows:
If the deficient node's right sibling exists and has more than the minimum number of elements, then rotate left
Copy the separator from the parent to the end of the deficient node (the separator moves down; the deficient node now has the minimum number of elements)
Replace the separator in the parent with the first element of the right sibling (right sibling loses one node but still has at least the minimum number of elements)
The tree is now balanced
Otherwise, if the deficient node's left sibling exists and has more than the minimum number of elements, then rotate right
Copy the separator from the parent to the start of the deficient node (the separator moves down; deficient node now has the minimum number of elements)
Replace the separator in the parent with the last element of the left sibling (left sibling loses one node but still has at least the minimum number of elements)
The tree is now balanced
Otherwise, if both immediate siblings have only the minimum number of elements, then merge with a sibling sandwiching their separator taken off from their parent
Copy the separator to the end of the left node (the left node may be the deficient node or it may be the sibling with the minimum number of elements)
Move all elements from the right node to the left node (the left node now has the maximum number of elements, and the right node – empty)
Remove the separator from the parent along with its empty right child (the parent loses an element)
If the parent is the root and now has no elements, then free it and make the merged node the new root (tree becomes shallower)
Otherwise, if the parent has fewer than the required number of elements, then rebalance the parent
Note: The rebalancing operations are different for B+ trees (e.g., rotation is different because parent has copy of the key) and B*-tree (e.g., three siblings are merged into two siblings).
Sequential access
While freshly loaded databases tend to have good sequential behaviour, this behaviour becomes increasingly difficult to maintain as a database grows, resulting in more random I/O and performance challenges.
Initial construction
A common special case is adding a large amount of pre-sorted data into an initially empty B-tree. While it is quite possible to simply perform a series of successive inserts, inserting sorted data results in a tree composed almost entirely of half-full nodes. Instead, a special "bulk loading" algorithm can be used to produce a more efficient tree with a higher branching factor.
When the input is sorted, all insertions are at the rightmost edge of the tree, and in particular any time a node is split, we are guaranteed that no more insertions will take place in the left half. When bulk loading, we take advantage of this, and instead of splitting overfull nodes evenly, split them as unevenly as possible: leave the left node completely full and create a right node with zero keys and one child (in violation of the usual B-tree rules).
At the end of bulk loading, the tree is composed almost entirely of completely full nodes; only the rightmost node on each level may be less than full. Because those nodes may also be less than half full, to re-establish the normal B-tree rules, combine such nodes with their (guaranteed full) left siblings and divide the keys to produce two nodes at least half full. The only node which lacks a full left sibling is the root, which is permitted to be less than half full.
In filesystems
In addition to its use in databases, the B-tree (or ) is also used in filesystems to allow quick random access to an arbitrary block in a particular file. The basic problem is turning the file block address into a disk block address.
Some operating systems require the user to allocate the maximum size of the file when the file is created. The file can then be allocated as contiguous disk blocks. In that case, to convert the file block address into a disk block address, the operating system simply adds the file block address to the address of the first disk block constituting the file. The scheme is simple, but the file cannot exceed its created size.
Other operating systems allow a file to grow. The resulting disk blocks may not be contiguous, so mapping logical blocks to physical blocks is more involved.
MS-DOS, for example, used a simple File Allocation Table (FAT). The FAT has an entry for each disk block, and that entry identifies whether its block is used by a file and if so, which block (if any) is the next disk block of the same file. So, the allocation of each file is represented as a linked list in the table. In order to find the disk address of file block , the operating system (or disk utility) must sequentially follow the file's linked list in the FAT. Worse, to find a free disk block, it must sequentially scan the FAT. For MS-DOS, that was not a huge penalty because the disks and files were small and the FAT had few entries and relatively short file chains. In the FAT12 filesystem (used on floppy disks and early hard disks), there were no more than 4,080 entries, and the FAT would usually be resident in memory. As disks got bigger, the FAT architecture began to confront penalties. On a large disk using FAT, it may be necessary to perform disk reads to learn the disk location of a file block to be read or written.
TOPS-20 (and possibly TENEX) used a 0 to 2 level tree that has similarities to a B-tree. A disk block was 512 36-bit words. If the file fit in a 512 (29) word block, then the file directory would point to that physical disk block. If the file fit in 218 words, then the directory would point to an aux index; the 512 words of that index would either be NULL (the block isn't allocated) or point to the physical address of the block. If the file fit in 227 words, then the directory would point to a block holding an aux-aux index; each entry would either be NULL or point to an aux index. Consequently, the physical disk block for a 227 word file could be located in two disk reads and read on the third.
Apple's filesystem HFS+ and APFS, Microsoft's NTFS, AIX (jfs2) and some Linux filesystems, such as Btrfs and ext4, use B-trees.
B*-trees are used in the HFS and Reiser4 file systems.
DragonFly BSD's HAMMER file system uses a modified B+-tree.
Performance
A B-tree grows slower with growing data amount, than the linearity of a linked list. Compared to a skip list, both structures have the same performance, but the B-tree scales better for growing n. A T-tree, for main memory database systems, is similar but more compact.
Variations
Access concurrency
Lehman and Yao showed that all the read locks could be avoided (and thus concurrent access greatly improved) by linking the tree blocks at each level together with a "next" pointer. This results in a tree structure where both insertion and search operations descend from the root to the leaf. Write locks are only required as a tree block is modified. This maximizes access concurrency by multiple users, an important consideration for databases and/or other B-tree-based ISAM storage methods. The cost associated with this improvement is that empty pages cannot be removed from the btree during normal operations. (However, see for various strategies to implement node merging, and source code at.)
United States Patent 5283894, granted in 1994, appears to show a way to use a 'Meta Access Method' to allow concurrent B+ tree access and modification without locks. The technique accesses the tree 'upwards' for both searches and updates by means of additional in-memory indexes that point at the blocks in each level in the block cache. No reorganization for deletes is needed and there are no 'next' pointers in each block as in Lehman and Yao.
Parallel algorithms
Since B-trees are similar in structure to red-black trees, parallel algorithms for red-black trees can be applied to B-trees as well.
Maple tree
A Maple tree is a B-tree developed for use in the Linux kernel to reduce lock contention in virtual memory management.
See also
B+ tree
R-tree
Red–black tree
2–3 tree
2–3–4 tree
Notes
References
Sources
.
. Chapter 18: B-Trees.
. Section 6.2.4: Multiway Trees, pp. 481–491. Also, pp. 476–477 of section 6.2.3 (Balanced Trees) discusses 2–3 trees.
Original papers
.
.
External links
B-tree lecture by David Scot Taylor, SJSU
B-Tree visualisation (click "init")
Animated B-Tree visualization
B-tree and UB-tree on Scholarpedia Curator: Dr Rudolf Bayer
B-Trees: Balanced Tree Data Structures
NIST's Dictionary of Algorithms and Data Structures: B-tree
B-Tree Tutorial
The InfinityDB BTree implementation
Cache Oblivious B(+)-trees
Dictionary of Algorithms and Data Structures entry for B*-tree
Open Data Structures - Section 14.2 - B-Trees, Pat Morin
Counted B-Trees
B-Tree .Net, a modern, virtualized RAM & Disk implementation
Bulk loading
Computer-related introductions in 1971
Database index techniques | 10 |
The British Museum is a public museum dedicated to human history, art and culture located in the Bloomsbury area of London. Its permanent collection of eight million works is the largest in the world. It documents the story of human culture from its beginnings to the present. The British Museum was the first public national museum to cover all fields of knowledge.
In 2022 the museum received 4,097,253 visitors, an increase of 209 per cent from 2021. It ranked third in the list of most-visited art museums in the world.
The museum was established in 1753, largely based on the collections of the Anglo-Irish physician and scientist Sir Hans Sloane. It first opened to the public in 1759, in Montagu House, on the site of the current building. The museum's expansion over the following 250 years was largely a result of British colonisation and resulted in the creation of several branch institutions, or independent spin-offs, the first being the Natural History Museum in 1881. The right to ownership of some of its most well-known acquisitions, notably the Greek Elgin Marbles and the Egyptian Rosetta Stone, is subject to long-term disputes and repatriation claims.
In 1973, the British Library Act 1972 detached the library department from the British Museum, but it continued to host the now separated British Library in the same Reading Room and building as the museum until 1997. The museum is a non-departmental public body sponsored by the Department for Digital, Culture, Media and Sport, and as with all national museums in the UK it charges no admission fee, except for loan exhibitions.
History
Sir Hans Sloane
Although today principally a museum of cultural art objects and antiquities, the British Museum was founded as a "universal museum". Its foundations lie in the will of the Anglo-Irish physician and naturalist Sir Hans Sloane (1660–1753), a London-based doctor and scientist from Ulster. During the course of his lifetime, and particularly after he married the widow of a wealthy Jamaican planter, Sloane gathered a large collection of curiosities, and not wishing to see his collection broken up after death, he bequeathed it to King George II, for the nation, for a sum of £20,000.
At that time, Sloane's collection consisted of around 71,000 objects of all kinds including some 40,000 printed books, 7,000 manuscripts, extensive natural history specimens including 337 volumes of dried plants, prints and drawings including those by Albrecht Dürer and antiquities from Sudan, Egypt, Greece, Rome, the Ancient Near and Far East and the Americas.
Foundation (1753)
On 7 June 1753, King George II gave his royal assent to the Act of Parliament which established the British Museum. The British Museum Act 1753 also added two other libraries to the Sloane collection, namely the Cottonian Library, assembled by Sir Robert Cotton, dating back to Elizabethan times, and the Harleian Library, the collection of the Earls of Oxford. They were joined in 1757 by the "Old Royal Library", now the Royal manuscripts, assembled by various British monarchs. Together these four "foundation collections" included many of the most treasured books now in the British Library including the Lindisfarne Gospels and the sole surviving manuscript of Beowulf.
The British Museum was the first of a new kind of museum – national, belonging to neither church nor king, freely open to the public and aiming to collect everything. Sloane's collection, while including a vast miscellany of objects, tended to reflect his scientific interests. The addition of the Cotton and Harley manuscripts introduced a literary and antiquarian element, and meant that the British Museum now became both National Museum and library.
Cabinet of curiosities (1753–1778)
The body of trustees decided on a converted 17th-century mansion, Montagu House, as a location for the museum, which it bought from the Montagu family for £20,000. The trustees rejected Buckingham House, which was later converted into the present day Buckingham Palace, on the grounds of cost and the unsuitability of its location.
With the acquisition of Montagu House, the first exhibition galleries and reading room for scholars opened on 15 January 1759. At this time, the largest parts of collection were the library, which took up the majority of the rooms on the ground floor of Montagu House, and the natural history objects, which took up an entire wing on the second state storey of the building. In 1763, the trustees of the British Museum, under the influence of Peter Collinson and William Watson, employed the former student of Carl Linnaeus, Daniel Solander, to reclassify the natural history collection according to the Linnaean system, thereby making the museum a public centre of learning accessible to the full range of European natural historians. In 1823, King George IV gave the King's Library assembled by George III, and Parliament gave the right to a copy of every book published in the country, thereby ensuring that the museum's library would expand indefinitely. During the few years after its foundation the British Museum received several further gifts, including the Thomason Collection of Civil War Tracts and David Garrick's library of 1,000 printed plays. The predominance of natural history, books and manuscripts began to lessen when in 1772 the museum acquired for £8,410 its first significant antiquities in Sir William Hamilton's "first" collection of Greek vases.
Indolence and energy (1778–1800)
From 1778, a display of objects from the South Seas brought back from the round-the-world voyages of Captain James Cook and the travels of other explorers fascinated visitors with a glimpse of previously unknown lands. The bequest of a collection of books, engraved gems, coins, prints and drawings by Clayton Mordaunt Cracherode in 1800 did much to raise the museum's reputation; but Montagu House became increasingly crowded and decrepit and it was apparent that it would be unable to cope with further expansion.
The museum's first notable addition towards its collection of antiquities, since its foundation, was by Sir William Hamilton (1730–1803), British Ambassador to Naples, who sold his collection of Greek and Roman artefacts to the museum in 1784 together with a number of other antiquities and natural history specimens. A list of donations to the museum, dated 31 January 1784, refers to the Hamilton bequest of a "Colossal Foot of an Apollo in Marble". It was one of two antiquities of Hamilton's collection drawn for him by Francesco Progenie, a pupil of Pietro Fabris, who also contributed a number of drawings of Mount Vesuvius sent by Hamilton to the Royal Society in London.
Growth and change (1800–1825)
In the early 19th century the foundations for the extensive collection of sculpture began to be laid and Greek, Roman and Egyptian artefacts dominated the antiquities displays. After the defeat of the French campaign in the Battle of the Nile, in 1801, the British Museum acquired more Egyptian sculptures and in 1802 King George III presented the Rosetta Stone – key to the deciphering of hieroglyphs. Gifts and purchases from Henry Salt, British consul general in Egypt, beginning with the Colossal bust of Ramesses II in 1818, laid the foundations of the collection of Egyptian Monumental Sculpture. Many Greek sculptures followed, notably the first purpose-built exhibition space, the Charles Towneley collection, much of it Roman sculpture, in 1805. In 1806, Thomas Bruce, 7th Earl of Elgin, ambassador to the Ottoman Empire from 1799 to 1803 removed the large collection of marble sculptures from the Parthenon, on the Acropolis in Athens and transferred them to the UK. In 1816 these masterpieces of western art were acquired by the British Museum by Act of Parliament and deposited in the museum thereafter. The collections were supplemented by the Bassae frieze from Phigaleia, Greece in 1815. The Ancient Near Eastern collection also had its beginnings in 1825 with the purchase of Assyrian and Babylonian antiquities from the widow of Claudius James Rich.
In 1802 a buildings committee was set up to plan for expansion of the museum, and further highlighted by the donation in 1822 of the King's Library, personal library of King George III's, comprising 65,000 volumes, 19,000 pamphlets, maps, charts and topographical drawings. The neoclassical architect, Sir Robert Smirke, was asked to draw up plans for an eastern extension to the museum "... for the reception of the Royal Library, and a Picture Gallery over it ..." and put forward plans for today's quadrangular building, much of which can be seen today. The dilapidated Old Montagu House was demolished and work on the King's Library Gallery began in 1823. The extension, the East Wing, was completed by 1831. However, following the founding of the National Gallery, London in 1824, the proposed Picture Gallery was no longer needed, and the space on the upper floor was given over to the Natural history collections.
The first Synopsis of the British Museum was published in 1808. This described the contents of the museum, and the display of objects room by room, and updated editions were published every few years.
The largest building site in Europe (1825–1850)
As Sir Robert Smirke's grand neo-classical building gradually arose, the museum became a construction site. The King's Library, on the ground floor of the East Wing, was handed over in 1827, and was described as one of the finest rooms in London. Although it was not fully open to the general public until 1857, special openings were arranged during The Great Exhibition of 1851.
In 1840, the museum became involved in its first overseas excavations, Charles Fellows's expedition to Xanthos, in Asia Minor, whence came remains of the tombs of the rulers of ancient Lycia, among them the Nereid and Payava monuments. In 1857, Charles Newton was to discover the 4th-century BC Mausoleum of Halikarnassos, one of the Seven Wonders of the Ancient World. In the 1840s and 1850s the museum supported excavations in Assyria by A.H. Layard and others at sites such as Nimrud and Nineveh. Of particular interest to curators was the eventual discovery of Ashurbanipal's great library of cuneiform tablets, which helped to make the museum a focus for Assyrian studies.
Sir Thomas Grenville (1755–1846), a trustee of the British Museum from 1830, assembled a library of 20,240 volumes, which he left to the museum in his will. The books arrived in January 1847 in twenty-one horse-drawn vans. The only vacant space for this large library was a room originally intended for manuscripts, between the Front Entrance Hall and the Manuscript Saloon. The books remained here until the British Library moved to St Pancras in 1998.
Collecting from the wider world (1850–1875)
The opening of the forecourt in 1852 marked the completion of Robert Smirke's 1823 plan, but already adjustments were having to be made to cope with the unforeseen growth of the collections. Infill galleries were constructed for Assyrian sculptures and Sydney Smirke's Round Reading Room, with space for a million books, opened in 1857. Because of continued pressure on space the decision was taken to move natural history to a new building in South Kensington, which would later become the British Museum of Natural History.
Roughly contemporary with the construction of the new building was the career of a man sometimes called the "second founder" of the British Museum, the Italian librarian Anthony Panizzi. Under his supervision, the British Museum Library (now part of the British Library) quintupled in size and became a well-organised institution worthy of being called a national library, the largest library in the world after the National Library of Paris. The quadrangle at the centre of Smirke's design proved to be a waste of valuable space and was filled at Panizzi's request by a circular Reading Room of cast iron, designed by Smirke's brother, Sydney Smirke.
Until the mid-19th century, the museum's collections were relatively circumscribed but, in 1851, with the appointment to the staff of Augustus Wollaston Franks to curate the collections, the museum began for the first time to collect British and European medieval antiquities, prehistory, branching out into Asia and diversifying its holdings of ethnography. A real coup for the museum was the purchase in 1867, over French objections, of the Duke of Blacas's wide-ranging and valuable collection of antiquities. Overseas excavations continued and John Turtle Wood discovered the remains of the 4th century BC Temple of Artemis at Ephesos, another Wonder of the Ancient World.
Scholarship and legacies (1875–1900)
The natural history collections were an integral part of the British Museum until their removal to the new British Museum of Natural History in 1887, nowadays the Natural History Museum. With the departure and the completion of the new White Wing (fronting Montague Street) in 1884, more space was available for antiquities and ethnography and the library could further expand. This was a time of innovation as electric lighting was introduced in the Reading Room and exhibition galleries.
The William Burges collection of armoury was bequeathed to the museum in 1881. In 1882, the museum was involved in the establishment of the independent Egypt Exploration Fund (now Society) the first British body to carry out research in Egypt. A bequest from Miss Emma Turner in 1892 financed excavations in Cyprus. In 1897 the death of the great collector and curator, A. W. Franks, was followed by an immense bequest of 3,300 finger rings, 153 drinking vessels, 512 pieces of continental porcelain, 1,500 netsuke, 850 inro, over 30,000 bookplates and miscellaneous items of jewellery and plate, among them the Oxus Treasure.
In 1898 Baron Ferdinand de Rothschild bequeathed the Waddesdon Bequest, the glittering contents from his New Smoking Room at Waddesdon Manor. This consisted of almost 300 pieces of objets d'art et de vertu which included exquisite examples of jewellery, plate, enamel, carvings, glass and maiolica, among them the Holy Thorn Reliquary, probably created in the 1390s in Paris for John, Duke of Berry. The collection was in the tradition of a Schatzkammer such as those formed by the Renaissance princes of Europe. Baron Ferdinand's will was most specific, and failure to observe the terms would make it void, the collection should be
These terms are still observed, and the collection occupies room 2a.
New century, new building (1900–1925)
By the last years of the 19th century, The British Museum's collections had increased to the extent that its building was no longer large enough. In 1895 the trustees purchased the 69 houses surrounding the museum with the intention of demolishing them and building around the west, north and east sides of the museum. The first stage was the construction of the northern wing beginning 1906.
All the while, the collections kept growing. Emil Torday collected in Central Africa, Aurel Stein in Central Asia, D. G. Hogarth, Leonard Woolley and T. E. Lawrence excavated at Carchemish. Around this time, the American collector and philanthropist J. Pierpont Morgan donated a substantial number of objects to the museum, including William Greenwell's collection of prehistoric artefacts from across Europe which he had purchased for £10,000 in 1908. Morgan had also acquired a major part of Sir John Evans's coin collection, which was later sold to the museum by his son J. P. Morgan Jr. in 1915. In 1918, because of the threat of wartime bombing, some objects were evacuated via the London Post Office Railway to Holborn, the National Library of Wales (Aberystwyth) and a country house near Malvern. On the return of antiquities from wartime storage in 1919 some objects were found to have deteriorated. A conservation laboratory was set up in May 1920 and became a permanent department in 1931. It is today the oldest in continuous existence. In 1923, the British Museum welcomed over one million visitors.
Disruption and reconstruction (1925–1950)
New mezzanine floors were constructed and book stacks rebuilt in an attempt to cope with the flood of books. In 1931, the art dealer Sir Joseph Duveen offered funds to build a gallery for the Parthenon sculptures. Designed by the American architect John Russell Pope, it was completed in 1938. The appearance of the exhibition galleries began to change as dark Victorian reds gave way to modern pastel shades.
Following the retirement of George Francis Hill as Director and Principal Librarian in 1936, he was succeeded by John Forsdyke.
As tensions with Nazi Germany developed and it appeared that war may be imminent Forsdyke came to the view that with the likelihood of far worse air-raids than that experienced in World War I that the museum had to make preparations to remove its most valuable items to secure locations. Following the Munich crisis Forsdyke ordered 3,300 No-Nail Boxes and stored them in the basement of Duveen Gallery. At the same time he began identifying and securing suitable locations. As a result the museum was able to quickly commence relocating selected items on 24 August 1939, (a mere day after the Home Secretary advised them to do so), to secure basements, country houses, Aldwych Underground station and the National Library of Wales. Many items were relocated in early 1942 from their initial dispersal locations to a newly developed facility at Westwood Quarry in Wiltshire.
The evacuation was timely, for in 1940 the Duveen Gallery was severely damaged by bombing. Meanwhile, prior to the war, the Nazis had sent a researcher to the British Museum for several years with the aim of "compiling an anti-Semitic history of Anglo-Jewry".
After the war, the museum continued to collect from all countries and all centuries: among the most spectacular additions were the 2600 BC Mesopotamian treasure from Ur, discovered during Leonard Woolley's 1922–34 excavations. Gold, silver and garnet grave goods from the Anglo-Saxon ship burial at Sutton Hoo (1939) and late Roman silver tableware from Mildenhall, Suffolk (1946). The immediate post-war years were taken up with the return of the collections from protection and the restoration of the museum after the Blitz. Work also began on restoring the damaged Duveen Gallery.
A new public face (1950–1975)
In 1953, the museum celebrated its bicentenary. Many changes followed: the first full-time in-house designer and publications officer were appointed in 1964, the Friends organisation was set up in 1968, an Education Service established in 1970 and publishing house in 1973. In 1963, a new Act of Parliament introduced administrative reforms. It became easier to lend objects, the constitution of the board of trustees changed and the Natural History Museum became fully independent. By 1959 the Coins and Medals office suite, completely destroyed during the war, was rebuilt and re-opened, attention turned towards the gallery work with new tastes in design leading to the remodelling of Robert Smirke's Classical and Near Eastern galleries. In 1962 the Duveen Gallery was finally restored and the Parthenon Sculptures were moved back into it, once again at the heart of the museum.
By the 1970s the museum was again expanding. More services for the public were introduced; visitor numbers soared, with the temporary exhibition "Treasures of Tutankhamun" in 1972, attracting 1,694,117 visitors, the most successful in British history. In the same year the Act of Parliament establishing the British Library was passed, separating the collection of manuscripts and printed books from the British Museum. This left the museum with antiquities; coins, medals and paper money; prints and drawings; and ethnography. A pressing problem was finding space for additions to the library which now required an extra of shelving each year. The Government suggested a site at St Pancras for the new British Library but the books did not leave the museum until 1997.
The Great Court emerges (1975–2000)
The departure of the British Library to a new site at St Pancras, finally achieved in 1998, provided the space needed for the books. It also created the opportunity to redevelop the vacant space in Robert Smirke's 19th-century central quadrangle into the Queen Elizabeth II Great Court – the largest covered square in Europe – which opened in 2000. The ethnography collections, which had been housed in the short-lived Museum of Mankind at 6 Burlington Gardens from 1970, were returned to new purpose-built galleries in the museum in 2000.
The museum again readjusted its collecting policies as interest in "modern" objects: prints, drawings, medals and the decorative arts reawakened. Ethnographical fieldwork was carried out in places as diverse as New Guinea, Madagascar, Romania, Guatemala and Indonesia and there were excavations in the Near East, Egypt, Sudan and the UK. The Weston Gallery of Roman Britain, opened in 1997, displayed a number of recently discovered hoards which demonstrated the richness of what had been considered an unimportant part of the Roman Empire. The museum turned increasingly towards private funds for buildings, acquisitions and other purposes. In 2000, the British Museum was awarded National Heritage Museum of the Year.
The British Museum today
Today the museum no longer houses collections of natural history, and the books and manuscripts it once held now form part of the independent British Library. The museum nevertheless preserves its universality in its collections of artefacts representing the cultures of the world, ancient and modern. The original 1753 collection has grown to over 13 million objects at the British Museum, 70 million at the Natural History Museum and 150 million at the British Library.
The Round Reading Room, which was designed by the architect Sydney Smirke, opened in 1857. For almost 150 years researchers came here to consult the museum's vast library. The Reading Room closed in 1997 when the national library (the British Library) moved to a new building at St Pancras. Today it has been transformed into the Walter and Leonore Annenberg Centre.
With the bookstacks in the central courtyard of the museum empty, the demolition for Lord Foster's glass-roofed Great Court could begin. The Great Court, opened in 2000, while undoubtedly improving circulation around the museum, was criticised for having a lack of exhibition space at a time when the museum was in serious financial difficulties and many galleries were closed to the public. At the same time the African collections that had been temporarily housed in 6 Burlington Gardens were given a new gallery in the North Wing funded by the Sainsbury family – with the donation valued at £25 million.
As part of its very large website, the museum has the largest online database of objects in the collection of any museum in the world, with nearly 4,500,000 individual object entries in 2,000,000 records, many of them illustrated, online at the start of 2023. There is also a "Highlights" database with longer entries on over 4,000 objects, and several specialised online research catalogues and online journals (all free to access). In 2013 the museum's website received 19.5 millions visits, an increase of 47% from the previous year.
In 2013 the museum received a record 6.7 million visitors, an increase of 20% from the previous year. Popular exhibitions including "Life and Death in Pompeii and Herculaneum" and "Ice Age Art" are credited with helping fuel the increase in visitors. Plans were announced in September 2014 to recreate the entire building along with all exhibits in the video game Minecraft in conjunction with members of the public. A number of films have been shot at the British Museum.
Governance
Director
The British Museum is a non-departmental public body sponsored by the Department for Digital, Culture, Media and Sport through a three-year funding agreement. Its head is the Director of the British Museum. The British Museum was run from its inception by a 'principal librarian' (when the book collections were still part of the museum), a role that was renamed 'director and principal librarian' in 1898, and 'director' in 1973 (on the separation of the British Library).
Trustees
A board of 25 trustees (with the director as their accounting officer for the purposes of reporting to Government) is responsible for the general management and control of the museum, in accordance with the British Museum Act 1963 and the Museums and Galleries Act 1992. Prior to the 1963 Act, it was chaired by the Archbishop of Canterbury, the Lord Chancellor and the Speaker of the House of Commons. The board was formed on the museum's inception to hold its collections in trust for the nation without actually owning them themselves, and now fulfil a mainly advisory role. Trustee appointments are governed by the regulatory framework set out in the code of practice on public appointments issued by the Office of the Commissioner for Public Appointments.
Building
The Greek Revival façade facing Great Russell Street is a characteristic building of Sir Robert Smirke, with 44 columns in the Ionic order high, closely based on those of the temple of Athena Polias at Priene in Asia Minor. The pediment over the main entrance is decorated by sculptures by Sir Richard Westmacott depicting The Progress of Civilisation, consisting of fifteen allegorical figures, installed in 1852.
The construction commenced around the courtyard with the East Wing (The King's Library) in 1823–1828, followed by the North Wing in 1833–1838, which originally housed among other galleries a reading room, now the Wellcome Gallery. Work was also progressing on the northern half of the West Wing (The Egyptian Sculpture Gallery) 1826–1831, with Montagu House demolished in 1842 to make room for the final part of the West Wing, completed in 1846, and the South Wing with its great colonnade, initiated in 1843 and completed in 1847, when the Front Hall and Great Staircase were opened to the public. The museum is faced with Portland stone, but the perimeter walls and other parts of the building were built using Haytor granite from Dartmoor in South Devon, transported via the unique Haytor Granite Tramway.
In 1846 Robert Smirke was replaced as the museum's architect by his brother Sydney Smirke, whose major addition was the Round Reading Room 1854–1857; at in diameter it was then the second widest dome in the world, the Pantheon in Rome being slightly wider.
The next major addition was the White Wing 1882–1884 added behind the eastern end of the South Front, the architect being Sir John Taylor.
In 1895, Parliament gave the museum trustees a loan of £200,000 to purchase from the Duke of Bedford all 69 houses which backed onto the museum building in the five surrounding streets – Great Russell Street, Montague Street, Montague Place, Bedford Square and Bloomsbury Street. The trustees planned to demolish these houses and to build around the west, north and east sides of the museum new galleries that would completely fill the block on which the museum stands. The architect Sir John James Burnet was petitioned to put forward ambitious long-term plans to extend the building on all three sides. Most of the houses in Montague Place were knocked down a few years after the sale. Of this grand plan only the Edward VII galleries in the centre of the North Front were ever constructed, these were built 1906–14 to the design by J.J. Burnet, and opened by King George V and Queen Mary in 1914. They now house the museum's collections of Prints and Drawings and Oriental Antiquities. There was not enough money to put up more new buildings, and so the houses in the other streets are nearly all still standing.
The Duveen Gallery, sited to the west of the Egyptian, Greek & Assyrian sculpture galleries, was designed to house the Elgin Marbles by the American Beaux-Arts architect John Russell Pope. Although completed in 1938, it was hit by a bomb in 1940 and remained semi-derelict for 22 years, before reopening in 1962. Other areas damaged during World War II bombing included: in September 1940 two unexploded bombs hit the Edward VII galleries, the King's Library received a direct hit from a high explosive bomb, incendiaries fell on the dome of the Round Reading Room but did little damage; on the night of 10 to 11 May 1941 several incendiaries fell on the south-west corner of the museum, destroying the book stack and 150,000 books in the courtyard and the galleries around the top of the Great Staircase – this damage was not fully repaired until the early 1960s.
The Queen Elizabeth II Great Court is a covered square at the centre of the British Museum designed by the engineers Buro Happold and the architects Foster and Partners. The Great Court opened in December 2000 and is the largest covered square in Europe. The roof is a glass and steel construction, built by an Austrian steelwork company, with 1,656 uniquely shaped panes of glass. At the centre of the Great Court is the Reading Room vacated by the British Library, its functions now moved to St Pancras.
Today, the British Museum has grown to become one of the largest museums in the world, covering an area of over 92,000 m2 (990,000 sq. ft). In addition to 21,600 m2 (232,000 sq. ft) of on-site storage space, and 9,400 m2 (101,000 sq. ft) of external storage space. Altogether, the British Museum showcases on public display less than 1% of its entire collection, approximately 50,000 items.
There are nearly one hundred galleries open to the public, representing of exhibition space, although the less popular ones have restricted opening times. However, the lack of a large temporary exhibition space led to the £135 million World Conservation and Exhibitions Centre to provide one and to concentrate all the museum's conservation facilities into one centre. This project was announced in July 2007, with the architects Rogers Stirk Harbour and Partners. It was granted planning permission in December 2009 and was completed in time for the Viking exhibition in March 2014. In 2017, the World Conservation and Exhibitions Centre was shortlisted for the Stirling Prize for excellence in architecture.
Blythe House in West Kensington is used by the museum for off-site storage of small and medium-sized artefacts, and Franks House in East London is used for storage and work on the "Early Prehistory" – Palaeolithic and Mesolithic – and some other collections.
Departments
Department of Egypt and Sudan
The British Museum houses the world's largest and most comprehensive collection of Egyptian antiquities (with over 100,000 pieces) outside the Egyptian Museum in Cairo. A collection of immense importance for its range and quality, it includes objects of all periods from virtually every site of importance in Egypt and the Sudan. Together, they illustrate every aspect of the cultures of the Nile Valley (including Nubia), from the Predynastic Neolithic period (c. 10,000 BC) through Coptic (Christian) times (12th century AD), and up to the present day, a time-span over 11,000 years.
Egyptian antiquities have formed part of the British Museum collection ever since its foundation in 1753 after receiving 160 Egyptian objects from Sir Hans Sloane. After the defeat of the French forces under Napoleon at the Battle of the Nile in 1801, the Egyptian antiquities collected were confiscated by the British army and presented to the British Museum in 1803. These works, which included the famed Rosetta Stone, were the first important group of large sculptures to be acquired by the museum. Thereafter, the UK appointed Henry Salt as consul in Egypt who amassed a huge collection of antiquities, some of which were assembled and transported with great ingenuity by the famous Italian explorer Giovanni Belzoni. Most of the antiquities Salt collected were purchased by the British Museum and the Musée du Louvre.
By 1866 the collection consisted of some 10,000 objects. Antiquities from excavations started to come to the museum in the latter part of the 19th century as a result of the work of the Egypt Exploration Fund under the efforts of E.A. Wallis Budge. Over the years more than 11,000 objects came from this source, including pieces from Amarna, Bubastis and Deir el-Bahari. Other organisations and individuals also excavated and donated objects to the British Museum, including Flinders Petrie's Egypt Research Account and the British School of Archaeology in Egypt, as well as the University of Oxford Expedition to Kawa and Faras in Sudan.
Active support by the museum for excavations in Egypt continued to result in important acquisitions throughout the 20th century until changes in antiquities laws in Egypt led to the suspension of policies allowing finds to be exported, although divisions still continue in Sudan. The British Museum conducted its own excavations in Egypt where it received divisions of finds, including Asyut (1907), Mostagedda and Matmar (1920s), Ashmunein (1980s) and sites in Sudan such as Soba, Kawa and the Northern Dongola Reach (1990s). The size of the Egyptian collections now stand at over 110,000 objects.
In autumn 2001 the eight million objects forming the museum's permanent collection were further expanded by the addition of six million objects from the Wendorf Collection of Egyptian and Sudanese Prehistory. These were donated by Professor Fred Wendorf of Southern Methodist University in Texas, and comprise the entire collection of artefacts and environmental remains from his excavations at Prehistoric sites in the Sahara Desert between 1963 and 1997. Other fieldwork collections have recently come from Dietrich and Rosemarie Klemm (University of Munich) and William Adams (University of Kentucky).
The seven permanent Egyptian galleries at the British Museum, which include its largest exhibition space (Room 4, for monumental sculpture), can display only 4% of its Egyptian holdings. The second-floor galleries have a selection of the museum's collection of 140 mummies and coffins, the largest outside Cairo. A high proportion of the collection comes from tombs or contexts associated with the cult of the dead, and it is these pieces, in particular the mummies, that remain among the most eagerly sought-after exhibits by visitors to the museum.
Highlights of the collections include:
Predynastic and Early Dynastic period ()
Mummy of Ginger and five other individuals from Gebelein ()
Flint knife with an ivory handle (known as the Pit-Rivers Knife), Sheikh Hamada, Egypt ()
The Battlefield Palette and Hunters Palette, two cosmetic palettes with complex decorative schemes ()
Ivory statuette of a king, from the early temple at Abydos, Egypt ()
King Den's sandal label from Abydos, mid-1st Dynasty ()
Stela of King Peribsen, Abydos ()
Old Kingdom (2690–2181 BC)
Artefacts from the tomb of King Khasekhemwy from the 2nd Dynasty (2690 BC)
Granite statue of Ankhwa, the shipbuilder, Saqqara, Egypt, 3rd Dynasty (c. 2650 BC)
Several of the original casing stones from the Great Pyramid of Giza, one of the Seven Wonders of the Ancient World (c. 2570 BC)
Statue of Nenkheftka from Deshasha, 4th Dynasty (2500 BC)
Limestone false door of Ptahshepses, Saqqara (2440 BC)
Abusir Papyri, some of the oldest papyri from ancient Egypt, Abusir (2400 BC)
Wooden tomb statue of Tjeti, 5th to 6th Dynasty (c. 2345–2181 BC)
Middle Kingdom (2134–1690 BC)
Inner and outer coffin of Sebekhetepi, Beni Hasan (c. 2125–1795 BC)
Quartzite statue of Ankhrekhu, 12th Dynasty (1985–1795 BC)
Limestone stela of Heqaib, Abydos, Egypt, 12th Dynasty (1990–1750 BC)
Block statue and stela of Sahathor, 12th Dynasty, reign of Amenemhat II (1922–1878 BC)
Limestone statue and stelae from the offering chapel of Inyotef, Abydos, 12th Dynasty (c. 1920 BC)
Stela of Samontu, Abydos (1910 BC)
Reliefs from the tomb of Djehutyhotep, Deir-el-Bersha (1878–1855 BC)
Three Granite statues of Senwosret III, Deir el-Bahri (1850 BC)
Statue of Rehuankh, Abydos (1850–1830 BC)
Colossal head of Amenemhat III, Bubastis (1800 BC)
Stela of Nebipusenwosret, Abydos (1800 BC)
Second Intermediate Period (1650–1550 BC)
Coffin of King Nubkheperre Intef, Thebes (1570 BC)
The famous Rhind Mathematical Papyrus, an early example of Ancient Egyptian mathematics, Thebes (1550 BC)
New Kingdom (1549–1069 BC)
Schist head of Pharaoh Hatshepsut or her successor Tuthmosis III (1480 BC)
Statue of Senenmut with Princess Neferure on his lap, Karnak (1470 BC)
Block statue of Sennefer, Western Thebes (1430 BC)
Twenty Sekhmet statues from the Temple of Mut, Thebes (1400 BC)
Fragment of the beard of the Great Sphinx of Giza (14th century BC)
Pair of granite monumental lion statues from Soleb in Sudan, (1370 BC)
Hoard of silver bullion from El-Amarna (1352–1336 BC)
Colossal head from a statue of Amenhotep III (1350 BC)
Colossal limestone bust of Amenhotep III (1350 BC)
Amarna Tablets, 99 out of 382 tablets found, second largest collection in the world after the Vorderasiatisches Museum, Berlin (203 tablets) (1350 BC)
Stela of Horemheb from his tomb at Saqqara (1330 BC)
London Medical Papyrus with 61 medical and magical treatments (1300 BC)
Papyrus of Ani, one of the finest extant Book of the Dead from antiquity, Thebes (1275 BC)
List of the kings of Egypt from the Temple of Ramesses II (1250 BC)
Statue of Khaemwaset, son of Ramses II, Abydos (1250 BC)
The Great Harris Papyrus, the longest surviving papyrus from antiquity, Thebes (1200 BC)
D'Orbiney Papyrus with the Tale of Two Brothers (1200–1194 BC)
Seated statue of Seti II, Temple of Mut, Karnak (1200–1194 BC)
Face from the sarcophagus of Ramses VI, Valley of the Kings (1140 BC)
Book of the Dead of Nedjmet with painted offering-vignettes and columns of Hieroglyphic text, Deir el-Bahari (1070 BC)
Third Intermediate Period (1069–664 BC)
Greenfield papyrus, funerary papyrus of Princess Nesitanebetashru, daughter of Pinudjem II and Neskhons, and priestess of Amen-Ra at Thebes (950–930 BC)
Pair of gold bracelets that belonged to General Nemareth, son of Shoshenq I, Sais (940 BC)
Colossal column capital of Hathor from Bubastis, 22nd Dynasty (922–887 BC)
Statue of the Nile god Hapy, Karnak (c. 900 BC)
Mummy case and coffin of Nesperennub, Thebes (c. 800 BC)
Shabaka Stone from Memphis, Egypt, 25th Dynasty (c. 700 BC)
Coffin of king Menkaure, Giza (700–600 BC)
One of the three statues of Amun in the form of a ram protecting King Taharqo, Kawa (683 BC)
Inner and outer coffins of the priest Hor, Deir el-Bahari, Thebes, 25th Dynasty (c. 680 BC)
Granite statue of the Sphinx of Taharqo (680 BC)
Late Period (664–332 BC)
Saite Sarcophagus of Sasobek, the vizier (prime minister) of the northern part of Egypt in the reign of Psammetichus I (664–610 BC)
Sarcophagus lid of Sasobek (630 BC)
Bronze figure of Isis and Horus, North Saqqara, Egypt (600 BC)
Sarcophagus of Hapmen, Cairo, 26th Dynasty or later (600–300 BC)
Kneeling statue of Wahibre, from near Lake Mariout (530 BC)
Sarcophagus of Ankhnesneferibre (525 BC)
Torso of Nectanebo I (380–362 BC)
Obelisks and sarcophagus of Pharaoh Nectanebo II (360–343 BC)
Sarcophagus of Nectanebo II, Alexandria (360–343 BC)
Ptolemaic dynasty (305–30 BC)
The famous Rosetta Stone, trilingual stela that unlocked the ancient Egyptian hieroglyphics (196 BC)
Naos or temple shrine of Ptolemy VIII from Philae (150 BC)
Giant sculpture of a scarab beetle (32–30 BC)
Fragment of a basalt Egyptian-style statue of Ptolemy I Soter (305–283 BC)
Mummy of Hornedjitef (inner coffin), Thebes (3rd century BC)
Wall from a chapel of Queen Shanakdakhete, Meroë (c. 150 BC)
Shrine of Ptolemy VII, Philae (c. 150 BC)
Roman Period (30 BC – 641 AD)
Schist head of a young man, Alexandria (after 30 BC)
The Meriotic Hamadab Stela from the Kingdom of Kush found near the ancient site of Meroë in Sudan, 24 BC
Lid of the coffin of Soter and Cleopatra from Qurna, Thebes (early 2nd century AD)
Mummy of a youth with a portrait of the deceased, Hawara (100–200 AD)
Over 30 Fayum mummy portraits from Hawara and other sites in Fayum (40–250 AD)
Bronze lamp and patera from the X-group tombs, Qasr Ibrim (1st–6th centuries AD)
Coptic wall painting of the martyrdom of saints, Wadi Sarga (6th century AD)
Department of Greece and Rome
The British Museum has one of the world's largest and most comprehensive collections of antiquities from the Classical world, with over 100,000 objects. These mostly range in date from the beginning of the Greek Bronze Age (about 3200 BC) to the establishment of Christianity as the official religion of the Roman Empire, with the Edict of Milan under the reign of the Roman emperor Constantine I in 313 AD. Archaeology was in its infancy during the nineteenth century and many pioneering individuals began excavating sites across the Classical world, chief among them for the museum were Charles Newton, John Turtle Wood, Robert Murdoch Smith and Charles Fellows.
The Greek objects originate from across the Ancient Greek world, from the mainland of Greece and the Aegean Islands, to neighbouring lands in Asia Minor and Egypt in the eastern Mediterranean and as far as the western lands of Magna Graecia that include Sicily and southern Italy. The Cycladic, Minoan and Mycenaean cultures are represented, and the Greek collection includes important sculpture from the Parthenon in Athens, as well as elements of two of the Seven Wonders of the Ancient World, the Mausoleum at Halicarnassus and the Temple of Artemis at Ephesos.
Beginning from the early Bronze Age, the department also houses one of the widest-ranging collections of Italic and Etruscan antiquities outside Italy, as well as extensive groups of material from Cyprus and non-Greek colonies in Lycia and Caria on Asia Minor. There is some material from the Roman Republic, but the collection's strength is in its comprehensive array of objects from across the Roman Empire, with the exception of Britain (which is the mainstay of the Department of Prehistory and Europe).
The collections of ancient jewellery and bronzes, Greek vases (many from graves in southern Italy that were once part of Sir William Hamilton's and Chevalier Durand's collections), Roman glass including the famous Cameo glass Portland Vase, Roman gold glass (the second largest collection after the Vatican Museums), Roman mosaics from Carthage and Utica in North Africa that were excavated by Nathan Davis, and silver hoards from Roman Gaul (some of which were bequeathed by the philanthropist and museum trustee Richard Payne Knight), are particularly important. Cypriot antiquities are strong too and have benefited from the purchase of Sir Robert Hamilton Lang's collection as well as the bequest of Emma Turner in 1892, which funded many excavations on the island. Roman sculptures (many of which are copies of Greek originals) are particularly well represented by the Townley collection as well as residual sculptures from the famous Farnese collection.
Objects from the Department of Greece and Rome are located throughout the museum, although many of the architectural monuments are to be found on the ground floor, with connecting galleries from Gallery 5 to Gallery 23. On the upper floor, there are galleries devoted to smaller material from ancient Italy, Greece, Cyprus and the Roman Empire.
The current collection includes:
Temple of Hephaestus
Marble coffer frame and coffer from the colonnade, (449–415 BC)
Parthenon
The Parthenon Marbles (Elgin Marbles), (447–438 BC)
Propylaea
Capital and column drum, (437–432 BC)
Erechtheion
A surviving column and architectural fittings, (420–415 BC)
One of six remaining Caryatids, (415 BC)
Temple of Athena Nike
Surviving frieze slabs and capital, (427–424 BC)
Choragic Monument of Thrasyllos
Statue of Dionysos, (270 BC)
Tower of the Winds
Marble Corinthian capital, (50 BC)
Temple of Poseidon, Sounion
Fluted column base, (444–440 BC)
Temple of Nemesis, Rhamnus
Head from the statue of Nemesis, (430–420 BC)
Temple of Bassae
Twenty-three surviving blocks of the frieze from the interior of the temple, (420–400 BC)
Sanctuary of Apollo at Daphni
Fluted columns, column bases and ionic capitals, (399–301 BC)
Temple of Athena Polias, Priene
Sculptural coffers from the temple ceiling, (350–325 BC)
Ionic capitals, architraves and antae, (350–325 BC)
Marble torso of a charioteer, (320–300 BC)
Mausoleum at Halicarnassus
Two colossal free-standing figures identified as Maussollos and his wife Artemisia, ()
Part of an impressive horse from the chariot group adorning the summit of the Mausoleum, ()
The Amazonomachy frieze – A long section of relief frieze showing the battle between Greeks and Amazons, ()
Temple of Artemis in Ephesus
One of the sculptured column bases, (340–320 BC)
Part of the Ionic frieze situated above the colonnade, (330–300 BC)
Knidos in Asia Minor
Demeter of Knidos, (350 BC)
Lion of Knidos, (350–200 BC)
Xanthos in Asia Minor
Lion Tomb, (550–500 BC)
Harpy Tomb, (480–470 BC)
Nereid Monument, partial reconstruction of a large and elaborate Lykian tomb, (390–380 BC)
Tomb of Merehi, (390–350 BC)
Tomb of Payava, (375–350 BC)
Bilingual Decree of Pixodaros, (340 BC)
Temple of Zeus, Salamis in Cyprus
Marble capital with caryatid figure standing between winged bulls, (300–250 BC)
Wider collection
Prehistoric Greece and Italy (3300 BC – 8th century BC)
Over thirty Cycladic figures from islands in the Aegean Sea, many collected by James Theodore Bent, Greece, (3300–2000 BC)
A large Gaudo culture askos from Paestum, southern Italy, (2800–2400 BC)
Kythnos Hoard of wood working metal tools from the island of Naxos, Greece, (2700–2200 BC)
Two pottery kernos from Phylakopi in Melos, Greece (2300–2000 BC)
Material from the Palace of Knossos including a huge pottery storage jar, some donated by Sir Arthur Evans, Crete, Greece, (1900–1100 BC)
The Minoan gold treasure from Aegina, northern Aegean, Greece, (1850–1550 BC)
Artefacts from the Psychro Cave in Crete, including two serpentine libation tables, (1700–1450 BC)
Bronze Minoan Bull-leaper from Rethymnon, Crete, (1600–1450 BC)
Segments of the columns and architraves from the Treasury of Atreus, Peloponnese, Greece, (1350–1250 BC)
Ivory game board found at Enkomi, Cyprus, (12th century BC)
Nuragic hoard of bronze artefacts found at Santa Maria in Paulis, Cagliari, Sardinia, (1100–900 BC)
Elgin Amphora, highly decorated pottery vase attributed to the Dipylon Master, Athens, Greece, (8th century BC)
Votive offerings from the Sanctuary of Artemis Orthia at Sparta, (8th century BC)
Etruscan (8th century BC – 1st century BC)
Gold jewellery and other rich artefacts from the Castellani and Galeassi Tombs in Palestrina, central Italy, (8th–6th centuries BC)
Ornate gold fibula with granulated parade of animals from the Bernardini Tomb, Cerveteri, (675–650 BC)
Various objects including two small terracotta statues from the "Tomb of the five chairs" in Cerveteri (625–600 BC)
Gold libation bowl from Sant'Angelo Muxaro, Sicily, (600 BC)
Contents of the Isis tomb and François Tomb, Vulci, (570–560 BC)
Painted terracotta plaques (the so-called Boccanera Plaques) from a tomb in Cerveteri, (560–550 BC)
Decorated silver panels from Castel San Marino, near Perugia (540–520 BC)
Statuette of a bronze votive figure from Pizzidimonte, near Prato, Italy (500–480 BC)
Bronze helmet with inscription commemorating the Battle of Cumae, Olympia, Greece, (480 BC)
Bronze votive statuettes from the Lake of the Idols, Monte Falterona, (420–400 BC)
Part of a symposium set of bronze vessels from the tomb of Larth Metie, Bolsena, Italy, (400–300 BC)
Exquisite gold ear-ring with female head pendant, one of a pair from Perugia, (300–200 BC)
Oscan Tablet, one of the most important inscriptions in the Oscan language, (300–100 BC)
Hoard of gold jewellery from Sant'Eufemia Lamezia, southern Italy, (340–330 BC)
Latian bronze figure from the Sanctuary of Diana, Lake Nemi, Latium, (200–100 BC)
Sarcophagus of Seianti Hanunia Tlesnasa from Chiusi, (150–140 BC)
Ancient Greece (8th century BC – 4th century AD)
Orientalising gold jewellery from the Camirus cemetery in Rhodes, (700–600 BC)
Foot from the colossal Kouros of Apollo, Delos, (600–500 BC)
Group of life-size archaic statues from the Sacred Way at Didyma, western Turkey, (600–580 BC)
Bronze statuette of a rider and horse from Armento, southern Italy (550 BC)
Bronze head of an axe from San Sosti, southern Italy, (520 BC)
Statue of a nude standing youth from Marion, Cyprus, (520–510 BC)
Large terracotta sarcophagus and lid with painted scenes from Klazomenai, western Turkey, (510–480 BC)
Two bronze tablets in the Locrian Greek dialect from Galaxidi, central Greece, (500–475 BC)
Fragments from a large bronze equestrian statue of the Taranto Rider, southern Italy, (480–460 BC)
Chatsworth Apollo Head, Tamassos, Cyprus (460 BC)
Statue of recumbent bull from the Dipylon Cemetery, Athens (4th century BC)
Hoard of gold jewellery from Avola, Sicily, (370–300 BC)
Dedicatory Inscription by Alexander the Great from Priene in Turkey (330 BC)
Head from the colossal statue of the Asclepius of Milos, Greece, (325–300 BC)
Braganza Brooch, Ornamental gold fibula reflecting Celtic and Greek influences (3rd century BC)
Hoard of silver patera from Èze, southeastern France, (3rd century BC)
Gold tablet from an Orphic sanctuary in southern Italy (3rd–2nd centuries BC)
Marble relief of the Apotheosis of Homer from Bovillae, central Italy, (221–205 BC)
Bronze sculpture of a Greek poet known as the Arundel Head, western Turkey, (2nd–1st centuries BC)
Remains of the Scylla monument at Bargylia, south west Anatolia, Turkey, (200–150 BC)
Bronze head and hand of the statue of Aphrodite of Satala (1st century BC)
Bronze statuettes from Paramythia (2nd century AD)
Large statue of Europa sitting on the back of a bull from the amphitheatre at Gortyna, Crete, (100 BC)
Ancient Rome (1st century BC – 4th century AD)
Pair of engraved oval agate plaques depicting Livia as Diana and Octavian as Mercury, (Rome, 30–25 BC)
Guildford Puteal from Corinth, Greece (30–10 BC)
Bronze head of Augustus from Meroë in Sudan (27–25 BC)
Cameo glass Portland Vase, the most famous glass vessel from ancient Rome, (1–25 AD)
Silver Warren Cup with homoerotic scenes, found near Jerusalem, (5–15 AD)
Gladius of Mainz (or "Sword of Tiberius") and Blacas Cameo, depicting Roman emperors in triumph (15 AD)
Horse trappings in decorated silver-plated bronze from Xanten, Germany (1st century AD)
Pair of carved fluorite cups known as the Barber Cup and Crawford Cup (100 AD)
Athlete statue, "Vaison Diadumenos", from an ancient Roman city in southern France (118–138 AD)
A hoard of silver votive plaques dedicated to the Roman God Jupiter Dolichenus, discovered in Heddernheim, near Frankfurt, Germany, (1st–2nd centuries AD)
Discus-thrower (Discobolos) and Bronze Head of Hypnos from Civitella d'Arna, Italy, (1st–2nd centuries AD)
Part of a large wooden wheel for draining a copper mine in Huelva, southern Spain, (1st–2nd centuries AD)
Capitals from some of the pilasters of the Pantheon, Rome, (126 AD)
Colossal marble head of Faustina the Elder, wife of the Roman emperor Antoninus Pius from Sardis, western Turkey, (140 AD)
Marble throne from the prohedria of the Panathenaic Stadium, Athens, (140–143 AD)
Hoard of jewellery from a tomb in the vicinity of Miletopolis, Turkey, (175–180 AD)
Inscribed marble base of the Roman Consul Tiberius Claudius Candidus, unearthed in Tarragona, Spain (195–199 AD)
Jennings Dog, a statue of a Molossian guard dog, central Italy, (2nd century AD)
Segment of a decorated marble balustrade from the Colosseum, Rome, Italy, (2nd century AD)
Politarch inscription from the Vardar Gate, Thessaloniki, Greece, (2nd century AD)
Various silver treasures found at Arcisate, Beaurains, Boscoreale, Bursa, Chaourse, Caubiac, Chatuzange, Conimbriga, Mâcon and Revel-Tourdan (1st–3rd century AD)
Votive statue of Apollo of Cyrene, Libya (2nd century AD)
Uerdingen Hoard found near Düsseldorf in Germany (2nd–3rd centuries AD)
The collection encompasses architectural, sculptural and epigraphic items from many other sites across the classical world including Amathus, Atripalda, Aphrodisias, Delos, Iasos, Idalion, Lindus, Kalymnos, Kerch, Rhamnous, Salamis, Sestos, Sounion, Tomis and Thessaloniki.
Department of the Middle East
With a collection numbering some 330,000 works, the British Museum possesses the world's largest and most important collection of Mesopotamian antiquities outside Iraq. A collection of immense importance, the holdings of Assyrian sculpture, Babylonian and Sumerian antiquities are among the most comprehensive in the world with entire suites of rooms panelled in alabaster Assyrian palace reliefs from Nimrud, Nineveh and Khorsabad.
The collections represent the civilisations of the ancient Near East and its adjacent areas. These cover Mesopotamia, Persia, the Arabian Peninsula, Anatolia, the Caucasus, parts of Central Asia, Syria, the Holy Land and Phoenician settlements in the western Mediterranean from the prehistoric period and include objects from the 7th century.
The first significant addition of Mesopotamian objects was from the collection of Claudius James Rich in 1825. The collection was later dramatically enlarged by the excavations of A. H. Layard at the Assyrian sites of Nimrud and Nineveh between 1845 and 1851. At Nimrud, Layard discovered the North-West Palace of Ashurnasirpal II, as well as three other palaces and various temples. He later uncovered the Palace of Sennacherib at Nineveh with 'no less than seventy-one halls'. As a result, a large numbers of Lamassus, palace reliefs, stelae, including the Black Obelisk of Shalmaneser III, were brought to the British Museum.
Layard's work was continued by his assistant, Hormuzd Rassam and in 1852–1854 he went on to discover the North Palace of Ashurbanipal at Nineveh with many magnificent reliefs, including the famous Lion Hunt of Ashurbanipal and Lachish reliefs. He also discovered the Royal Library of Ashurbanipal, a large collection of cuneiform tablets of enormous importance that today number around 130,000 pieces. W. K. Loftus excavated in Nimrud between 1850 and 1855 and found a remarkable hoard of ivories in the Burnt Palace. Between 1878 and 1882 Rassam greatly improved the museum's holdings with exquisite objects including the Cyrus Cylinder from Babylon, the bronze gates from Balawat, important objects from Sippar, and a fine collection of Urartian bronzes from Toprakkale including a copper figurine of a winged, human-headed bull.
In the early 20th century excavations were carried out at Carchemish, Turkey by D. G. Hogarth and Leonard Woolley, the latter assisted by T. E. Lawrence. The Mesopotamian collections were greatly augmented by excavations in southern Iraq after the First World War. From Tell al-Ubaid came the bronze furnishings of a Sumerian temple, including life-sized lions and a panel featuring the lion-headed eagle Indugud found by H. R. Hall in 1919–24. Woolley went on to excavate Ur between 1922 and 1934, discovering the 'Royal Cemeteries' of the 3rd millennium BC. Some of the masterpieces include the 'Standard of Ur', the 'Ram in a Thicket', the 'Royal Game of Ur', and two bull-headed lyres. The department also has three diorite statues of the ruler Gudea from the ancient state of Lagash and a series of limestone kudurru or boundary stones from different locations across ancient Mesopotamia.
Although the collections centre on Mesopotamia, most of the surrounding areas are well represented. The Achaemenid collection was enhanced with the addition of the Oxus Treasure in 1897 and objects excavated by the German scholar Ernst Herzfeld and the Hungarian-British explorer Sir Aurel Stein. Reliefs and sculptures from the site of Persepolis were donated by Sir Gore Ouseley in 1825 and the 5th Earl of Aberdeen in 1861 and the museum received part of a pot-hoard of jewellery from Pasargadae as the division of finds in 1963 and part of the Ziwiye hoard in 1971. A large column base from the One Hundred Column Hall at Persepolis was acquired in exchange from the Oriental Institute, Chicago. Moreover, the museum has been able to acquire one of the greatest assemblages of Achaemenid silverware in the world. The later Sasanian Empire is also well represented by ornate silver plates and cups, many representing ruling monarchs hunting lions and deer. Phoenician antiquities come from across the region, but the Tharros collection from Sardinia, the hoard of 16 metal bowls and hundreds of ivories from Nimrud and the large number of Phoenician stelae from Carthage and Maghrawa are outstanding. The number of Phoenician inscriptions from sites across Cyprus is also considerable, and include artefacts found at the Kition necropolis (with the two Kition Tariffs having the longest Phoenician inscription discovered on the island), the Idalion temple site and two bilingual pedestals found at Tamassos. Another often overlooked highlight is Yemeni antiquities, the finest collection outside that country. Furthermore, the museum has a representative collection of Dilmun and Parthian material excavated from various burial mounds at the ancient sites of A'ali and Shakhura (that included a Roman ribbed glass bowl) in Bahrain.
From the modern state of Syria come almost forty funerary busts from Palmyra and a group of stone reliefs from the excavations of Max von Oppenheim at Tell Halaf that was purchased in 1920. More material followed from the excavations of Max Mallowan at Chagar Bazar and Tell Brak in 1935–1938 and from Woolley at Alalakh in the years just before and after the Second World War. Mallowan returned with his wife Agatha Christie to carry out further digs at Nimrud in the postwar period which secured many important artefacts for the museum. The collection of Palestinian material was strengthened by the work of Kathleen Kenyon at Tell es-Sultan (Jericho) in the 1950s and the acquisition in 1980 of around 17,000 objects found at Lachish by the Wellcome-Marston expedition of 1932–1938. Archaeological digs are still taking place where permitted in the Middle East, and, depending on the country, the museum continues to receive a share of the finds from sites such as Tell es Sa'idiyeh in Jordan.
The museum's collection of Islamic art, including archaeological material, numbers about 40,000 objects, one of the largest of its kind in the world. As such, it contains a broad range of pottery, paintings, tiles, metalwork, glass, seals, and inscriptions from across the Islamic world, from Spain in the west to India in the east. It is particularly famous for its collection of Iznik ceramics (the largest in the world), its large number of mosque lamps including one from the Dome of the Rock, mediaeval metalwork such as the Vaso Vescovali with its depictions of the Zodiac, a fine selection of astrolabes, and Mughal paintings and precious artwork including a large jade terrapin made for the emperor Jahangir. Thousands of objects were excavated after the war by professional archaeologists at Iranian sites such as Siraf by David Whitehouse and Alamut Castle by Peter Willey. The collection was augmented in 1983 by the Godman bequest of Iznik, Hispano-Moresque and early Iranian pottery. Artefacts from the Islamic world are on display in Gallery 34 of the museum.
A representative selection from the Department of Middle East, including the most important pieces, are on display in 13 galleries throughout the museum and total some 4,500 objects. A whole suite of rooms on the ground floor display the sculptured reliefs from the Assyrian palaces at Nineveh, Nimrud and Khorsabad, while 8 galleries on the upper floor hold smaller material from ancient sites across the Middle East. The remainder form the study collection which ranges in size from beads to large sculptures. They include approximately 130,000 cuneiform tablets from Mesopotamia.
Highlights of the collections include:
Nimrud:
Assyrian palace reliefs from:
The North-West Palace of Ashurnasirpal II, (883–859 BC)
Palace of Adad-nirari III, (811–783 BC)
The Sharrat-Niphi Temple, ()
Temple of Ninurta, ()
South-East Palace ('Burnt Palace'), (8th–7th century BC)
Central- Palace of Tiglath-Pileser III, (745–727 BC)
South-West Palace of Esarhaddon, (681–669 BC)
The Nabu Temple (Ezida), (c. 7th century BC)
Sculptures and inscriptions:
Pair of Human Headed Lamassu Lions, (883–859 BC)
Human Headed Lamassu Bull, sister piece in The Metropolitan Museum of Art, (883–859 BC)
Human Headed Lamassu Lion, sister piece in the Metropolitan Museum of Art, (883–859 BC)
Colossal Statue of a Lion, (883–859 BC)
Foundation tablet of Ashurnasirpal II from the Temple of Ishtar, (875–865 BC)
Rassam Obelisk of Ashurnasirpal II, (873–859 BC)
Stela and Statue of King Ashurnasirpal II, (883–859 BC)
The Black Obelisk of Shalmaneser III, (858–824 BC)
Stela of Shamshi-Adad V, (824–811 BC)
Rare Head of Human Headed 'Lamassu', recovered from the North-West Palace, (811–783 BC)
Pair of statues of attendant god dedicated to Nabu by Adad-Nirari III and Sammuramat, (810–800 BC)
Bilingual Assyrian lion weights with both cuneiform and Phoenician inscriptions, (800–700 BC)
Large sculpture of a male bearded head from a Lamassu with inscription dedicated to Esarhaddon, (670 BC)
Nineveh:
Assyrian palace reliefs and sculptures from:
South-West Palace of Sennacherib, (705–681 BC)
North-Palace of Ashurbanipal, (c. 645 BC), including the Lion Hunt of Ashurbanipal and Lachish relief
The famous Garden Party Relief, (645 BC)
Statue of a nude woman, (11th century BC)
Broken Obelisk of Ashur-bel-kala, the earliest known Assyrian obelisk, (11th century BC)
White Obelisk of Ashurnasirpal I, (1050–1031 BC)
Royal Library of Ashurbanipal:
A large collection of cuneiform tablets of enormous importance, approximately 22,000 inscribed clay tablets, (7th century BC)
The Flood Tablet, relating part of the famous Epic of Gilgamesh, (7th century BC)
Taylor Prism, hexagonal clay foundation record, (691 BC)
Rassam cylinder with ten faces, that describes the military campaigns of king Ashurbanipal, (643 BC)
Other Mesopotamian sites:
Khorsabad and Balawat:
Alabaster bas-reliefs from the Palace of Sargon II, (710–705 BC)
Pair of Human Headed Winged Lamassu Bulls, (710–705 BC)
The Balawat Gates of Shalmaneser III, (860 BC)
Ur:
The Standard of Ur with depictions of war and peace, (2600 BC)
Queen's Lyre and gold drinking cup from Queen Puabi's tomb, (2600 BC)
The Ram in a Thicket, one of pair, the other is in Philadelphia, (2600–2400 BC)
The Royal Game of Ur, an ancient game board, (2600–2400 BC)
Wider collection:
Plastered human skull from Jericho, a very early form of portraiture, Palestine, (7000–6000 BC)
Tell Brak Head, one of the oldest portrait busts from the Middle East, north east Syria, (3500–3300 BC)
Uruk Trough, one of the earliest surviving works of narrative relief sculpture from the Middle East, southern Iraq, (3300–3000 BC)
Pair of inscribed stone objects known as the Blau Monuments from Uruk, Iraq, (3100–2700 BC)
Hoard of Bronze Age gold jewellery found at the Canaanite site of Tell el-Ajjul in Gaza, (1750–1550 BC)
Statue of Idrimi from the ancient city of Alalakh, southern Turkey, (1600 BC)
Bronze bowl and ivory cosmetic box in the shape of a fish from Tell es-Sa'idiyeh, Jordan, (1250–1150 BC)
Group of 16 stone reliefs from the palace of King Kapara at Tell Halaf, northern Syria, (10th century BC)
Tablet of Shamash, depicting the sun-god Shamash, from Sippar, Iraq, (early 9th century BC)
Hittite lion head from the monument to King Katuwa at Carchemish, southern Turkey, (9th century BC)
Two large Assyrian stelae from Kurkh, southern Turkey, (850 BC)
Seated statue of Kidudu or guardian spirit from the Assyrian city of Assur under Shalmaneser III, Iraq, (835 BC)
Basalt bowl with engraved inscription in Hieroglyphic Luwian found at Babylon, southern Iraq, (8th century BC)
Babylonian Chronicles, series of tablets recording major events in Babylonian history, Babylon, Iraq, (8th–3rd centuries BC)
Shebna Inscription from Siloam near Jerusalem, (7th century BC)
Group of 4 bronze shields with inscription of king Rusa III from the temple of Khaldi at the Urartian fortress of Toprakkale, eastern Turkey, (650 BC)
East India House Inscription from Babylon, Iraq, (604–562 BC)
Lachish Letters, group of ostraka written in alphabetic Hebrew from Lachish, Israel, (586 BC)
Cylinder of Nabonidus, foundation cylinder of King Nabonidus, Sippar, Iraq, (555–540 BC)
The famous Oxus Treasure, the largest ancient Persian hoard of gold artefacts, (550–330 BC)
Jar of Xerxes I, alabaster alabastron with quadrilingual signature of Achaemenid ruler Xerxes I, found in the ruins of the Mausoleum of Halicarnassus, Turkey, (486–465 BC)
Idalion Bilingual, bilingual Cypriot-Phoenician inscription, key to the decipherment of the Cypriot syllabary, Idalion, Cyprus, (388 BC)
Punic-Libyan Inscription from the Mausoleum of Ateban, key to the decipherment of the Numidian language, Dougga, Tunisia, (146 BC)
Amran Tablets found near Sana'a, Yemen, (1st century BC)
One of the pottery storage jars containing the Dead Sea Scrolls found in a cave near Qumran, Jordan, (4 BC – 68 AD)
Two limestone ossuaries from caves in Jerusalem, (1st century AD)
Fragment of a carved basalt architrave depicting a lion's head from the Temple of Garni, Armenia, (1st century AD)
Group of boulders with Safaitic inscriptions from Jordan/Syria, one of which was donated by Gertrude Bell, (1st–2nd centuries AD)
Parthian dynasty gold belt-buckle with central repoussé figure of eagle with outstretched wings from Nihavand, Iran, (1st–3rd centuries AD)
Silver bowl from Khwarezm depicting a four-armed goddess seated on a lion, Kazakhstan, (658 AD)
One of the rare Hedwig glasses, originating from the Middle East or Norman Sicily, (10th–12th centuries AD)
Hoard of Seljuq artefacts from Hamadan including gold cup, silver gilt belt fittings and dress accessories, Iran, (11th–12th centuries)
Islamic brass ewers with engraved decoration and inlaid with silver and copper from Herat, Afghanistan and Mosul, Iraq (12th–13th centuries AD)
Department of Prints and Drawings
The Department of Prints and Drawings holds the national collection of Western prints and drawings. It ranks as one of the largest and best print room collections in existence alongside the Albertina in Vienna, the Paris collections and the Hermitage. The holdings are easily accessible to the general public in the Study Room, unlike many such collections. The department also has its own exhibition gallery in Room 90, where the displays and exhibitions change several times a year.
Since its foundation in 1808, the prints and drawings collection has grown to international renown as one of the richest and most representative collections in the world. There are approximately 50,000 drawings and over two million prints. The collection of drawings covers the period from the 14th century to the present, and includes many works of the highest quality by the leading artists of the European schools. The collection of prints covers the tradition of fine printmaking from its beginnings in the 15th century up to the present, with near complete holdings of most of the great names before the 19th century. Key benefactors to the department have been Clayton Mordaunt Cracherode, Richard Payne Knight, John Malcolm, Campbell Dodgson, César Mange de Hauke and Tomás Harris. Writer and author Louis Alexander Fagan, who worked in the department 1869–1894 made significant contributions to the department in form of his Handbook to the Department, as well as various other books about the museum in general.
There are groups of drawings by Leonardo da Vinci, Raphael, Michelangelo, (including his only surviving full-scale cartoon), Dürer (a collection of 138 drawings is one of the finest in existence), Peter Paul Rubens, Rembrandt, Claude and Watteau, and largely complete collections of the works of all the great printmakers including Dürer (99 engravings, 6 etchings and most of his 346 woodcuts), Rembrandt and Goya. More than 30,000 British drawings and watercolours include important examples of work by Hogarth, Sandby, Turner, Girtin, Constable, Cotman, Cox, Gillray, Rowlandson, Towne and Cruikshank, as well as all the great Victorians. The collection contains the unique set of watercolours by the pioneering colonist John White, the first British artist in America and first European to paint Native Americans. There are about a million British prints including more than 20,000 satires and outstanding collections of works by William Blake and Thomas Bewick.. The great eleven volume Catalogue of Political and Personal Satires Preserved in the Department of Prints and Drawings in the British Museum compiled between 1870 and 1954 is the definitive reference work for the study of British Satirical prints. Over 500,000 objects from the department are now on the online collection database, many with high-quality images. A 2011 donation of £1 million enabled the museum to acquire a complete set of Pablo Picasso's Vollard Suite.
Department of Britain, Europe and Prehistory
The Department of Britain, Europe and Prehistory is responsible for collections that cover a vast expanse of time and geography. It includes some of the earliest objects made by humans in east Africa over 2 million years ago, as well as Prehistoric and neolithic objects from other parts of the world; and the art and archaeology of Europe from the earliest times to the present day. Archeological excavation of prehistoric material took off and expanded considerably in the twentieth century and the department now has literally millions of objects from the Paleolithic and Mesolithic periods throughout the world, as well as from the Neolithic, Bronze Age and Iron Age in Europe. Stone Age material from Africa has been donated by famous archaeologists such as Louis and Mary Leakey, and Gertrude Caton–Thompson. Paleolithic objects from the Sturge, Christy and Lartet collections include some of the earliest works of art from Europe. Many Bronze Age objects from across Europe were added during the nineteenth century, often from large collections built up by excavators and scholars such as Greenwell in Britain, Tobin and Cooke in Ireland, Lukis and de la Grancière in Brittany, Worsaae in Denmark, Siret at El Argar in Spain, and Klemm and Edelmann in Germany. A representative selection of Iron Age artefacts from Hallstatt were acquired as a result of the Evans/Lubbock excavations and from Giubiasco in Ticino through the Swiss National Museum.
In addition, the British Museum's collections covering the period AD 300 to 1100 are among the largest and most comprehensive in the world, extending from Spain to the Black Sea and from North Africa to Scandinavia; a representative selection of these has recently been redisplayed in a newly refurbished gallery. Important collections include Latvian, Norwegian, Gotlandic and Merovingian material from Johann Karl Bähr, Alfred Heneage Cocks, Sir James Curle and Philippe Delamain respectively. However, the undoubted highlight from the early mediaeval period is the magnificent items from the Sutton Hoo royal grave, generously donated to the nation by the landowner Edith Pretty. The late mediaeval collection includes a large number of seal-dies from across Europe, the most famous of which include those from the Town of Boppard in Germany, Isabella of Hainault from her tomb in Notre Dame Cathedral, Paris, Inchaffray Abbey in Scotland and Robert Fitzwalter, one of the Barons who led the revolt against King John in England. There is also a large collection of medieval signet rings, prominent among them is the gold signet ring belonging to Jean III de Grailly who fought in the Hundred Years' War, as well as those of Mary, Queen of Scots and Richard I of England. Other groups of artefacts represented in the department include the national collection of (c.100) icon paintings, most of which originate from the Byzantine Empire and Russia, and over 40 mediaeval astrolabes from across Europe and the Middle East. The department also includes the national collection of horology with one of the most wide-ranging assemblage of clocks, watches and other timepieces in Europe, with masterpieces from every period in the development of time-keeping. Choice horological pieces came from the Morgan and Ilbert collections. The department is also responsible for the curation of Romano-British objects – the museum has by far the most extensive such collection in Britain and one of the most representative regional collections in Europe outside Italy. It is particularly famous for the large number of late Roman silver treasures, many of which were found in East Anglia, the most important of which is the Mildenhall Treasure. The museum purchased many Roman-British objects from the antiquarian Charles Roach Smith in 1856. These quickly formed the nucleus of the collection. The department also includes ethnographic material from across Europe including a collection of Bulgarian costumes and shadow puppets from Greece and Turkey. A particular highlight are the three Sámi drums from northern Sweden of which only about 70 are extant.
Objects from the Department of Britain, Europe and Prehistory are mostly found on the upper floor of the museum, with a suite of galleries numbered from 38 to 51. Most of the collection is stored in its archive facilities, where it is available for research and study.
Highlights of the collections include:
Stone Age (c. 3.4 million years BC – c. 2000 BC)
Palaeolithic material from across Africa, particularly Olduvai, Kalambo Falls, Olorgesailie and Cape Flats, (1.8 million BC onwards)
One of the 11 leaf-shaped points found near Volgu, Saône-et-Loire, France and estimated to be 16,000 years old
Ice Age art from France including the Wolverine pendant of Les Eyzies, Montastruc decorated stone and Baton fragment, (c. 12–11,000 BC)
Ice Age art from Britain including the decorated jaw from Kendrick and Robin Hood Cave Horse, (11,500–10,000 BC)
Rare mesolithic artefacts from the site of Star Carr in Yorkshire, northern England, (8770–8460 BC)
Terracotta figurine from Vinča, Serbia, (5200–4900 BC)
Callaïs bead jewellery from Lannec-er-Ro'h, intact schist bracelet from Le Lizo, Carnac and triangular pendant from Mané-er-Hroëk, Morbihan, Brittany, western France, (5000–4300 BC)
Polished jade axe produced in the Italian Alps and found in Canterbury, Kent, southeast England, (4500–4000 BC)
Section of the Sweet Track, an ancient timber causeway from the Somerset Levels, England, (3807/6 BC)
Small collection of Neolithic finds including a necklace of flat bone beads from Skara Brae, Orkneys, northern Scotland, (3180–2500 BC)
Representative sample of artefacts (sherds, vessels, etc.) from the megalithic site of Tarxien, Malta, (3150–2500 BC)
A number of carved stone balls from Scotland, Ireland and northern England, (3200–2500 BC)
The three Folkton Drums, made from chalk and found in Yorkshire, northern England, (2600–2100 BC)
Bronze Age ()
Jet beaded necklace from Melfort in Argyll, Scotland, ()
Gold lunula from Blessington, Ireland, one of twelve from Ireland, Wales and Cornwall, (2400–2000 BC)
Early Bronze Age hoards from Barnack, Driffield, Sewell and Snowshill in England, Arraiolos and Vendas Novas in Iberia and Auvernier, Biecz and Neunheilingen in central Europe (2280–1500 BC)
Mold cape, unique cape made of gold sheet from Mold, Wales (1900–1600 BC)
Contents of the Rillaton Barrow including a gold cup, and the related Ringlemere Cup, England, (1700–1500 BC)
Bronze Age hoards from Forró, Paks-Dunaföldvár, Szőny and Zsujta in Hungary, (1600–1000 BC)
Large ceremonial swords or dirks from Oxborough and Beaune, western Europe, (1450–1300 BC)
Eight bronze shields including those from Moel Hebog and Rhyd-y-gors, Wales and Athenry, County Galway, Ireland, (12th–10th centuries BC)
Gold hoards from Morvah and Towednack in Cornwall, Milton Keynes in Buckinghamshire and Mooghaun in Ireland, (1150–750 BC)
Gold bowl with intricate repoussé decoration from Leer, Lower Saxony, northern Germany, (1100–800 BC)
Dunaverney flesh-hook found near Ballymoney, Northern Ireland and part of the Dowris Hoard from County Offaly, Ireland, (1050–900 BC & 900–600 BC)
Late Bronze Age gold hoards from Abia de la Obispalía and Mérida, Spain and an intricate gold collar from Sintra, Portugal, (10th–8th centuries BC)
Shropshire bulla, gold pendant decorated with intricately carved geometric designs, (1000–750 BC)
Part of a copper alloy lur from Årslev on the island of Funen, Denmark, one of only about 40 extant and the Dunmanway Horn from County Cork, Ireland (900–750 BC)
Gold bowl with embossed ornament and fluted wire handle from Angyalföld, Budapest, Hungary, (800–600 BC)
Iron Age (c. 600 BC – )
Basse Yutz Flagons, a pair of bronze drinking vessels from Moselle, eastern France, (5th century BC)
Morel collection of La Tène material from eastern France, including the Somme-Bionne chariot burial and the Prunay Vase, (450-300BC)
Important finds from the River Thames including the Battersea, Chertsey and Wandsworth shields and Waterloo Helmet, as well as the Witham Shield from Lincolnshire, eastern England, (350–50 BC)
Bronze scabbard with La Tène engraved decoration, found at Lisnacrogher bog, County Antrim, Northern Ireland, (300–200 BC)
Pair of gold collars called the Orense Torcs from northwest Spain, (300–150 BC)
Arras culture items from chariot burials in the Lady's Barrow near Market Weighton and Wetwang Slack, Yorkshire, (300 BC – 100 BC)
Other gold neck collars including the Ipswich Hoard and the Sedgeford Torc, England, (200–50 BC)
Winchester Hoard of gold jewellery from southern England and the Great Torc from Snettisham in Norfolk, East Anglia, (100 BC)
Eight out of about thirty extant intact Celtic bronze mirrors with La Tène decoration including those from Aston, Chettle, Desborough, Holcombe and St Keverne in England, (100 BC – 100 AD)
Cordoba and Arcillera Treasures, two silver Celtic hoards from Spain, (100–20 BC)
Grave find of ornately decorated bronze bucket with human shaped handles, a pan, jug, three brooches and at least four pottery vessels from Aylesford, Kent, (75 BC – 25 BC)
Lindow Man found by accident in a peat bog in Cheshire, England, (1st century AD)
Stanwick Hoard of horse and chariot fittings and the Meyrick Helmet, northern England, (1st century AD)
La Tène silver hinged brooch from Székesfehérvár, Hungary, (1–100 AD)
Lochar Moss Torc and two pairs of massive bronze armlets from Muthill and Strathdon, Scotland, (50–200 AD)
Romano-British (43 AD – 410 AD)
Tombstone of Roman procurator Gaius Julius Alpinus Classicianus from London, (1st century)
Ribbed glass bowl found in a grave at Radnage, Buckinghamshire, (1st century)
Large milestone marker with inscription from the reign of the emperor Hadrian from Llanfairfechan, Gwynedd in North Wales, (120–121 AD)
Ribchester, Guisborough and Witcham helmets once worn by Roman cavalry in Britain, (1st–2nd centuries)
Elaborate gold bracelets and ring found near Rhayader, central Wales, (1st–2nd centuries)
Hoard of gold jewellery found at Dolaucothi mine in Carmarthenshire, Wales, (1st–2nd centuries)
Bronze heads of the Roman emperors Hadrian and Claudius, found in London and Suffolk, (1st–2nd centuries)
Vindolanda Tablets, important historical documents found near Hadrian's Wall in Northumberland, (1st–2nd centuries)
Head of Mercury from Roman-Celtic Temple at Uley, Gloucestershire and limestone head from Towcester, Northamptonshire (2nd–4th centuries)
Wall-paintings and sculptures from the Roman Villa at Lullingstone, Kent, south east England, 1st–4th centuries)
Capheaton and Backworth treasures, remnants of two important hoards from northern England, (2nd–3rd centuries)
Stony Stratford Hoard of copper headdresses, fibulae and silver votive plaques, central England, (3rd century)
Square silver dish from Mileham in Norfolk, (4th century)
Gold jewellery deposited at the site of Newgrange, Ireland, (4th century)
Thetford Hoard, late Roman jewellery from eastern England, (4th century)
Early Mediaeval ()
One of five Largitio silver dishes of the emperor Licinius found at Niš, Serbia and a hexagonal gold coin-set pendant of Constantine the Great, (Early 4th century AD)
Two wooden ship figureheads dredged from the River Scheldt at Moerzeke and Appels, Belgium, (4th–6th centuries)
Part of the Asyut, Domagnano, Artres, Sutri, Bergamo and Belluno Treasures, (4th–7th centuries)
Lycurgus Cup, a unique figurative glass cage cup, and the Byzantine Archangel ivory panel, (4th–6th centuries)
Three large Ogham stones from the Roofs More Rath, County Cork, Ireland, (5th–7th centuries)
The Sutton Hoo treasure, Taplow burial and Crundale grave objects with some of the greatest finds from the early Middle Ages in Europe, England, (6th–7th centuries)
One of the Burghead Bulls, Pictish stone relief from northeast Scotland, (7th–8th centuries)
Three Viking hoards from Norway known as the Lilleberge Viking Burial, Tromsø Burial and Villa Farm barrow burial in Vestnes and the Ardvouray, Ballaquayle, Cuerdale, Goldsborough and Vale of York hoards from Britain, (7th–10th centuries)
Irish reliquaries such as the Kells Crozier, Bell Shrine of St. Cuileáin and St Conall Cael's Shrine from Inishkeel, (7th–11th centuries)
Early Anglo Saxon Franks Casket, a unique ivory container from northern England, (8th century)
T-shaped Carolingian antler container with carved geometric interlace and zigzag decoration, found near Grüneck Castle, Ilanz, Switzerland, (8th–9th centuries)
A number of luxurious penannular brooches such as the Londesborough Brooch, Breadalbane Brooch and those from the Penrith Hoard, British Isles, (8th–9th centuries)
Three of the twenty extant Carolingian crystal intaglios including the Lothair Crystal, the Metz engraved gem with crucifixion and Saint-Denis Crystal, central Europe, (9th century)
Anglo-Saxon Fuller and Strickland Brooches with their complex, niello-inlaid design, England, (9th century)
Seax of Beagnoth, iron sword with long Anglo-Saxon Runic inscription, London, England, (10th century)
Mediaeval (c. 1000 AD – c. 1500 AD)
A number of mediaeval ivory panels including the Borradaile, Wernher and John Grandisson Triptychs, (10th–14th centuries)
Several elephant ivory horns including the Borradaile Horn, Clephane Horn and Savernake Horn, (11th–12th centuries)
The famous Lewis chessmen found in the Outer Hebrides, Scotland, (12th century)
Reliquary of St. Eustace from the treasury of Basel Munster, Switzerland and fragments of a rare Romanesque crucifix from South Cerney, England, (12th century)
Armenian stone-cross or Khachkar from the Noratus cemetery in Armenia, (1225 AD)
Items from the tomb of Henry VI, Holy Roman Emperor at Palermo Cathedral, Sicily, including his mitre, silk pall and shoe, (late 12th century)
The unique Warwick Castle Citole, an early form of guitar, central England, (1280–1330)
Set of 10 wooden door panels engraved with Christian scenes from the Hanging Church in Old Cairo, Egypt, (1300)
Asante Jug, mysteriously found at the Asante Court in the late 19th century, England, (1390–1400)
Holy Thorn Reliquary bequeathed by Ferdinand de Rothschild as part of the Waddesdon Bequest, Paris, France, (14th century)
Dunstable Swan Jewel, a gold and enamel brooch in the form of a swan, England, (14th century)
A silver astrolabe quadrant from Canterbury, southeastern England, (14th century)
Chalcis treasure of jewellery, dress accessories and silver plate from the island of Euboea, Greece, (14th–15th centuries)
Magnificent cups made from precious metal such as the Royal Gold Cup and the Lacock Cup, western Europe, (14th–15th centuries)
Complete church altar set from Medina de Pomar near Burgos, Spain (1455 AD)
Renaissance to Modern (c. 1500 AD – present)
Two luxurious silver brooches set with precious stones from Glen Lyon and Lochbuie, Scotland (early 16th century)
Intricately decorated parade shield made by Giorgio Ghisi from Mantua, Italy, (1554 AD)
The Armada Service, 26 silver dishes found in Devon, south west England, (late 16th to early 17th centuries)
Early Renaissance Lyte Jewel, presented to Thomas Lyte of Lytes Cary, Somerset by King James I of England, (1610)
Huguenot silver from the Peter Wilding bequest, England, (18th century)
Pair of so-called Cleopatra Vases from the Chelsea porcelain factory, London, England, (1763)
Jaspar ware vase known as the Pegasus Vase made by Josiah Wedgwood, England, (1786)
Two of Charles Darwin's chronometers used on the voyage of HMS Beagle, (1795–1805)
The Hull Grundy Gift of jewellery, Europe and North America, (19th century)
Oak clock with mother-of-pearl engraving designed by Charles Rennie Mackintosh, (1919)
Silver tea-infuser designed by Marianne Brandt from the Bauhaus art school, Germany, (1924)
The Rosetta Vase, earthenware pottery vase designed by the contemporary British artist Grayson Perry, (2011)
The many hoards of treasure include those of Esquiline, Carthage, First Cyprus, Hockwold, Hoxne, Lampsacus, Mildenhall, Vale of York and Water Newton, (4th–10th centuries AD)
Department of Asia
The scope of the Department of Asia is extremely broad; its collections of over 75,000 objects cover the material culture of the whole Asian continent (from East, South, Central and South-East Asia) and from the Neolithic up to the present day. Until recently, this department concentrated on collecting Oriental antiquities from urban or semi-urban societies across the Asian continent. Many of those objects were collected by colonial officers and explorers in former parts of the British Empire, especially the Indian subcontinent. Examples include the collections made by individuals such as James Wilkinson Breeks, Sir Alexander Cunningham, Sir Harold Deane, Sir Walter Elliot, James Prinsep, Charles Masson, Sir John Marshall and Charles Stuart. A large number of Chinese antiquities were purchased from the Anglo-Greek banker George Eumorfopoulos in the 1930s. The large collection of some 1800 Japanese prints and paintings owned by Arthur Morrison was acquired in the early twentieth century. In the second half of the twentieth century, the museum greatly benefited from the bequest of the philanthropist PT Brooke Sewell, which allowed the department to purchase many objects and fill in gaps in the collection.
In 2004, the ethnographic collections from Asia were transferred to the department. These reflect the diverse environment of the largest continent in the world and range from India to China, the Middle East to Japan. Much of the ethnographic material comes from objects originally owned by tribal cultures and hunter-gatherers, many of whose way of life has disappeared in the last century. Particularly valuable collections are from the Andaman and Nicobar Islands (much assembled by the British naval officer Maurice Portman), Sri Lanka (especially through the colonial administrator Hugh Nevill), Northern Thailand, south-west China, the Ainu of Hokaidu in Japan (chief among them the collection of the Scottish zoologist John Anderson), Siberia (with artefacts collected by the explorer Kate Marsden and Bassett Digby and is notable for its Sakha pieces, especially the ivory model of a summer festival at Yakutsk) and the islands of South-East Asia, especially Borneo. The latter benefited from the purchase in 1905 of the Sarawak collection put together by Dr Charles Hose, as well as from other colonial officers such as Edward A Jeffreys. In addition, a unique and valuable group of objects from Java, including shadow puppets and a gamelan musical set, was assembled by Sir Stamford Raffles.
The principal gallery devoted to Asian art in the museum is Gallery 33 with its comprehensive display of Chinese, Indian subcontinent and Southeast Asian objects. An adjacent gallery showcases the Amaravati sculptures and monuments. Other galleries on the upper floors are devoted to its Japanese, Korean, painting and calligraphy, and Chinese ceramics collections.
Highlights of the collections include:
The most comprehensive collection of sculpture from the Indian subcontinent in the world, including the celebrated Buddhist limestone reliefs from Amaravati excavated by Sir Walter Elliot
An outstanding collection of Chinese antiquities, paintings, and porcelain, lacquer, bronze, jade, and other applied arts
The Frau Olga-Julia Wegener Collection of 147 Chinese paintings from the Tang to the Qing dynasties.
The most comprehensive collection of Japanese pre-20th century art in the Western world, many of which originally belonged to the surgeon William Anderson and diplomat Ernest Mason Satow
East Asia
A large collection of Chinese ritual bronzes, including a wine vessel in the shape of two rams supporting a jar, (1500–200 BC)
Jade bi or disc with inscription from the Qianlong Emperor, (1500–1050 BC)
Group of Oracle bones that were used for divination from the Shang dynasty, China, (1200–1050 BC)
Intricately designed gold dagger handle from Eastern Zhou period, China, (6th–5th centuries BC)
Huixian Bronze Hu, an identical pair of bronze vessels from the Eastern Zhou period, China, (5th century BC)
Japanese antiquities from the Kofun period excavated by the pioneering archaeologist William Gowland, (3rd–6th centuries AD)
Three ornate bronze Dōtaku or bells from the Yayoi period, Japan, (200 BC – 200 AD)
Gilded and inscribed Han dynasty wine-cup made from lacquer and found in Pyongyang, Korea (4 AD)
Gandharan architectural wood carvings, furniture and dress accessories from Loulan, Xinjiang, (4th century AD)
The famous Admonitions Scroll by Chinese artist Gu Kaizhi, (344–406 AD)
The colossal Amitābha Buddha from Hancui, China, (585 AD)
A set of ceramic Tang dynasty tomb figures of Liu Tingxun, (c. 728 AD)
Silk Princess painting from Dandan-oilik Buddhist sanctuary in Khotan, Xinjiang, China, (7th–8th century AD)
Seated Luohan from Yixian, one from a set of eight surviving statues, China, (907–1125 AD)
Hoard of Tang dynasty silverware from Beihuangshan, Shaanxi, China, (9th–10th centuries AD)
Seventeen examples of extremely rare Ru ware, the largest collection in the West, (1100 AD)
A fine assemblage of Buddhist scroll paintings from Dunhuang, western China, collected by the British-Hungarian explorer Aurel Stein, (5th–11th centuries AD)
Pericival David collection of Chinese ceramics, (10th–18th centuries AD)
Ivory stand in the form of a seated lion, Chos-'khor-yan-rtse monastery in Tibet, (13th century AD)
Copy of a hanging scroll painting of Minamoto no Yoritomo, first Shogun of Japan, (14th century AD)
Handscroll silk painting called 'Fascination of Nature' by Xie Chufang depicting insects and plants, China, (1321 AD)
Ornate Sino-Tibetan figure of Buddha Sakyamuni made of gilded bronze, China, (1403–1424 AD)
Large Cloisonné jar with dragon made for the Ming dynasty Imperial Court, paired with another in the Rietberg Museum, Zürich, Beijing, China, (1426–35 AD)
Pair of ceramic Kakiemon elephants from Japan, (17th century AD)
Moon jar from the Joseon Dynasty collected by the potter Bernard Leach, Korea, (18th century AD)
Japanese prints including The Great Wave off Kanagawa, (1829–32 AD)
Illustrations for the Great Picture Book of Everything, rare album of drawings by the celebrated Japanese artist Hokusai, (1820–1840 AD)
South Asia
Excavated objects from the Indus Valley sites of Mohenjo-daro, and Harappa, Ancient India (now in Pakistan), (2500–2000 BC)
Hoard of Copper Hoard Culture celts, plaques and disc from Gungeria, Madhya Pradesh, India, (2000–1000 BC)
Assembly of prehistoric artefacts from the Nilgiri Hills in southern India, (10th century BC – 2nd century AD)
Hoard of Iron Age metal weapons excavated at the Wurreegaon barrow near Kamptee in Maharastra, India, (7th – 1st centuries BC)
Sandstone fragment of a Pillar of Ashoka with Brahmi inscription from Meerut, Uttar Pradesh, India, (238 BC)
The Kulu Vase found near a monastery in Himachal Pradesh, one of the earliest examples of figurative art from the sub-continent, northern India, (1st century BC)
Copper plate from Taxila, with important Kharoshthi inscription, Ancient India (now in Pakistan), (1st century BC – 1st century AD)
Indo-Scythian sandstone Mathura Lion Capital and Bracket figure from one of the gateways to the Great Stupa at Sanchi, central India, (1st century AD)
Bimaran Casket and Wardak Vase, reliquaries from ancient stupas in Afghanistan, (1st–2nd centuries AD)
Hoard of gold jewellery with precious stones found under the Enlightenment Throne at the Mahabodhi Temple, Bodh Gaya, eastern India, (2nd century AD)
Relic deposits from stupas at Ahin Posh, Ali Masjid, Gudivada, Manikyala, Sonala Pind, Sanchi and Taxila, (1st–3rd centuries AD)
Seated Hārītī and Buddha statues and other Gandhara sculptures from Kafir Kot, Jamal Garhi, Takht-i-Bahi and Yusufzai, Pakistan, (1st–3rd centuries AD)
Hephthalite silver bowl with hunting scenes from the Swat District, Pakistan, (460–479 AD)
Three sandstone carved sculptures of the Buddha in Gupta style from Sarnath, eastern India, (5th–6th centuries AD)
Aphsad inscription of Ādityasena with important record of the genealogy of the Later Gupta dynasty up to king Ādityasena, Ghosrawan, Bihar, India, (675 AD)
The Buddhapad Hoard of bronze images from southern India, (6th–8th centuries AD)
Small bronze figure of Buddha Shakyamuni, Bihar, eastern India, (7th century AD)
Stone statue of Buddha from the Sultanganj hoard, Bihar, eastern India, (7th–8th centuries AD)
Earliest known figure of the dancing four-armed god Shiva Nataraja, Pallava dynasty, southern India (800 AD)
Statue of Tara from Sri Lanka and the Thanjavur Shiva from Tamil Nadu, southern India, (8th century & 10th century AD)
Standing Pala statue of Buddha from Kurkihar, Bihar, India, (9th century AD)
Several wooden architectural panels from the Kashmir Smast caves, northern Pakistan, (9th–10th centuries AD)
Hoard of Buddhist terracotta sealings from the Pala period found at the Nālandā Monastery, Bihar, eastern India, (10th century AD)
Statue of the goddess Ambika found at Dhar in central India, (1034 AD)
Foundation inscription of the Ananta Vasudeva Temple in Bhubaneswar, Odisha, eastern India, (1278 AD)
Jade dragon cup that once belonged to Sultan Ulugh Beg from Samarkand, Uzbekistan, (1420–1449 AD)
Foundation inscription with Arabic inscription in Naskh script in the name of Sultan Yusufshah from Gauda, Bengal, eastern India, (1477 AD)
Large standing gilded copper figure of the Bodhisattva Avalokiteśvara, Nepal, (15th–16th centuries AD)
South-east Asia
Earthenware tazza from the Phùng Nguyên culture, northern Vietnam, (2000–1500 BC)
Pottery vessels and sherds from the ancient site of Ban Chiang, Thailand, (10th–1st centuries BC)
Bronze bell from Klang and iron socketed axe (tulang mawas) from Perak, western Malaysia, (200 BC–200 AD)
Group of six Buddhist clay votive plaques found in a cave in Patania, Penang, Malaysia, (6th–11th centuries AD)
The famous Sambas Treasure of buddhist gold and silver figures from west Borneo, Indonesia, (8th–9th centuries AD)
Three stone Buddha heads from the temple at Borobodur in Java, Indonesia, (9th century AD)
Granite Kinnari figure in the shape of a bird from Candi Prambanan in Java, Indonesia, (9th century AD)
Sandstone Champa figure of a rampant lion, Vietnam, (11th century AD)
Gilded bronze figure of Śiva holding a rosary, Cambodia, (11th century AD)
Stone figure representing the upper part of an eleven-headed Avalokiteśvara, Cambodia, (12th century AD)
Bronze figure of a seated Buddha from Bagan, Burma, (12th–13th centuries AD)
Hoard of Southern Song dynasty ceramic vessels excavated at Pinagbayanan, Taysan Municipality, Philippines, (12th–13th centuries AD)
Statue of the Goddess Mamaki from Candi Jago, eastern Java, Indonesia, (13th–14th centuries AD)
Glazed terracotta tiles from the Shwegugyi Temple erected by king Dhammazedi in Bago, Myanmar, (1476 AD)
Inscribed bronze figure of a Buddha from Fang District, part of a large SE Asian collection amassed by the Norwegian explorer Carl Bock, Thailand, (1540 AD)
Large impression of the Buddha's foot made of gilded stone (known as Shwesettaw Footprints) donated by Captain Frederick Marryat, from Ponoodang near Yangon, Myanmar, (18th–19th centuries AD)
Department of Africa, Oceania and the Americas
The British Museum houses one of the world's most comprehensive collections of Ethnographic material from Africa, Oceania and the Americas, representing the cultures of indigenous peoples throughout the world. Over 350,000 objects spanning thousands of years tells the history of mankind from three major continents and many rich and diverse cultures; the collecting of modern artefacts is ongoing. Many individuals have added to the department's collection over the years but those assembled by Henry Christy, Harry Beasley and William Oldman are outstanding.
Objects from this department are mostly on display in several galleries on the ground and lower floors. Gallery 24 displays ethnographic from every continent while adjacent galleries focus on North America and Mexico. A long suite of rooms (Gallery 25) on the lower floor display African art. There are plans in place to develop permanent galleries for showcasing art from Oceania and South America.
Africa
The Sainsbury African Galleries display 600 objects from the greatest permanent collection of African arts and culture in the world. The three permanent galleries provide a substantial exhibition space for the museum's African collection comprising over 200,000 objects. A curatorial scope that encompasses both archaeological and contemporary material, including both unique masterpieces of artistry and objects of everyday life. A great addition was material amassed by Sir Henry Wellcome, which was donated by the Wellcome Historical Medical Museum in 1954.
Highlights of the African collection include objects found at megalithic circles in The Gambia, a dozen exquisite Afro-Portuguese ivories, a series of soapstone figures from the Kissi people in Sierra Leone and Liberia, hoard of bronze Kru currency rings from the Sinoe River in Liberia, Asante goldwork and regalia from Ghana including the Bowdich collection, the rare Akan Drum from the same region in west Africa, pair of door panels and lintel from the palace at Ikere-Ekiti in Yorubaland, the Benin and Igbo-Ukwu bronze sculptures, the beautiful Bronze Head of Queen Idia, a magnificent brass head of a Yoruba ruler and quartz throne from Ife, a similar terracotta head from Iwinrin Grove near Ife, the Apapa Hoard from Lagos and other mediaeval bronze hoards from Allabia and the Forçados River in southern Nigeria.
Included is an Ikom monolith from Cross River State, several ancestral screens from the Kalabari tribe in the Niger Delta, the Torday collection of central African sculpture, textiles and weaponry from the Kuba Kingdom including three royal figures, the unique Luzira Head from Uganda, processional crosses and other ecclesiastical and royal material from Gondar and Magdala, Ethiopia following the British Expedition to Abyssinia, excavated objects from Great Zimbabwe (that includes a unique soapstone, anthropomorphic figure) and satellite towns such as Mutare including a large hoard of Iron Age soapstone figures, a rare divining bowl from the Venda peoples and cave paintings and petroglyphs from South Africa.
Oceania
The British Museum's Oceanic collections originate from the vast area of the Pacific Ocean, stretching from Papua New Guinea to Easter Island, from New Zealand to Hawaii. The three main anthropological groups represented in the collection are Polynesia, Melanesia and Micronesia – Aboriginal art from Australia is considered separately in its own right. Metal working was not indigenous to Oceania before Europeans arrived, so many of the artefacts from the collection are made from stone, shell, bone and bamboo. Prehistoric objects from the region include a bird-shaped pestle and a group of stone mortars from Papua New Guinea.
The British Museum is fortunate in having some of the earliest Oceanic and Pacific collections, many of which were put together by members of Cook's and Vancouver's expeditions or by colonial administrators and explorers such as Sir George Grey, Sir Frederick Broome, Joseph Bradshaw, Robert Christison, Gregory Mathews, Frederick Meinertzhagen, Thomas Mitchell and Arthur Gordon, before Western culture significantly impacted on indigenous cultures. The department has also benefited greatly from the legacy of pioneering anthropologists such as AC Haddon, Bronisław Malinowski and Katherine Routledge. An artefact is a wooden Aboriginal shield, probably dating from the late eighteenth century. There is some debate as to whether this shield was found at Botany Bay or, given the nature of the wood being red mangrove which grows abundantly only 500 km north of Botany Bay, possibly obtained through trade networks or at an entirely different location.
The Wilson cabinet of curiosities from Palau is an example of pre-contact ware. Another outstanding exemplar is the mourner's dress from Tahiti given to Cook on his second voyage, one of only ten in existence. In the collection is a large war canoe from the island of Vella Lavella in the Solomon Islands, one of the last ever to be built in the archipelago.
The Māori collection is the finest outside New Zealand with many intricately carved wooden and jade objects and the Aboriginal art collection is distinguished by its wide range of bark paintings, including two very early bark etchings collected by John Hunter Kerr. A particularly important group of objects was purchased from the London Missionary Society in 1911, that includes the unique statue of A'a from Rurutu Island, the rare idol from the isle of Mangareva and the Cook Islands deity figure. Other highlights include the huge Hawaiian statue of Kū-ka-ili-moku or god of war (one of three extant in the world) and the famous Easter Island statues Hoa Hakananai'a and Moai Hava.
Americas
The Americas collection mainly consists of 19th and 20th century items although the Paracas, Moche, Inca, Maya, Aztec, Taino and other early cultures are well represented. The Kayung totem pole, which was made in the late nineteenth century on Haida Gwaii, dominates the Great Court and provides a fitting introduction to this very wide-ranging collection that stretches from the very north of the North American continent where the Inuit population has lived for centuries, to the tip of South America where indigenous tribes have long thrived in Patagonia.
Highlights of the collection include Aboriginal Canadian and Native American objects from North America collected by the 5th Earl of Lonsdale, the Marquis of Lorne, the explorer David Haig-Thomas and Bryan Mullanphy, Mayor of St. Louis, the Squier and Davis collection of prehistoric mound relics from North America, two carved stone bowls in the form of a seated human figure made by ancient North West Coast peoples from British Columbia, the headdress of Chief Yellow Calf from the Arapaho tribe in Wyoming, a lidded rivercane basket from South Carolina and the earliest historic example of Cherokee basketry, a selection of pottery vessels found in prehistoric dwellings at Mesa Verde and Casas Grandes, one of the enigmatic crystal skulls of unknown origin, a collection of nine turquoise Aztec mosaics from Mexico (the largest in Europe), important artefacts from Teotihuacan and Isla de Sacrificios.
There are several rare pre-Columbian manuscripts including the Codex Zouche-Nuttall and Codex Waecker-Gotter and post-colonial ones such as the Codex Aubin and Codex Kingsborough, a spectacular series of Mayan lintels from Yaxchilan excavated by the British Mayanist Alfred Maudslay, a very high quality Mayan collection that includes sculptures from Copan, Tikal, Tulum, Pusilha, Naranjo and Nebaj (including the celebrated Fenton Vase), an ornate calcite vase with jaguar handles from the Ulua Valley in Honduras, the Lord Moyne collection from the Bay Islands, Honduras and Boyle collection from Nicarugua, over 20 stone metates with zoomorphic and anthropomorphic ornamentation from Costa Rica, a group of Zemi Figures from Vere, Jamaica, and wooden duhos from the Dominican Republic and The Bahamas.
There are a collection of Pre-Columbian human mummies from sites across South America including Ancon, Acari, Arica and Leyva, a number of prestigious pre-Columbian gold and votive objects from Colombia, three axe-shaped gold diadems found near Camaná from the Siguas culture in Peru, unique collection of Moche wooden figures and staffs from the Macabi islands off Peru, ethnographic objects from across the Amazon region including the Schomburgk and Maybury Lewis collections and part of the von Martius and von Spix collection, two rare Tiwanaku pottery vessels from Lake Titicaca and important items from Tierra del Fuego donated by Commander Phillip Parker King.
Department of Coins and Medals
The British Museum is home to one of the world's finest numismatic collections, comprising about a million objects, including coins, medals, tokens and paper money. The collection spans the entire history of coinage from its origins in the 7th century BC to the present day and is representative of both the East and West. The Department of Coins and Medals was created in 1861 and celebrated its 150th anniversary in 2011.
Department of Conservation and Scientific Research
This department was founded in 1920. Conservation has six specialist areas: ceramics & glass; metals; organic material (including textiles); stone, wall paintings and mosaics; Eastern pictorial art and Western pictorial art. The science department has and continues to develop techniques to date artefacts, analyse and identify the materials used in their manufacture, to identify the place an artefact originated and the techniques used in their creation. The department also publishes its findings and discoveries.
Libraries and archives
This department covers all levels of education, from casual visitors, schools, degree level and beyond. The museum's various libraries hold in excess of 350,000 books, journals and pamphlets covering all areas of the museum's collection. Also the general museum archives which date from its foundation in 1753 are overseen by this department; the individual departments have their own separate archives and libraries covering their various areas of responsibility, which can be consulted by the public on application. The Anthropology Library is especially large, with 120,000 volumes. However, the Paul Hamlyn Library, which had become the central reference library of the British Museum and the only library there freely open to the general public, closed permanently in August 2011. The website and online database of the collection also provide increasing amounts of information.
British Museum Press
The British Museum Press (BMP) is the publishing business and a division of the British Museum Company Ltd., a company and a charity (established in 1973) wholly owned by the trustees of the British Museum.
The BMP publishes both popular and scholarly illustrated books to accompany the exhibition programme and explore aspects of the general collection. Profits from their sales goes to support the British Museum.
Scholarly titles are published in the Research Publications series, all of which are peer-reviewed. This series was started in 1978 and was originally called Occasional Papers. The series is designed to disseminate research on items in the collection. Between six and eight titles are published each year in this series.
Controversies
Artefacts from other countries
It is a point of controversy whether museums should possess artefacts looted from other countries, and the British Museum is a notable target for criticism. The Elgin Marbles, Benin Bronzes, Ethiopian Tabots and the Rosetta Stone are among the most disputed objects in its collections, and organisations have been formed demanding the return of these artefacts to their native countries. The Parthenon Marbles (Elgin Marbles) claimed by Greece were also cited by UNESCO, among others, for restitution. From 1801 to 1812, Elgin's agents removed about half of the surviving sculptures from the Parthenon, as well as sculptures from the Propylaea and Erechtheum. The former director of the museum has stated, "We are indebted to Elgin for having rescued the Parthenon sculptures and others from the Acropolis from the destruction they were suffering, as well as from the damage that the Acropolis monuments, including the sculptures that he did not remove, have suffered since." The British Museum itself damaged some of the artefacts during restoration in the 1930s.
There is also controversy over artefacts taken during the destruction of the Old Summer Palace in Beijing by an Anglo-French expeditionary force during the Second Opium War in 1860, an event which drew a protest from Victor Hugo. The British Museum and the Victoria and Albert Museum, among others, have been asked since 2009 to open their archives for investigation by a team of Chinese investigators as a part of an international mission to document Chinese national treasures in foreign collections. In 2010 Neil MacGregor, the former Director of the British Museum, said he hoped that both British and Chinese investigators would work together on the controversial collection. In 2020 the museum appointed a curator to research the history of its collections, including disputed items.
The British Museum has stated that the "restitutionist premise, that whatever was made in a country must return to an original geographical site, would empty both the British Museum and the other great museums of the world". The museum has also argued that the British Museum Act of 1963 prevents any object from leaving its collection once it has entered it. "The Museum owns its collections, but its Trustees are not empowered to dispose of them". Nevertheless, it has returned items such as Tasmanian Aboriginal burial remains when this was consistent with legislation regarding the disposal of items in the collections.
In late 2022, the British Museum had entered into preliminary negotiations with the Greek government about the future of the Elgin marbles.
Disputed items in the collection
Elgin Marbles – claimed by Greece and backed by UNESCO among others for restitution
Benin Bronzes – claimed by Nigeria; the Nigerian government has passed a resolution demanding the return of all 700 bronze pieces. 30 pieces of the bronzes were sold by the British Museum privately from the 1950s until 1972, mostly back to the Nigerians.
Ethiopian Tabots, Pre-Axumite Civilisation Coins – claimed by Ethiopia
Four stolen drawings (Nazi plunder) – Compensation paid to Uri Peled for the amount of £175,000 by the British Museum
Achaemenid empire gold and silver artefacts from the Oxus Treasure – in 2007 the President of Tajikistan ordered experts to look into making a claim.
Rosetta Stone – claimed by Egypt
Dunhuang manuscripts, part of a cache of scrolls, manuscripts, paintings, scriptures, and relics from the Mogao Caves, including the Diamond Sutra – claimed by the People's Republic of China
Aboriginal shield – claimed by Aboriginal people of Australia.
Hoa Hakananai'a – claimed by Chile on behalf of Easter Island
Repatriation and reburial of human remains is a controversial issue, and the British Museum has issued a policy on the subject.
Welsh artefacts – claimed by Welsh people, particularly for the return of the Mold gold cape but also the Rhyd-y-gors Shield, Moel Hebog shield and Llanllyfni lunula.
Nazi-looted art
In 2002 the heirs of Dr. Arthur Feldmann, an art collector murdered in the Holocaust, requested that four old master drawings stolen by the Gestapo in 1939 be returned to the family. A UK High Court judge ruled in 2005 that it would be illegal for the British Museum to return artworks looted by the Nazis to a Jewish family, despite its willingness and moral obligation to do so.The law was changed in 2009, and again in 2022 giving museums additional powers to return looted art or provide compensation. The heirs of Dr Feldmann accepted a compensation payment for a looted drawing and stated that they were happy the drawing would remain in the British Museum collection.
According to the British Museum Spoliation report published by the Collections Trust in 2017, "Around 30% of some 21,350 continental and British drawings acquired since 1933 have an uncertain or incomplete provenance for the 1933–1945 period". The museum lists these works on its website and investigates claims for restitution.
BP sponsorship
In recent years there have been several protests against the British Museum's relationship with the oil company BP. In May 2016, the British Museum was temporarily closed after a Greenpeace protest. In February 2019, hundreds of people occupied the museum in protest against the BP sponsorship. In July 2019, Ahdaf Soueif resigned from the British Museum's board of trustees in protest against the sponsorship. In February 2020, 1,500 demonstrators, including British Museum staff, took part in a day of protest over the issue, occupying 11 of the museum's rooms. The PCS union said the museum had a duty to recognise the escalating climate crisis and cut its ties with BP. In reply the museum said: “We are aware of the comments from the PCS union and will continue to liaise with the British Museum PCS branch and our staff more generally.”
Chairman's Advisory Group
The Chairman's Advisory Group is an informal group of business leaders who provide advice to the chairman on various issues including the museum's relationship with the British government and policy on the museum's collections. Its existence was made public after a freedom of information request by a group campaigning against the museum's links with the fossil fuel industry. The museum has declined to name the members of the advisory group as they are acting in their personal capacity.
Thefts
Several incidents of theft from the museum have been recorded. During the 1970s, several historic coins and medals were stolen. In 1990 a 17th-century Japanese Kakiemon figure was stolen. In 1991 two Meiji figurines were taken from a basement and in a separate incident a fragment of a gold ring was taken from a store. In 1993 fifteen Roman coins and jewellery worth £250,000 were stolen. In 1996 a Japanese chest and two Persian books were stolen.
In July 2002 a marble head, valued at £50,000, was stolen from the Archaic Greek gallery. In 2004, 15 "historically important" Chinese artefacts, including jewels, ornate hairpins and fingernail guards were stolen. In 2017, it was revealed that a Cartier diamond had been missing since 2011.
In August 2023, a staff member was fired after it emerged that items including gold, jewellery and gems had been stolen over a "significant" period of time. The incident led to an investigation by the Metropolitan Police and an independent review by the museum. Some of the missing artefacts were later found to have been sold on eBay for considerably less than their estimated value. The museum had been warned of the thefts as early as 2021. The museum's director, Hartwig Fischer, announced that he would resign because the museum "did not respond as comprehensively as it should have" to the warnings of theft. The number of artefacts stolen was estimated to be at about 2,000; some of which were subsequently recovered. As a consequence of the thefts, the museum announced a five-year plan to digitise the complete collection and make it available to view on-line.
Copyright settlement
In August 2023, the British Museum reached a settlement with translator Yilin Wang over translations she had done of the poet Qiu Jin. The museum had used her work without credit or permission in their exhibit “China’s Hidden Century” which ran between May 2023 and October 2023.
Galleries
Building
Museum galleries
Department of Ancient Egypt and Sudan
Department of the Middle East
Department of Greece and Rome
Digital and online
The museum has a collaboration with the Google Cultural Institute to bring the collection online.
Exhibitions
Chronology of Temporary Exhibitions at the British Museum, by Joanna Bowring (British Museum Research Paper 189, 2012) lists all temporary exhibitions from 1838 to 2012.
Forgotten Empire Exhibition (October 2005 – January 2006)
From January to April 2012 the museum presented Hajj: Journey to the Heart of Islam, the first major exhibition on the topic of the Hajj, the pilgrimage that is one of the five pillars of Islam.
See also
2016–17 all-female UK terror plot – involved a plan to attack the British Museum
Notes
References
Further reading
Anderson, Robert (2005). The Great Court and the British Museum. London: The British Museum Press
Arrowsmith, Rupert Richard. Modernism and the Museum: Asian, African and Pacific Art and the London Avant Garde. Oxford University Press, 2011, pp. 103–164. .
Arrowsmith, Rupert Richard. "The Transcultural Roots of Modernism: Imagist Poetry, Japanese Visual Culture, and the Western Museum System" , Modernism/modernity Volume 18, Number 1, January 2011, pp. 27–42. .
Bowring, Joanna (2012). Chronology of Temporary Exhibitions at the British Museum London: British Museum Research Paper 189.
Caygill, Marjorie (2006). The British Museum: 250 Years. London: The British Museum Press
Caygill, Marjorie (2002). The Story of the British Museum. London: The British Museum Press
--do.-- (2009) Treasures of the British Museum London: The British Museum Press (1st ed. 1985; 2nd ed. 1992)
Cook, B. F. (2005). The Elgin Marbles. London: The British Museum Press
Esdaile, Arundell (1946) The British Museum Library: a Short History and Survey. London: Allen & Unwin
Jacobs, Norman (2010) Behind the Colonnade. Stroud: The History Press
Jenkins, Ian (2006). Greek Architecture and its Sculpture in The British Museum. London: The British Museum Press
Francis, Frank, ed. (1971) Treasures of the British Museum. London: Thames & Hudson (rev. ed., 1975)
Moser, Stephanie (2006). Wondrous Curiosities: Ancient Egypt at The British Museum. Chicago: The University of Chicago Press
Reade, Julian (2004). Assyrian Sculpture. London: The British Museum Press
Reeve, John (2003). The British Museum: Visitor's Guide. London: The British Museum Press
Wilson, David M. (2002). The British Museum: a history. London: The British Museum Press
External links
The British Museum from The Survey of London
British Museum elevation
Virtual tour of the British Museum provided by Google Arts & Culture
1753 establishments in England
Archaeological museums in London
Art museums and galleries in London
Asian art museums in the United Kingdom
Charities based in London
Cultural infrastructure completed in 1847
Cultural infrastructure completed in 2000
Egyptological collections in London
Exempt charities
History of museums
Georgian architecture in the London Borough of Camden
Grade I listed buildings in the London Borough of Camden
Grade I listed museum buildings
Greek Revival architecture in the United Kingdom
Horological museums in the United Kingdom
Mesoamerican art museums
Museums in the London Borough of Camden
Museums of ancient Greece in the United Kingdom
Museums of ancient Rome in the United Kingdom
Museums of Ancient Near East in the United Kingdom
Museums established in 1753
Museums sponsored by the Department for Digital, Culture, Media and Sport
Non-departmental public bodies of the United Kingdom government
Robert Smirke (architect) buildings
Neoclassical architecture in London
Buildings and structures in Bloomsbury
Foster and Partners buildings
Museum of the Year (UK) recipients | 8 |
Balochistan (; ; , ) is a province of Pakistan. Located in the southwestern region of the country, Balochistan is the largest province of Pakistan by land area but is the least populated one. It is bordered by the Pakistani provinces of Khyber Pakhtunkhwa to the north-east, Punjab to the east and Sindh to the south-east; shares international borders with Iran to the west and Afghanistan to the north; and is bound by the Arabian Sea to the south. Balochistan is an extensive plateau of rough terrain divided into basins by ranges of sufficient heights and ruggedness. It has the world's largest deep sea port, the Port of Gwadar lying in the Arabian Sea.
Although it makes up about 44% of the land area of Pakistan, only 5% of it is arable and it is noted for an extremely dry desert climate. Despite this, agriculture and livestock make up about 47% of Balochistan's economy.
The name "Balochistan" means "the land of the Baloch". Largely underdeveloped, its economy is also dominated by natural resources, especially its natural gas fields. Aside from Quetta, the second-largest city of the province is Turbat in the south, while another area of major economic importance is the port city of Gwadar on the Arabian Sea, an emerging future business hub.
History
Early history
Balochistan occupies the very southeasternmost portion of the Iranian Plateau, the setting for the earliest known farming settlements in the pre-Indus Valley civilisation era, the earliest of which was Mehrgarh, dated at 7000 BCE, within the province. Balochistan marked the westernmost extent of civilisation. Centuries before the arrival of Islam in the seventh century, parts of Balochistan were ruled by the Paratarajas, an Indo-Scythian dynasty. At certain times, the Kushans also held political sway in parts of Balochistan.
The Hindu Sewa Dynasty ruled parts of Balochistan, chiefly Kalat. The Sibi Division, which was carved out of Quetta Division and Kalat Division in 1974, derives its name from Rani Sewi, the queen of the Sewa dynasty.
The remnants of the earliest people in Balochistan were the Brahui people, a Dravidian speaking people. The Brahuis retained the Dravidian language throughout the millennias.
Although during the Stone and Bronze Age and Alexander the Great's empire an indigenous population existed, the Baloch people themselves did not enter the region until the 14th century CE. A theory of the origin of the Baloch people, the largest ethnic group in the region, is that they are of Median descent.
Arrival of Islam
In 654, Abdulrehman ibn Samrah, governor of Sistan and the newly emerged Rashidun caliphate at the expense of Sassanid Persia and the Byzantine Empire, sent an Islamic army to crush a revolt in Zaranj, which is now in southern Afghanistan. After conquering Zaranj, a column of the army pushed north, conquering Kabul and Ghazni, in the Hindu Kush mountain range, while another column moved through Quetta District in north-western Balochistan and conquered the area up to the ancient cities of Dawar and Qandabil (Bolan). It is documented that the major settlements, falling within today's province, became in 654 controlled by the Rashidun caliphate, except for the well-defended mountain town of QaiQan which is now Kalat.
During the caliphate of Ali, a revolt broke out in southern Balochistan's Makran region. In 663, during the reign of Umayyad Caliph Muawiyah I, his Muslim rule lost control of north-eastern Balochistan and Kalat when Haris ibn Marah and a large part of his army died in battle against a revolt in Kalat.
Pre-modern era
In the 15th century, Mir Chakar Khan Rind became the first Sirdar of Afghan, Iranian and Pakistani Balochistan. He was a close aide of the Timurid ruler Humayun, and was succeeded by the Khanate of Kalat, which owed allegiance to the Mughal Empire. Later, Nader Shah won the allegiance of the rulers of eastern Balochistan. He ceded Kalhora, one of the Sindh territories of Sibi-Kachi, to the Khanate of Kalat. Ahmad Shah Durrani, founder of the Afghan Empire, also won the allegiance of that area's rulers, and many Baloch fought under him during the Third Battle of Panipat. Most of the area would eventually revert to local Baloch control after Afghan rule.
Colonial era
In 1876, northern Baluchistan became one of the Presidencies and provinces of British India in colonial India. During this time from the fall of the Durrani Empire in 1823, four princely states were recognised and reinforced in Balochistan: Makran, Kharan, Las Bela and Kalat. In 1876, Robert Sandeman negotiated the Treaty of Kalat, which brought the Khan's territories, including Kharan, Makran, and Las Bela, under British protection, even though they remained independent princely states. After the Second Afghan War was ended by the Treaty of Gandamak in May 1879, the Afghan Emir ceded the districts of Quetta, Pishin, Harnai, Sibi and Thal Chotiali to British control. On 1 April 1883, the British took control of the Bolan Pass, south-east of Quetta, from the Khan of Kalat. In 1887, small additional areas of Balochistan were declared British territory. In 1893, Sir Mortimer Durand negotiated an agreement with the Amir of Afghanistan, Abdur Rahman Khan, to fix the Durand Line running from Chitral to Balochistan as the boundary between the Emirate of Afghanistan and British-controlled areas. Two devastating earthquakes occurred in Balochistan during British colonial rule: the 1935 Quetta earthquake, which devastated Quetta, and the 1945 Balochistan earthquake with its epicentre in the Makran region. During the time of the Indian independence movement, "three pro-Congress parties were still active in Balochistan's politics apart from Balochistan's Muslim League", such as the Anjuman-i-Watan Baluchistan, which favoured a united India and opposed its partition.
After independence
In British-ruled Colonial India, Baluchistan contained a Chief Commissioner's province and princely states (including Kalat, Makran, Las Bela and Kharan) that became a part of Pakistan. The province's Shahi Jirga (the grand council of tribal elders) and the non-official members of the Quetta Municipality, according to the Pakistani narrative, agreed to join Pakistan unanimously on 29 June 1947; however, the Shahi Jirga was stripped of its members from the Kalat State prior to the vote. The then-president of the Baluchistan Muslim League, Qazi Muhammad Isa, informed Muhammad Ali Jinnah that "Shahi Jirga in no way represents the popular wishes of the masses" and that members of the Kalat State were "excluded from voting; only representatives from the British part of the province voted and the British part included the leased areas of Quetta, Nasirabad Tehsil, Nushki and Bolan Agency." Following the referendum, on 22 June 1947 the Khan of Kalat received a letter from members of the Shahi Jirga, as well as sardars from the leased areas of Baluchistan, stating that they, "as a part of the Baloch nation, were a part of the Kalat state too" and that if the question of Baluchistan's accession to Pakistan arise, "they should be deemed part of the Kalat state rather than (British) Balochistan". This has brought into question whether an actual vote took place. Political scientist Salman Rafi Sheikh, in locating the origins of the insurgency in Balochistan, says "that Balochistan's accession to Pakistan was, as against the officially projected narrative, not based upon consensus, nor was support for Pakistan overwhelming. What this manipulation indicates is that even before formally becoming a part of Pakistan, Balochistan had fallen a prey to political victimization."
Initially aspiring for independence, the Khan of Kalat finally acceded to Pakistan on 27 March 1948 after period of negotiations with Pakistan. The signing of the Instrument of Accession by Ahmad Yar Khan led his brother, Prince Abdul Karim, to revolt against his brother's decision due to their family rift. in July 1948. Princes Agha Abdul Karim Baloch and Muhammad Rahim refused to lay down arms, leading the Dosht-e Jhalawan in unconventional attacks on the army until 1950. The Prince indulged in Terror activities without any assistance from others. Jinnah and his successors allowed Yar Khan to retain his title until the province's dissolution in 1955.
Insurgencies by Baloch nationalists took place in 1948, 1958–59, 1962–63 and 1973–77, with a new ongoing insurgency by autonomy-seeking Baloch groups since 2003. While many Baloch support the demand for autonomy, the majority are not interested in seceding from Pakistan.
At a press conference on 8 June 2015 in Quetta, Balochistan's Home Minister Sarfraz Bugti accused India's prime minister Narendra Modi of openly supporting terrorism. Bugti implicated India's Research and Analysis Wing (RAW) of being responsible for recent attacks at military bases in Smangli and Khalid, and for subverting the China–Pakistan Economic Corridor (CPEC) agreement.
Gwadar, a region of Balochistan was a Colony of Oman for more than a century and in the 1960s, Pakistan took over the land. Many people in this region are therefore Omani.
Geography
Balochistan is situated in the southwest of Pakistan and covers an area of . It is Pakistan's largest province by area, constituting 44% of Pakistan's total landmass. The province is bordered by Afghanistan to the north and north-west, Iran to the south-west, Punjab and Sindh, and Khyber Pakhtunkhwa and the Federally Administered Tribal Areas to the north-east. To the south lies the Arabian Sea. Balochistan is located on the south-eastern part of the Iranian plateau. It borders the geopolitical regions of the Middle East and Southwest Asia, Central Asia and South Asia. Balochistan lies at the mouth of the Strait of Hormuz and provides the shortest route from seaports to Central Asia. Its geographical location has placed the otherwise desolate region in the scope of competing for global interests for all of recorded history.
The capital city Quetta is located in a densely populated portion of the Sulaiman Mountains in the northeast of the province. It is situated in a river valley near the Bolan Pass, which has been used as the route of choice from the coast to Central Asia, entering through Afghanistan's Kandahar region. The British and other historic empires have crossed the region to invade Afghanistan by this route.
Balochistan is rich in exhaustible and renewable resources; it is the second major supplier of natural gas in Pakistan. The province's renewable and human resource potential has not been systematically measured or exploited. Local inhabitants have chosen to live in towns and have relied on sustainable water sources for thousands of years.
Climate
The climate of the upper highlands is characterised by very cold winters and hot summers. In the lower highlands, winters vary from extremely cold in northern districts Ziarat, Quetta, Kalat, Muslim Baagh and Khanozai, where temperatures can drop to , to milder conditions closer to the Makran coast. Winters are mild on the plains, with temperatures never falling below freezing point. Summers are hot and dry, especially in the arid zones of Chagai and Kharan districts. The plains are also very hot in summer, with temperatures reaching . The record highest temperature, , was recorded in Sibi on 26 May 2010, exceeding the previous record, . Other hot areas include Turbat and Dalbandin. The desert climate is characterised by hot and very arid conditions. Occasionally, strong windstorms make these areas very inhospitable.
Government and politics
In common with the other provinces of Pakistan, Balochistan has a parliamentary form of government. The ceremonial head of the province is the Governor, who is appointed by the President of Pakistan on the advice of the provincial Chief Minister. The Chief Minister, the province's chief executive, is normally the leader of the largest political party or alliance of parties in the provincial assembly.
The unicameral Provincial Assembly of Balochistan comprises 65 seats of which 11 are reserved for women and 3 reserved for non-Muslims. The judicial branch of government is carried out by the Balochistan High Court, which is based in Quetta and headed by a Chief Justice.
Besides dominant Pakistan-wide political parties (such as the Pakistan Tehreek-e-Insaf, Pakistan Muslim League (N) and the Pakistan Peoples Party), Balochistan nationalist parties (such as the National Party and the Balochistan National Party (Mengal)) have been prominent in the province.
Administrative divisions
For administrative purposes, the province is divided into seven divisions: Kalat, Makran, Nasirabad, Quetta, Sibi, Zhob and Rakhshan. This divisional level was abolished in 2000, but restored after the 2008 election. Each division is under an appointed commissioner. The seven divisions are further subdivided into 36 districts:
As of June 2021, there are eight divisions. The eighth division, Loralai Division was created by bifurcating Zhob Division.
Demographics
Balochistan's population density is low due to the mountainous terrain and scarcity of water. In March 2012, preliminary census figures showed that the population of Balochistan, not including the districts of Khuzdar, Kech and Panjgur, had reached 13,162,222, an increase of 139.3% from 5,501,164 in 1998. The population constituted 6.85% of Pakistan's total population. This was the largest increase in population in any province of Pakistan during that time period, almost thrice the national increase of 46.9%. Official estimates of Balochistan's population grew from approximately 7.45 million in 2003 to 7.8 million in 2005. The 2017 Census enumerated a population of 12,344,408.
Languages and ethnicities
According to the preliminary results of the 2017 census, the languages with the most native speakers in the province are Balochi, spoken by 35.49% of the population, and Pashto, whose share at 35.34% is a marked increase on the 1998 census, when it stood at 29.6%. The Pasthuns mainly inhabit the north of Balochistan and form the majority in Quetta. Baloch on the other hand are found throughout Balochistan, but most highly concentrated in the west and south of the province. Brahui is spoken by 17.12% mainly in the central part of Balochistan. Other languages include Sindhi (%), Saraiki (%), Punjabi (%), and Urdu (%).
Balochi forms the majority in 21 districts and Pashto forms majority in 9 districts of Balochistan. Brahui has majority in 4 districts. In the Lasbela, Hub districts and in Kachhi plain region a large minority of the population speaks Lasi and Siraiki, which are dialects of Sindhi.
According to the Ethnologue, households speaking Balochi, whose primary dialect is Makrani constitutes 13%, Rukhshani 10%, Sulemani 7%, and Khetrani 3% of the population. Other languages spoken are Lasi, Urdu, Punjabi, Hazargi, Sindhi, Saraiki, Dehvari, Dari, Tajik, Hindko, Uzbek, and Hindki.
The 2005 census concerning Afghans in Pakistan showed that a total of 769,268 Afghan refugees were temporarily staying in Balochistan. However, there are probably fewer Afghans living in Balochistan today as many refugees repatriated in 2013. As of 2015, there are only 327,778 registered Afghan refugees according to the UNHCR.
Religion
According to the 2017 Census, nearly all of the population of Balochistan were Muslims. There were also Hindu and Christian minorities in the province. The Hindu population in the province was approximately 49,133 (including the Scheduled Castes). The Shri Hinglaj Mata mandir which is the largest Hindu pilgrimage centre in Pakistan is situated in Balochistan. There was also a Christian minority of 26,462 individuals in the province.
Education
The literacy rate of the province in 2017 was 43.6%, an increase from 24.8% in 1998.
Medical colleges
Bolan University of Medical & Health Sciences
Makran Medical College, Turbat
Engineering universities
Balochistan University of Engineering and Technology, Khuzdar
Balochistan University of Information Technology, Engineering and Management Sciences, Quetta
General universities
University of Balochistan, Quetta
Al-Hamd Islamic University, Quetta
Sardar Bahadur Khan Women's University, Quetta
Lasbela University of Agriculture, Water and Marine Sciences, Lasbela
University of Turbat, Turbat
University of Loralai, Loralai
University of Gwadar, Gwadar
Economy
The economy of Balochistan is largely based upon agriculture, livestock, fisheries, production of natural gas, coal and other minerals.
Though agriculture and livestock play a dominant role in the provincial economy by contributing 47% of its GDP, it faced intense damages due to the 2022 Pakistan floods. The floods killed around 500,000 of Balochistan's livestock and damaged cultivation and agricultural output in 32 out of 35 districts of the province. The Lasbela district was the worst hit as the floods washed away fourt-fifth's of the homes, crops and livestock. Due to the floods and severe drought conditions, the province faces food insecurity and is 85% dependent on the Sindh and Punjab provinces for the supply of wheat.
Furthermore, with the exception of Quetta, Balochistan has been called a "neglected province where a majority of population lacks amenities". Although the province is rich in natural resources capable of uplifting its economy, most of them have not been fully utilised for the welfare of the population and are yet to be explored or developed.
Since the mid-1970s the province's contribution to Pakistan's GDP has dropped from 4.9 to 3.7%, and as of 2007 it had the highest poverty rate and infant and maternal mortality rate, and the lowest literacy rate in comparison to other provinces, factors some allege have contributed to the insurgency. However, in seventh NFC awards, Punjab province and Federal contributed to increase Baluchistan share more than its entitled population based share. In Balochistan poverty is increasing. In 2001–2002 poverty incidences were at 48% and by 2005–2006 these were at 50.9%. According to a report on Dawn, the rate of multidimensional poverty in Balochistan had risen to 71% by 2016.
Several major development projects, including the construction of a new deep sea port at the strategically important town of Gwadar, are in progress in Balochistan. The port is projected to be the hub of an energy and trade corridor to and from China, Middle East and the Central Asian republics. The Mirani Dam on the Dasht River, west of Turbat in the Makran Division, is being built to provide water to expand agricultural land use by where it would otherwise be unsustainable. In the district Lasbela, there is an oil refinery owned by Byco International Incorporated (BII), which is capable of processing 120,000 barrels of oil per day. A power station is located adjacent to the refinery. Several cement plants and a marble factory are also located there. One of the world's largest ship breaking yards is located on the coast.
Natural resource extraction
Balochistan's share of Pakistan's national income has historically ranged between 3.7% to 4.9%. Since 1972, Balochistan's gross income has grown in size by 2.7 times. Outside Quetta, the resource extraction infrastructure of the province is gradually developing but still lags far behind other parts of Pakistan.
The agreements for royalty rights and ownership of mineral rights were reached during a period of unprecedented natural disasters, economic, social, political, and cultural unrest in Pakistan. The negotiations were widely considered to be insufficiently transparent.
Culture
Tourism
Places of interest
Following is a list of a few tourist attractions and places of interest in Balochistan:
Astola Island
Bolan Pass
Dureji
Gadani Beach
Gadani Ship Breaking Yard
Gwadar
Hanna Lake
Hazarganji-Chiltan National Park, near Quetta.
Hinglaj Mata Temples
Hingol National Park
Hub Dam
Jiwani Coastal Wetland
Khuzdar
Kund Malir
Makran Coastal Highway
Mehrgarh
Moola Chotok
Pir Ghaib Waterfall, Balochistan
Quaid-e-Azam Residency
Quetta
The princess of hope, Balochistan
Urak Valley
Zhob
Ziarat Juniper Forest
Ziarat
Villages
Kappar
Lahor
See also
Balochistan (geographic region)
Balochistan, Afghanistan
Balochistan, Iran
Goth Gorshani
List of cities in Balochistan, Pakistan by population
List of cultural heritage sites in Balochistan, Pakistan
Insurgency in Balochistan
Randghar China
References
Further reading
Philippe Fabry, Balouchistan, le désert insoumis, Paris, Nathan Image, 1991, 136 p.,
External links
Sibi District;
Guide to Balochistan
Balochistan Archives—Preserving our Past
1970 establishments in Pakistan
Provinces of Pakistan
States and territories established in 1970 | 10 |
William Magear Tweed (April 3, 1823 – April 12, 1878), often erroneously referred to as William "Marcy" Tweed (see below), and widely known as "Boss" Tweed, was an American politician most notable for being the political boss of Tammany Hall, the Democratic Party's political machine that played a major role in the politics of 19th-century New York City and state.
At the height of his influence, Tweed was the third-largest landowner in New York City, a director of the Erie Railroad, a director of the Tenth National Bank, a director of the New-York Printing Company, the proprietor of the Metropolitan Hotel, a significant stockholder in iron mines and gas companies, a board member of the Harlem Gas Light Company, a board member of the Third Avenue Railway Company, a board member of the Brooklyn Bridge Company, and the president of the Guardian Savings Bank.
Tweed was elected to the United States House of Representatives in 1852 and the New York County Board of Supervisors in 1858, the year that he became the head of the Tammany Hall political machine. He was also elected to the New York State Senate in 1867. However, Tweed's greatest influence came from being an appointed member of a number of boards and commissions, his control over political patronage in New York City through Tammany, and his ability to ensure the loyalty of voters through jobs he could create and dispense on city-related projects.
Tweed was convicted for stealing an amount estimated by an aldermen's committee in 1877 at between $25 million and $45 million from New York City taxpayers from political corruption, but later estimates ranged as high as $200 million. Unable to make bail, he escaped from jail once but was returned to custody. He died in the Ludlow Street Jail.
Early life and education
Tweed was born April 3, 1823, at 1 Cherry Street, on the Lower East Side of Manhattan. The son of a third-generation Scottish chair-maker, Tweed grew up on Cherry Street. His grandfather arrived in the United States from a town near the River Tweed close to Edinburgh. Tweed's religious affiliation was not widely known in his lifetime, but at the time of his funeral The New York Times, quoting a family friend, reported that his parents had been Quakers and "members of the old Rose Street Meeting house". At the age of 11, he left school to learn his father's trade, and then became an apprentice to a saddler. He also studied to be a bookkeeper and worked as a brushmaker for a company he had invested in, before eventually joining in the family business in 1852. On September 29, 1844, he married Mary Jane C. Skaden and lived with her family on Madison Street for two years.
Early career
Tweed became a member of the Odd Fellows and the Masons, and joined a volunteer fire company, Engine No. 12. In 1848, at the invitation of state assemblyman John J. Reilly, he and some friends organized the Americus Fire Company No. 6, also known as the "Big Six", as a volunteer fire company, which took as its symbol a snarling red Bengal tiger from a French lithograph, a symbol which remained associated with Tweed and Tammany Hall for many years. At the time, volunteer fire companies competed vigorously with each other; some were connected with street gangs and had strong ethnic ties to various immigrant communities. The competition could become so fierce, that burning buildings would sometimes be ignored as the fire companies fought each other. Tweed became known for his ax-wielding violence, and was soon elected the Big Six foreman. Pressure from Alfred Carlson, the chief engineer, got him thrown out of the crew. However, fire companies were also recruiting grounds for political parties at the time, thus Tweed's exploits came to the attention of the Democratic politicians who ran the Seventh Ward. The Seventh Ward put him up for Alderman in 1850, when Tweed was 26. He lost that election to the Whig candidate Morgan Morgans, but ran again the next year and won, garnering his first political position. Tweed then became associated with the "Forty Thieves", the group of aldermen and assistant aldermen who, up to that point, were known as some of the most corrupt politicians in the city's history.
Tweed was elected to the United States House of Representatives in 1852, but his two-year term was undistinguished. In an attempt by Republican reformers in Albany, the state capital, to control the Democratic-dominated New York City government, the power of the New York County Board of Supervisors was beefed up. The board had 12 members, six appointed by the mayor and six elected, and in 1858 Tweed was appointed to the board, which became his first vehicle for large-scale graft; Tweed and other supervisors forced vendors to pay a 15% overcharge to their "ring" in order to do business with the city. By 1853, Tweed was running the seventh ward for Tammany. The board also had six Democrats and six Republicans, but Tweed often just bought off one Republican to sway the board. One such Republican board member was Peter P. Voorhis, a coal dealer by profession who absented himself from a board meeting in exchange for $2,500 so that the board could appoint city inspectors. Henry Smith was another Republican that was a part of the Tweed ring.
Although he was not trained as a lawyer, Tweed's friend, Judge George G. Barnard, certified him as an attorney, and Tweed opened a law office on Duane Street. He ran for sheriff in 1861 and was defeated, but became the chairman of the Democratic General Committee shortly after the election, and was then chosen to be the head of Tammany's general committee in January 1863. Several months later, in April, he became "Grand Sachem", and began to be referred to as "Boss", especially after he tightened his hold on power by creating a small executive committee to run the club. Tweed then took steps to increase his income: he used his law firm to extort money, which was then disguised as legal services; he had himself appointed deputy street commissioner – a position with considerable access to city contractors and funding; he bought the New-York Printing Company, which became the city's official printer, and the city's stationery supplier, the Manufacturing Stationers' Company, and had both companies begin to overcharge the city government for their goods and services. Among other legal services he provided, he accepted almost $100,000 from the Erie Railroad in return for favors. He also became one of the largest owners of real estate in the city. He also started to form what became known as the "Tweed Ring", by having his friends elected to office: George G. Barnard was elected Recorder of New York City; Peter B. Sweeny was elected New York County District Attorney; and Richard B. Connolly was elected City Comptroller. Other judicial members of the Tweed ring included Albert Cardozo, John McCunn, and John K. Hackett.
When Grand Sachem Isaac Fowler, who had produced the $2,500 to buy off the Republican Voorhis on the Board of Supervisors, was found to have stolen $150,000 in post office receipts, the responsibility for Fowler's arrest was given to Isaiah Rynders, another Tammany operative who was serving as a United States marshal at the time. Rynders made enough ruckus upon entering the hotel where Fowler was staying that Fowler was able to escape to Mexico.
With his new position and wealth came a change in style: Tweed began to favor wearing a large diamond in his shirtfront – a habit that Thomas Nast used to great effect in his attacks on Tweed in Harper's Weekly beginning in 1869 – and he bought a brownstone to live in at 41 West 36th Street, then a very fashionable area. He invested his now considerable illegal income in real estate, so that by the late 1860s he ranked among the biggest landowners in New York City.
Tweed became involved in the operation of the New York Mutuals, an early professional baseball club, in the 1860s. He brought in thousands of dollars per home game by dramatically increasing the cost of admission and gambling on the team. He has been credited with originating the practice of spring training in 1869 by sending the club south to New Orleans to prepare for the season.
Tweed was a member of the New York State Senate (4th D.) from 1868 to 1873, sitting in the 91st, 92nd, 93rd, and 94th New York State Legislatures, but not taking his seat in the 95th and 96th New York State Legislatures. While serving in the State Senate, he split his time between Albany, New York and New York City. While in Albany, he stayed in a suite of seven rooms in Delevan House. Accompanying him in his rooms were his favorite canaries. Guests are presumed to have included members of the Black Horse Cavalry, thirty state legislators whose votes were up for sale. In the Senate he helped financiers Jay Gould and Big Jim Fisk to take control of the Erie Railroad from Cornelius Vanderbilt by arranging for legislation that legitimized fake Erie stock certificates that Gould and Fisk had issued. In return, Tweed received a large block of stock and was made a director of the company.
Corruption
After the election of 1869, Tweed took control of the New York City government. His protégé, John T. Hoffman, the former mayor of the city, won election as governor, and Tweed garnered the support of good-government reformers like Peter Cooper and the Union League Club, by proposing a new city charter which returned power to City Hall at the expense of the Republican-inspired state commissions. The new charter passed, thanks in part to $600,000 in bribes Tweed paid to Republicans, and was signed into law by Hoffman in 1870. Mandated new elections allowed Tammany to take over the city's Common Council when they won all fifteen aldermanic contests.
The new charter put control of the city's finances in the hands of a Board of Audit, which consisted of Tweed, who was Commissioner of Public Works, Mayor A. Oakey Hall and Comptroller Richard "Slippery Dick" Connolly, both Tammany men. Hall also appointed other Tweed associates to high offices – such as Peter B. Sweeny, who took over the Department of Public Parks – providing what became known as the Tweed Ring with even firmer control of the New York City government and enabling them to defraud the taxpayers of many more millions of dollars. In the words of Albert Bigelow Paine, "their methods were curiously simple and primitive. There were no skilful manipulations of figures, making detection difficult ... Connolly, as Controller, had charge of the books, and declined to show them. With his fellows, he also 'controlled' the courts and most of the bar." Crucially, the new city charter allowed the Board of Audit to issue bonds for debt in order to finance opportunistic capital expenditures the city otherwise could not afford. This ability to float debt was enabled by Tweed's guidance and passage of the Adjusted Claims Act in 1868. Contractors working for the city – "Ring favorites, most of them – were told to multiply the amount of each bill by five, or ten, or a hundred, after which, with Mayor Hall's 'O. K.' and Connolly's endorsement, it was paid ... through a go-between, who cashed the check, settled the original bill and divided the remainder ... between Tweed, Sweeny, Connolly and Hall".
For example, the construction cost of the New York County Courthouse, begun in 1861, grew to nearly $13 million—about $434,730,541 in 2022 dollars, and nearly twice the cost of the Alaska Purchase in 1867.
"A carpenter was paid $360,751 (roughly $4.9 million today) for one month's labor in a building with very little woodwork ... a plasterer got $133,187 ($1.82 million) for two days' work". Tweed bought a marble quarry in Sheffield, Massachusetts, to provide much of the marble for the courthouse at great profit to himself. After the Tweed Charter to reorganize the city's government was passed in 1870, four commissioners for the construction of the New York County Courthouse were appointed. The commission never held a meeting, though each commissioner received a 20% kickback from the bills for the supplies.
Tweed and his friends also garnered huge profits from the development of the Upper East Side, especially Yorkville and Harlem. They would buy up undeveloped property, then use the resources of the city to improve the area – for instance by installing pipes to bring in water from the Croton Aqueduct – thus increasing the value of the land, after which they sold and took their profits. The focus on the east side also slowed down the development of the west side, the topography of which made it more expensive to improve. The ring also took their usual percentage of padded contracts, as well as raking off money from property taxes. Despite the corruption of Tweed and Tammany Hall, they did accomplish the development of upper Manhattan, though at the cost of tripling the city's bond debt to almost $90 million.
During the Tweed era, the proposal to build a suspension bridge between New York and Brooklyn, then an independent city, was floated by Brooklyn-boosters, who saw the ferry connections as a bottleneck to Brooklyn's further development. In order to ensure that the Brooklyn Bridge project would go forward, State Senator Henry Cruse Murphy approached Tweed to find out whether New York's aldermen would approve the proposal. Tweed's response was that $60,000 for the aldermen would close the deal, and contractor William C. Kingsley put up the cash, which was delivered in a carpet bag. Tweed and two others from Tammany also received over half the private stock of the Bridge Company, the charter of which specified that only private stockholders had voting rights, so that even though the cities of Brooklyn and Manhattan put up most of the money, they essentially had no control over the project.
Tweed bought a mansion on Fifth Avenue and 43rd Street, and stabled his horses, carriages and sleighs on 40th Street. By 1871, he was a member of the board of directors of not only the Erie Railroad and the Brooklyn Bridge Company, but also the Third Avenue Railway Company and the Harlem Gas Light Company. He was president of the Guardian Savings Banks and he and his confederates set up the Tenth National Bank to better control their fortunes.
Scandal
Tweed's downfall began in 1871. James Watson, who was a county auditor in Comptroller Dick Connolly's office and who also held and recorded the ring's books, died a week after his head was smashed by a horse in a sleigh accident on January 21, 1871. Although Tweed guarded Watson's estate in the week prior to Watson's death, and although another ring member attempted to destroy Watson's records, a replacement auditor, Matthew O'Rourke, associated with former sheriff James O'Brien, provided city accounts to O'Brien. The Orange riot of 1871 in the summer of that year did not help the ring's popularity. The riot was prompted after Tammany Hall banned a parade of Irish Protestants celebrating a historical victory against Catholicism, namely the Battle of the Boyne. The parade was banned because of a riot the previous year in which eight people died when a crowd of Irish Catholic laborers attacked the paraders. Under strong pressure from the newspapers and the Protestant elite of the city, Tammany reversed course, and the march was allowed to proceed, with protection from city policemen and state militia. The result was an even larger riot in which over 60 people were killed and more than 150 injured.
Although Tammany's electoral power base was largely centered in the Irish immigrant population, it also needed both the city's general population and elite to acquiesce in its rule, and this was conditional on the machine's ability to control the actions of its people. The July riot showed that this capability was not nearly as strong as had been supposed.
Tweed had for months been under attack from The New York Times and Thomas Nast, the cartoonist from Harper's Weekly – regarding Nast's cartoons, Tweed reportedly said, "Stop them damned pictures. I don't care so much what the papers say about me. My constituents don't know how to read, but they can't help seeing them damned pictures!" – but their campaign had only limited success in gaining traction. They were able to force an examination of the city's books, but the blue-ribbon commission of six businessmen appointed by Mayor A. Oakey Hall, a Tammany man, which included John Jacob Astor III, banker Moses Taylor and others who benefited from Tammany's actions, found that the books had been "faithfully kept", letting the air out of the effort to dethrone Tweed.
The response to the Orange riot changed everything, and only days afterwards the Times/Nast campaign began to garner popular support. More important, the Times started to receive inside information from County Sheriff James O'Brien, whose support for Tweed had fluctuated during Tammany's reign. O'Brien had tried to blackmail Tammany by threatening to expose the ring's embezzlement to the press, and when this failed he provided the evidence he had collected to the Times. Shortly afterward, county auditor Matthew J. O'Rourke supplied additional details to the Times, which was reportedly offered $5 million to not publish the evidence. The Times also obtained the accounts of the recently deceased James Watson, who was the Tweed Ring's bookkeeper, and these were published daily, culminating in a special four-page supplement on July 29 headlined "Gigantic Frauds of the Ring Exposed". In August, Tweed began to transfer ownership in his real-estate empire and other investments to his family members.
The exposé provoked an international crisis of confidence in New York City's finances, and, in particular, in its ability to repay its debts. European investors were heavily positioned in the city's bonds and were already nervous about its management – only the reputations of the underwriters were preventing a run on the city's securities. New York's financial and business community knew that if the city's credit were to collapse, it could potentially bring down every bank in the city with it.
Thus, the city's elite met at Cooper Union in September to discuss political reform: but for the first time, the conversation included not only the usual reformers, but also Democratic bigwigs such as Samuel J. Tilden, who had been thrust aside by Tammany. The consensus was that the "wisest and best citizens" should take over the governance of the city and attempt to restore investor confidence. The result was the formation of the Executive Committee of Citizens and Taxpayers for Financial Reform of the city (also known as "the Committee of Seventy"), which attacked Tammany by cutting off the city's funding. Property owners refused to pay their municipal taxes, and a judge—Tweed's old friend George Barnard—enjoined the city Comptroller from issuing bonds or spending money. Unpaid workers turned against Tweed, marching to City Hall demanding to be paid. Tweed doled out some funds from his own purse—$50,000—but it was not sufficient to end the crisis, and Tammany began to lose its essential base.
Shortly thereafter, the Comptroller resigned, appointing Andrew Haswell Green, an associate of Tilden, as his replacement. Green loosened the purse strings again, allowing city departments not under Tammany control to borrow money to operate. Green and Tilden had the city's records closely examined, and discovered money that went directly from city contractors into Tweed's pocket. The following day, they had Tweed arrested.
Imprisonment, escape, and death
Tweed was released on $1 million bail, and Tammany set to work to recover its position through the ballot box. Tweed was re-elected to the state senate in November 1871, due to his personal popularity and largesse in his district, but in general Tammany did not do well, and the members of the Tweed Ring began to flee the jurisdiction, many going overseas. Tweed was re-arrested, forced to resign his city positions, and was replaced as Tammany's leader. Once again, he was released on bail—$8 million this time—but Tweed's supporters, such as Jay Gould, felt the repercussions of his fall from power.
Tweed's first trial before Judge Noah Davis, in January 1873, ended when the jury was unable to deliver a verdict. Tweed's defense counsel included David Dudley Field II and Elihu Root. His retrial, again before Judge Noah Davis in November resulted in convictions on 204 of 220 counts, a fine of $12,750 (the equivalent of $ today) and a prison sentence of 12 years; a higher court, however, reduced Tweed's sentence to one year. After his release from The Tombs prison, New York State filed a civil suit against Tweed, attempting to recover $6 million in embezzled funds. Unable to put up the $3 million bail, Tweed was locked up in the Ludlow Street Jail, although he was allowed home visits. During one of these on December 4, 1875, Tweed escaped and fled to Spain, where he worked as a common seaman on a Spanish ship. The U.S. government discovered his whereabouts and arranged for his arrest once he reached the Spanish border, where he was recognized from Nast's political cartoons. He was turned over to an American warship, the , which delivered him to authorities in New York City on November 23, 1876, and he was returned to prison.
Desperate and broken, Tweed now agreed to testify about the inner workings of the Tweed Ring to a special committee set up by the Board of Aldermen in return for his release, but after he did so, Tilden, now governor of New York, refused to abide by the agreement, and Tweed remained incarcerated. He died in the Ludlow Street Jail on April 12, 1878, from severe pneumonia, and was buried in Brooklyn's Green-Wood Cemetery. Mayor Smith Ely would not allow the flag at City Hall to be flown at half staff.
Evaluations
According to Tweed biographer Kenneth D. Ackerman:It's hard not to admire the skill behind Tweed's system ... The Tweed ring at its height was an engineering marvel, strong and solid, strategically deployed to control key power points: the courts, the legislature, the treasury and the ballot box. Its frauds had a grandeur of scale and an elegance of structure: money-laundering, profit sharing and organization.
A minority view that Tweed was mostly innocent is presented in a scholarly biography by history professor Leo Hershkowitz. He states:Except for Tweed's own very questionable "confession," there really was no evidence of a "Tweed Ring," no direct evidence of Tweed's thievery, no evidence, excepting the testimony of the informer contractors, of "wholesale" plunder by Tweed....[Instead there was] a conspiracy of self-justification of the corruption of the law by the upholders of that law, of a venal irresponsible press and a citizenry delighting in the exorcism of witchery.
In depictions of Tweed and the Tammany Hall organization, most historians have emphasized the thievery and conspiratorial nature of Boss Tweed, along with lining his own pockets and those of his friends and allies. The theme is that the sins of corruption so violated American standards of political rectitude that they far overshadow Tweed's positive contributions to New York City.
Although he held numerous important public offices and was one of a handful of senior leaders of Tammany Hall, as well as the state legislature and the state Democratic Party, Tweed was never the sole "boss" of New York City. He shared control of the city with numerous less famous people, such as the villains depicted in Nast's famous circle of guilt cartoon shown above. Seymour J. Mandelbaum has argued that, apart from the corruption he engaged in, Tweed was a modernizer who prefigured certain elements of the Progressive Era in terms of more efficient city management. Much of the money he siphoned off from the city treasury went to needy constituents who appreciated the free food at Christmas time and remembered it at the next election, and to precinct workers who provided the muscle of his machine. As a legislator he worked to expand and strengthen welfare programs, especially those by private charities, schools, and hospitals. With a base in the Irish Catholic community, he opposed efforts of Protestants to require the reading of the King James Bible in public schools, which was done deliberately to keep out Catholics. He facilitated the founding of the New York Public Library, even though one of its founders, Samuel Tilden, was Tweed's sworn enemy in the Democratic Party.
Tweed recognized that the support of his constituency was necessary for him to remain in power, and as a consequence he used the machinery of the city's government to provide numerous social services, including building more orphanages, almshouses and public baths. Tweed also fought for the New York State Legislature to donate to private charities of all religious denominations, and subsidize Catholic schools and hospitals. From 1869 to 1871, under Tweed's influence, the state of New York spent more on charities than for the entire time period from 1852 to 1868 combined.
During Tweed's regime, the main business thoroughfare Broadway was widened between 34th Street and 59th Street, land was secured for the Metropolitan Museum of Art, and the Upper East Side and Upper West Side were developed and provided the necessary infrastructure – all to the benefit of the purses of the Tweed Ring.
Hershkowitz blames the implications of Thomas Nast in Harper's Weekly and the editors of The New York Times, which both had ties to the Republican party. In part, the campaign against Tweed diverted public attention from Republican scandals such as the Whiskey Ring.
Tweed himself wanted no particular recognition of his achievements, such as they were. When it was proposed, in March 1871, when he was at the height of his power, that a statue be erected in his honor, he declared: "Statues are not erected to living men ... I claim to be a live man, and hope (Divine Providence permitting) to survive in all my vigor, politically and physically, some years to come." One of Tweed's unwanted legacies is that he has become "the archetype of the bloated, rapacious, corrupt city boss".
Middle name
Tweed never signed his middle name with anything other than a plain "M.", and his middle name is often mistakenly listed as "Marcy". His actual middle name was Magear, his mother's maiden name.
Confusion derived from a Nast cartoon with a picture of Tweed supplemented with a quote from William L. Marcy, the former governor of New York.
In popular culture
Arthur Train featured Tweed in his 1940 novel of life in Gilded Age New York, Tassels On Her Boots. Tweed is portrayed as having contempt for the people he rules, at one point saying that once he would have been a Baron, with a castle, levying tribute on the people. But now, "'Boss', they call me - and they are glad to have me."
In 1945, Tweed was portrayed by Noah Beery Sr. in the Broadway production of Up in Central Park, a musical comedy with music by Sigmund Romberg. The role was played by Malcolm Lee Beggs for a revival in 1947. In the 1948 film version, Tweed is played by Vincent Price.
On the 1963–1964 CBS TV series The Great Adventure, which presented one-hour dramatizations of the lives of historical figures, Edward Andrews portrayed Tweed in the episode "The Man Who Stole New York City", about the campaign by The New York Times to bring down Tweed. The episode aired on December 13, 1963.
In John Varley's 1977 science-fiction novel, The Ophiuchi Hotline, a crooked politician in a 27th-century human settlement on the Moon assumes the name "Boss Tweed" in emulation of the 19th-century politician, and names his lunar headquarters "Tammany Hall".
Tweed was played by Philip Bosco in the 1986 TV movie Liberty. According to a review of the film in The New York Times, it was Tweed who made the suggestion to call the Statue of Liberty by that name, instead of its formal name Liberty Enlightening the World, in order to read better in newspaper headlines.
Andrew O'Hehir of The New York Times notes that Forever, a 2003 novel by Pete Hamill, and Gangs of New York, a 2002 film, both "offer a significant supporting role to the legendary Manhattan political godfather Boss Tweed", among other thematic similarities. In a review of the latter work, Chuck Rudolph praised Jim Broadbent's portrayal of Tweed as "giving the role a masterfully heartless composure".
Tweed appears as an antagonist in the 2016 novel, Assassin's Creed Last Descendants where he is the Grand Master of the American Templars during the American Civil War.
See also
Elbert A. Woodward
Timothy "Big Tim" Sullivan
Tweed law
William J. Sharkey (murderer)
References
Notes
Bibliography
Ackerman, K. D. (2005). Boss Tweed: The rise and fall of the corrupt pol who conceived the soul of modern New York. New York: Carroll & Graf Publishers. .
Callow, Alexander B. (1966). The Tweed Ring. New York: Oxford University Press
Ellis, Edward R. (2004). The Epic of New York City: A Narrative History. Carroll & Graf Publishers. ,
Hershkowitz, Leo. Tweed's New York: Another Look. (New York: Anchor Press, 1977), online
"William Marcy [sic] Tweed" Encyclopedia.com (Cengage), May 23, 2018
Mandelbaum, Seymour J. (1965). Boss Tweed's New York. New York: John Wiley.
Paine, Albert B. (1974). Th. Nast, His Period and His Pictures. Princeton: Pyne Press. (The original edition, published in 1904, is now in the public domain.)
Sante, Lucy (2003). Low Life: Lures and Snares of Old New York. New York: Farrar, Straus, & Giroux.
Staff (July 4, 2005). "Boss Tweed", Gotham Gazette
Further reading
Lynch, Denis Tilden (2005) [1927]. Boss Tweed: The story of a grim generation. Ann Arbor, Michigan: Michigan Historical Reprint Series, Scholarly Publishing Office, University of Michigan.
External links
Green-Wood Cemetery page for WM Tweed
Map Showing the Portions of the City of New York and Westchester County under the Jurisdiction of the Department of Public Parks talks about Tweed's takeover of the New York City parks system, from the World Digital Library
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The Berber languages, also known as the Amazigh languages or Tamazight, are a branch of the Afroasiatic language family. They comprise a group of closely related but mostly mutually unintelligible languages spoken by Berber communities, who are indigenous to North Africa. The languages are primarily spoken and not typically written. Historically, they have been written with the ancient Libyco-Berber script, which now exists in the form of Tifinagh. Today, they may also be written in the Berber Latin alphabet or the Arabic script, with Latin being the most pervasive.
The Berber languages have a similar level of variety to the Romance languages, although they are sometimes referred to as a single collective language, often as "Berber", "Tamazight", or "Amazigh". The languages, with a few exceptions, form a dialect continuum. There is debate as to how to best sub-categorize languages within the Berber branch. Berber languages typically follow verb–subject–object word order. Their phonological inventories are diverse.
Millions of people in Morocco and Algeria natively speak a Berber language, as do smaller populations of Libya, Tunisia, northern Mali, western and northern Niger, northern Burkina Faso and Mauritania and the Siwa Oasis of Egypt. There are also likely a few million speakers of Berber languages in Western Europe. Tashlhiyt, Kabyle, Central Atlas Tamazight, Tarifit, and Shawiya are some of the most commonly spoken Berber languages. Exact numbers are impossible to ascertain as there are few modern North African censuses that include questions on language use, and what censuses do exist have known flaws.
Following independence in the 20th century, the Berber languages have been suppressed and suffered from low prestige in North Africa. Recognition of the Berber languages has been growing in the 21st century, with Morocco and Algeria adding Tamazight as an official language to their constitutions in 2011 and 2016 respectively.
Most Berber languages have a high percentage of borrowing and influence from the Arabic language, as well as from other languages. For example, Arabic loanwords represent 35% to 46% of the total vocabulary of the Kabyle language and represent 51.7% of the total vocabulary of Tarifit. Almost all Berber languages took from Arabic the pharyngeal fricatives /ʕ/ and /ħ/, the (nongeminated) uvular stop /q/, and the voiceless pharyngealized consonant /ṣ/.
Terminology
"Tamazight" and "Berber languages" are often used interchangeably. However, "Tamazight" is sometimes used to refer to a specific subset of Berber languages, such as Central Tashlhiyt. "Tamazight" can also be used to refer to Standard Moroccan Tamazight or Standard Algerian Tamazight, as in the Moroccan and Algerian constitutions respectively. In Morocco, besides referring to all Berber languages or to Standard Moroccan Tamazight, "Tamazight" is often used in contrast to Tashelhit and Tarifit to refer to Central Atlas Tamazight.
The use of Berber has been the subject of debate due to its historical background as an exonym and present equivalence with the Arabic word for "barbarian." One group, the Linguasphere Observatory, has attempted to introduce the neologism "Tamazic languages" to refer to the Berber languages. Amazigh people typically use "Tamazight" when speaking English. Historically, Berbers did not refer to themselves as Berbers/Amazigh but had their own terms to refer to themselves. For example, the Kabyles use the term "Leqbayel" to refer to their own people, while the Chaouis identified themselves as "Ishawiyen" instead of Berber/Amazigh.
Origin
Since modern Berber languages are relatively homogeneous, the date of the Proto-Berber language from which the modern group is derived was probably comparatively recent, comparable to the age of the Germanic or Romance subfamilies of the Indo-European family. In contrast, the split of the group from the other Afroasiatic sub-phyla is much earlier, and is therefore sometimes associated with the local Mesolithic Capsian culture. A number of extinct populations are believed to have spoken Afroasiatic languages of the Berber branch. According to Peter Behrens and Marianne Bechaus-Gerst, linguistic evidence suggests that the peoples of the C-Group culture in present-day southern Egypt and northern Sudan spoke Berber languages. The Nilo-Saharan Nobiin language today contains a number of key loanwords related to pastoralism that are of Berber origin, including the terms for sheep and water/Nile. This in turn suggests that the C-Group population—which, along with the Kerma culture, inhabited the Nile valley immediately before the arrival of the first Nubian speakers—spoke Afroasiatic languages.
Orthography
Berber languages are primarily oral languages without a major written component. Historically, they were written with the Libyco-Berber script. Early uses of the script have been found on rock art and in various sepulchres; the oldest known variations of the script dates to inscriptions in Dugga from 600 BC. Usage of this script, in the form of Tifinagh, has continued into the present day among the Tuareg people. Following the spread of Islam, some Berber scholars also utilized the Arabic script. The Berber Latin alphabet was developed following the introduction of the Latin script in the nineteenth century by the West. The nineteenth century also saw the development of Neo-Tifinagh, an adaptation of Tuareg Tifinagh for use with other Berber languages.
There are now three writing systems in use for Berber languages: Tifinagh, the Arabic script, and the Berber Latin alphabet, with the Latin alphabet being the most widely used today.
Subclassification
With the exception of Zenaga, Tetserret, and Tuareg, the Berber languages form a dialect continuum. Different linguists take different approaches towards drawing boundaries between languages in this continuum. Maarten Kossmann notes that it is difficult to apply the classic tree model of historical linguistics towards the Berber languages:[The Berber language family]'s continuous history of convergence and differentiation along new lines makes an definition of branches arbitrary. Moreover, mutual intelligibility and mutual influence render notions such as "split" or "branching" rather difficult to apply except, maybe, in the case of Zenaga and Tuareg.Kossmann roughly groups the Berber languages into seven blocks:
Western (Zenaga, Tetserret)
Tuareg
Western Moroccana. southwestern and central Moroccan languages (Tashelhiyt, most of Central Atlas Tamazight)b. northwestern Moroccan languages (Ghomara, Senhadja de Sraïr)
Zenatic (a dialect continuum stretching from eastern Morocco to the Siwa Oasis)
Kabyle
Ghadames
Awjila
The Zenatic block is typically divided into the Zenati and Eastern Berber branches, due to the marked difference in features at each end of the continuum. Otherwise, subclassifications by different linguists typically combine various blocks into different branches. Western Moroccan languages, Zenati languages, Kabyle, and Ghadames may be grouped under Northern Berber; Awjila is often included as an Eastern Berber language alongside Siwa, Sokna, and El Foqaha. These approaches divide the Berber languages into Northern, Southern (Tuareg), Eastern, and Western varieties.
Population
The vast majority of speakers of Berber languages are concentrated in Morocco and Algeria. The exact population of speakers has been historically difficult to ascertain due to lack of official recognition.
Morocco
Morocco is the country with the greatest number of speakers of Berber languages. As of 2022, Ethnologue estimates there to be 13.8 million speakers of Berber languages in Morocco, based on figures from 2016 and 2017.
In 1960, the first census after Moroccan independence was held. It claimed that 32 percent of Moroccans spoke a Berber language, including bi-, tri- and quadrilingual people. The 2004 census found that 3,894,805 Moroccans over five years of age spoke Tashelhit, 2,343,937 spoke Central Atlas Tamazight, and 1,270,986 spoke Tarifit, representing 14.6%, 8.8%, and 4.8% respectively of the surveyed population, or roughly 28.2% of the surveyed population combined. The 2014 census found that 14.1% of the population spoke Tashelhit, 7.9% spoke Central Atlas Tamazight, and 4% spoke Tarifit, or about 26% of the population combined.
These estimates, as well as the estimates from various academic sources, are summarized as follows:
Algeria
Algeria is the country with the second greatest number of speakers of Berber languages. In 1906, the total population speaking Berber languages in Algeria, excluding the thinly populated Sahara region, was estimated at 1,305,730 out of 4,447,149, or 29%. Secondary sources disagree on the percentage of self-declared native Berber speakers in the 1966 census, the last Algerian census containing a question about the mother tongue. Some give 17.9% while other report 19%.
Kabyle speakers account for the vast majority of speakers of Berber languages in Algeria. Shawiya is the second most commonly spoken Berber language in Algeria. Other Berber languages spoken in Algeria include: Shenwa, with 76,300 speakers; Tashelhit, with 6,000 speakers; Ouargli, with 20,000 speakers; Tamahaq, with 71,400 speakers; Tugurt, with 8,100 speakers; Tidikelt, with 1,000 speakers; Gurara, with 11,000 speakers; and Mozabite, with 150,000 speakers.
Population estimates are summarized as follows:
Other countries
As of 1998, there were an estimated 450,000 Tawellemmet speakers, 250,000 Air Tamajeq speakers, and 20,000 Tamahaq speakers in Niger.
As of 2018 and 2014 respectively, there were an estimated 420,000 speakers of Tawellemmet and 378,000 of Tamasheq in Mali.
As of 2022, based on figures from 2020, Ethnologue estimates there to be 285,890 speakers of Berber languages in Libya: 247,000 speakers of Nafusi, 22,800 speakers of Tamahaq, 13,400 speakers of Ghadamés, and 2,690 speakers of Awjila. The number of Siwi speakers in Libya is listed as negligible, and the last Sokna speaker is thought to have died in the 1950s.
There are an estimated 50,000 Djerbi speakers in Tunisia, based on figures from 2004. Sened is likely extinct, with the last speaker having died in the 1970s. Ghadamés, though not indigenous to Tunisia, is estimated to have 3,100 speakers throughout the country. Chenini is one of the rare remaining Berber-speaking villages in Tunisia.
There are an estimated 20,000 Siwi speakers in Egypt, based on figures from 2013.
As of 2018 and 2017 respectively, there were an estimated 200 speakers of Zenaga and 117,000 of Tamasheq in Mauritania.
As of 2009, there were an estimated 122,000 Tamasheq speakers in Burkina Faso.
There are an estimated 1.5 million speakers of various Berber languages in France. A small number of Tawellemmet speakers live in Nigeria.
In total, there are an estimated 3.6 million speakers of Berber languages in countries outside of Morocco and Algeria, summarized as follows:
Status
After independence, all the Maghreb countries to varying degrees pursued a policy of Arabisation, aimed partly at displacing French from its colonial position as the dominant language of education and literacy. Under this policy the use of the Berber languages was suppressed or even banned. This state of affairs has been contested by Berbers in Morocco and Algeria—especially Kabylie—and was addressed in both countries by affording the language official status and introducing it in some schools.
Morocco
After gaining independence from France in 1956, Morocco began a period of Arabisation through 1981, with primary and secondary school education gradually being changed to Arabic instruction, and with the aim of having administration done in Arabic, rather than French. During this time, there were riots amongst the Amazigh population, which called for the inclusion of Tamazight as an official language.
The 2000 Charter for Education Reform marked a change in policy, with its statement of "openness to Tamazight."
Planning for a public Tamazight-language TV network began in 2006; in 2010, the Moroccan government launched Tamazight TV.
On July 29, 2011, Tamazight was added as an official language to the Moroccan constitution.
Algeria
After gaining independence from France in 1962, Algeria committed to a policy of Arabisation, which, after 1979, encompassed public education, broadcasting, and the judiciary system. While directed towards the removal of French as an official language, these policies led to dissatisfaction and unrest amongst speakers of Berber languages, who made up about one quarter of the population.
In 2002, following riots in Kabylia the previous year, it was announced that Tamazight would be added as a national language, though not as an official one. This was done on April 8, 2003.
Tamazight has been taught for three hours a week through the first three years of Algerian middle schools since 2005.
On January 5, 2016, it was announced that Tamazight had been added as an official language in a draft amendment to the Algerian constitution; it was added to the constitution as an official language on February 7, 2016.
Libya
Although regional councils in Libya's Nafusa Mountains affiliated with the National Transitional Council reportedly use the Berber language of Nafusi and have called for it to be granted co-official status with Arabic in a prospective new constitution, it does not have official status in Libya as in Morocco and Algeria. As areas of Libya south and west of Tripoli such as the Nafusa Mountains were taken from the control of Gaddafi government forces in early summer 2011, Berber workshops and exhibitions sprang up to share and spread the Berber culture and language.
Other Countries
In Mali and Niger, some Tuareg languages have been recognized as national languages and have been part of school curriculums since the 1960s.
Phonology
Notation
In linguistics, the phonology of Berber languages is written with the International Phonetic Alphabet, with the following exceptions:
Consonants
The influence of Arabic, the process of spirantization, and the absence of labialization have caused the consonant systems of Berber languages to differ significantly by region. Berber languages found north of, and in the northern half of, the Sahara have greater influence from Arabic, including that of loaned phonemes, than those in more southern regions, like Tuareg. Most Berber languages in northern regions have additionally undergone spirantization, in which historical short stops have changed into fricatives. Northern Berber languages (which is a subset of but not identical to Berber languages in geographically northern regions) commonly have labialized velars and uvulars, unlike other Berber languages.Two languages that illustrate the resulting range in consonant inventory across Berber languages are Ahaggar Tuareg and Kabyle; Kabyle has two more places of articulation and three more manners of articulation than Ahaggar Tuareg.
There is still, however, common consonant features observed across Berber languages. Almost all Berber languages have bilabial, dental, palatal, velar, uvular, pharyngeal, and laryngeal consonants, and almost all consonants have a long counterpart. All Berber languages, as is common in Afroasiatic languages, have pharyngealized consonants and phonemic gemination. The consonants which may undergo gemination, and the positions in a word where gemination may occur, differ by language. They have also been observed to have tense and lax consonants, although the status of tense consonants has been the subject of "considerable discussion" by linguists.
Vowels
The vowel systems of Berber languages also vary widely, with inventories ranging from three phonemic vowels in most Northern Berber languages, to seven in some Eastern Berber and Tuareg languages. For example, Taselhiyt has vowels /i/, /a/, and /u/, while Ayer Tuareg has vowels /i/, /ə/, /u/, /e/, /ɐ/, /o/, and /a/. Contrastive vowel length is rare in Berber languages. Tuareg languages had previously been reported to have contrastive vowel length, but this is no longer the leading analysis. A complex feature of Berber vowel systems is the role of central vowels, which vary in occurrence and function across languages; there is debate as to whether schwa is a proper phoneme of Northern Berber languages.
Suprasegmentals
Most Berber languages:
allow for any combination of CC consonant clusters.
have no lexical tones.
either have no lexical stress (Northern Berber languages) or have grammatically significant lexical stress.
Phonetic Correspondences
Phonetic correspondences between Berber languages are fairly regular. Some examples, of varying importance and regularity, include [g/ž/y]; [k/š]; [l/ř/r]; [l/ž, ll/ddž]; [trill/ vocalized r]; [šš/ttš]; [ss/ttš]; [w/g/b]; [q/ɣ]; [h/Ø]; and [s-š-ž/h]. Words in various Berber languages are shown to demonstrate these phonetic correspondences as follows:
Grammar
Berber languages characteristically make frequent use of apophony in the form of ablaut. Berber apophony has been historically analyzed as functioning similarly to the Semitic root, but this analysis has fallen out of favor due to the lexical significance of vowels in Berber languages, as opposed to their primarily grammatical significance in Semitic languages.
The lexical categories of all Berber languages are nouns, verbs, pronouns, adverbs, and prepositions. With the exception of a handful of Arabic loanwords in most languages, Berber languages do not have proper adjectives. In Northern and Eastern Berber languages, adjectives are a subcatergory of nouns; in Tuareg, relative clauses and stative verb forms are used to modify nouns instead.
The gender, number, and case of nouns, as well as the gender, number, and person of verbs, are typically distinguished through affixes. Arguments are described with word order and clitics. When sentences have a verb, they essentially follow verb–subject–object word order, although some linguists believe alternate descriptors would better categorize certain languages, such as Taqbaylit.
Pronouns
Berber languages have both independent and dependent pronouns, both of which distinguish between person and number. Gender is also typically distinguished in the second and third person, and sometimes in first person plural.
Linguist Maarten Kossmann divides pronouns in Berber languages into three morphological groups:
Independent pronouns
Direct object clitics
Indirect object clitics; prepositional suffixes; adnominal suffixes
When clitics precede or follow a verb, they are almost always ordered with the indirect object first, direct object second, and andative-venitive deictic clitic last. An example in Tarifit is shown as follows:
The allowed positioning of different kinds of clitics varies by language.
Nouns
Nouns are distinguished by gender, number, and case in most Berber languages, with gender being feminine or masculine, number being singular or plural, and case being in the construct or free state.
Gender can be feminine or masculine, and can be lexically determined, or can be used to distinguish qualities of the noun. For humans and "higher" animals (such as mammals and large birds), gender distinguishes sex, whereas for objects and "lesser" animals (such as insects and lizards), it distinguishes size. For some nouns, often fruits and vegetables, gender can also distinguish the specificity of the noun. The ways in which gender is used to distinguish nouns is shown in as follows, with examples from Figuig:
An example of nouns with lexically determined gender are the feminine t-lussi ("butter") and masculine a-ɣi ("buttermilk") in Figuig. Mass nouns have lexically determined gender across Berber languages.
Most Berber languages have two cases, which distinguish the construct state from the free state. The construct state is also called the "construct case, "relative case," "annexed state" (état d'annexion), or the "nominative case"; the free state (état libre) is also called the "direct case" or "accusative case." When present, case is always expressed through nominal prefixes and initial-vowel reduction. The use of the marked nominative system and constructions similar to Split-S alignment varies by language. Eastern Berber languages do not have case.
Number can be singular or plural, which is marked with prefixation, suffixation, and sometimes apophony. Nouns usually are made plural by one of either suffixation or apophony, with prefixation applied independently. Specifics vary by language, but prefixation typically changes singular a- and ta- to plural i- and ti- respectively. The number of mass nouns are lexically determined. For example, in multiple Berber languages, such as Figuig, a-ɣi ("buttermilk") is singular while am-an ("water") is plural.
Nouns or pronouns — optionally extended with genitival pronominal affixes, demonstrative clitics, or pre-nominal elements, and then further modified by numerals, adjectives, possessive phrases, or relative clauses — can be built into noun phrases. Possessive phrases in noun phrases must have a genitive proposition.
There are a limited number of pre-nominal elements, which function similarly to pronoun syntactic heads of the noun phrase, and which can be categorized into three types as follows:
The pluralizer id-
The four pre-nominal elements roughly meaning "son(s) of" and "daughter(s) of", which commonly denote group identity and origin
Pre-nominal elements which expand on the meaning of the noun
Verbs
Verb bases are formed by stems that are optionally extended by prefixes, with mood, aspect, and negation applied with a vocalic scheme. This form can then be conjugated with affixes to agree with person, number, and gender, which produces a word.
Different linguists analyze and label aspects in the Berber languages very differently. Kossman roughly summarizes the basic stems which denote aspect as follows:
Aorist, also called aoriste, without a preceding particle:
imperative
unmarked (taking aspect from preceding verb)
Aorist, with the preceding article ad:
irrealis (adhortative, future)
Preterite, or accompli:
past tense, in dynamic use
states (such as "to want, to know"), in stative use
Intensive Aorist, also called habitative or inaccompli:
dynamic present
habitative and iterative
habitative imperative
negation of any imperative
Different languages may have more stems and aspects, or may distinguish within the above categories. Stem formation can be very complex, with Tuareg by some measures having over two hundred identified conjugation subtypes.
The aspectual stems of some classes of verbs in various Berber languages are shown as follows:
Verb phrases are built with verb morphology, pronominal and deictic clitics, pre-verbal particles, and auxiliary elements. The pre-verbal particles are ad, wər, and their variants, which correspond to the meanings of "non-realized" and "negative" respectively.
Numerals
Many Berber languages have lost use of their original numerals from three onwards due to the influence of Arabic; Tarifit has lost all except one. Languages that may retain all their original numerals include Tashelhiyt, Tuareg, Ghadames, Ouargla, and Zenaga.
Original Berber numerals agree in gender with the noun they describe, whereas the borrowed Arabic forms do not.
The numerals 1–10 in Tashelhiyt and Mali Tuareg are as follows:
Sentence Structure
Sentences in Berber languages can be divided into verbal and non-verbal sentences. The topic, which has a unique intonation in the sentence, precedes all other arguments in both types.
Verbal sentences have a finite verb, and are commonly understood to follow verb–subject–object word order (VSO). Some linguists have proposed opposing analyses of the word order patterns in Berber languages, and there has been some support for characterizing Taqbaylit as discourse-configurational.
Existential, attributive, and locational sentences in most Berber languages are expressed with a non-verbal sentence, which have no finite verb. In these sentences, the predicate follows the noun, with the predicative particle d sometimes in between. Two examples, one without and one with a subject, are given from Kabyle as follows:
Non-verbal sentences may use the verb meaning "to be," which exists in all Berber languages. An example from Tarifit is given as follows:
Lexicon
Above all in the area of basic lexicon, the Berber languages are very similar. However, the household-related vocabulary in sedentary tribes is especially different from the one found in nomadic ones, whereas Tahaggart has only two or three designations for species of palm tree, other languages may have as many as 200 similar words. In contrast, Tahaggart has a rich vocabulary for the description of camels.
Some loanwords in the Berber languages can be traced to pre-Roman times. The Berber words te-ḇăyne "date" and a-sḇan "loose woody tissue around the palm tree stem" originate from Ancient Egyptian, likely due to the introduction of date palm cultivation into North Africa from Egypt. Around a dozen Berber words are probable Phoenician-Punic loanwords, although the overall influence of Phoenician-Punic on Berber languages is negligible. A number of loanwords could be attributed to Phoenician-Punic, Hebrew, or Aramaic. The similar vocabulary between these Semitic languages, as well as Arabic, is a complicating factor in tracing the etymology of certain words.
Words of Latin origin have been introduced into Berber languages over time. Maarten Kossman separates Latin loanwords in Berber languages into those from during the Roman empire ("Latin loans"), from after the fall of the Roman empire ("African Romance loans"), precolonial non-African Romance loans, and colonial and post-colonial Romance loans. It can be difficult to distinguish Latin from African Romance loans. There are about 40 likely Latin or African Romance loanwords in Berber languages, which tend to be agricultural terms, religious terms, terms related to learning, or words for plants or useful objects. Use of these terms varies by language. For example, Tuareg does not retain the Latin agricultural terms, which relate to a form of agriculture not practiced by the Tuareg people. There are some Latin loans that are only known to be used in Shawiya.
The Berber calendar uses month names derived from the Julian calendar. Not every language uses every month. For example, Figuig appears to use only eight of the months. These names may be precolonial non-African Romance loans, adopted into Berber languages through Arabic, rather than from Latin directly.
The most influential external language on the lexicon of Berber languages is Arabic. Maarten Kossmann calculates that 0-5% of Ghadames and Awdjila's core vocabularies, and over 15% of Ghomara, Siwa, and Senhadja de Sraïr's core vocabularies, are loans from Arabic. Most other Berber languages loan from 6–15% of their core vocabulary from Arabic. Salem Chaker estimates that Arabic loanwords represent 38% of Kabyle vocabulary, 25% of Tashelhiyt vocabulary, and 5% of Tuareg vocabulary, including non-core words.
On the one hand, the words and expressions connected to Islam were borrowed, e.g. Tashlhiyt bismillah "in the name of Allah" < Classical Arabic bi-smi-llāhi, Tuareg ta-mejjīda "mosque" (Arabic masjid); on the other, Berber adopted cultural concepts such as Kabyle ssuq "market" from Arabic as-sūq, tamdint "town" < Arabic madīna. Even expressions such as the Arabic greeting as-salāmu ʿalaikum "Peace be upon you!" were adopted (Tuareg salāmu ɣlīkum). The Berber languages often have original Berber designations besides the Arabic loans; for instance, both the inherited word ataram and the loan lɣərb (Arabic al-ġarb) coexist in Kabyle.
Influence on other languages
The Berber languages have influenced local Arabic dialects in the Maghreb. Although Maghrebi Arabic has a predominantly Semitic and Arabic vocabulary, it contains a few Berber loanwords which represent 2–3% of the vocabulary of Libyan Arabic, 8–9% of Algerian Arabic and Tunisian Arabic, and 10–15% of Moroccan Arabic. Their influence is also seen in some languages in West Africa. F. W. H. Migeod pointed to strong resemblances between Berber and Hausa in such words and phrases as these: Berber: obanis; Hausa obansa (his father); Berber: a bat; Hausa ya bata (he was lost); Berber: eghare; Hausa ya kirra (he called). In addition he notes that the genitive in both languages is formed with n = "of".
Extinct languages
A number of extinct populations are believed to have spoken Afro-Asiatic languages of the Berber branch. According to Peter Behrens (1981) and Marianne Bechaus-Gerst (2000), linguistic evidence suggests that the peoples of the C-Group culture in present-day southern Egypt and northern Sudan spoke Berber languages. The Nilo-Saharan Nobiin language today contains a number of key pastoralism related loanwords that are of Berber origin, including the terms for sheep and water/Nile. This in turn suggests that the C-Group population—which, along with the Kerma culture, inhabited the Nile valley immediately before the arrival of the first Nubian speakers—spoke Afro-Asiatic languages.
Additionally, historical linguistics indicate that the Guanche language, which was spoken on the Canary Islands by the ancient Guanches, likely belonged to the Berber branch of the Afro-Asiatic family.
See also
List of Berber-language television channels
Amazigh Cultural Association in America
Shilha literature
Notes
References
External links
"What does Berber sound like?" (Thamazight poems as text & MP3)
Map of Berber language from the LL-Map Project (archived 24 June 2011)
The Berber Language Profile (archived 2 October 2010)
Etymology of "Berber"
Etymology of "Amazigh"
Early Christian history of Berbers
Tifinagh
Ancient Scripts (archived 26 August 2017)
Imyura Kabyle site about literature (archived 12 August 2013)
Amawal: The online open source Berber dictionary
Afroasiatic languages
Maghreb
Languages of Algeria
Languages of Morocco
Languages of Mali
Languages of Niger
Languages of Mauritania
Languages of Tunisia
Languages of Gibraltar
Languages of Sicily
Languages of Western Sahara | 6 |
Bankruptcy is a legal process through which people or other entities who cannot repay debts to creditors may seek relief from some or all of their debts. In most jurisdictions, bankruptcy is imposed by a court order, often initiated by the debtor.
Bankrupt is not the only legal status that an insolvent person may have, and the term bankruptcy is therefore not a synonym for insolvency.
Etymology
The word bankruptcy is derived from Italian banca rotta, literally meaning "broken bank". The term is often described as having originated in renaissance Italy, where there allegedly existed the tradition of smashing a banker's bench if he defaulted on payment so that the public could see that the banker, the owner of the bench, was no longer in a condition to continue his business, although some dismiss this as a false etymology.
History
In Ancient Greece, bankruptcy did not exist. If a man owed and he could not pay, he and his wife, children or servants were forced into "debt slavery" until the creditor recouped losses through their physical labour. Many city-states in ancient Greece limited debt slavery to a period of five years; debt slaves had protection of life and limb, which regular slaves did not have. However, servants of the debtor could be retained beyond that deadline by the creditor and were often forced to serve their new lord for a lifetime, usually under significantly harsher conditions. An exception to this rule was Athens, which by the laws of Solon forbade enslavement for debt; as a consequence, most Athenian slaves were foreigners (Greek or otherwise).
The Statute of Bankrupts of 1542 was the first statute under English law dealing with bankruptcy or insolvency. Bankruptcy is also documented in East Asia. According to al-Maqrizi, the Yassa of Genghis Khan contained a provision that mandated the death penalty for anyone who became bankrupt three times.
A failure of a nation to meet bond repayments has been seen on many occasions. In a similar way, Philip II of Spain had to declare four state bankruptcies in 1557, 1560, 1575 and 1596. According to Kenneth S. Rogoff, "Although the development of international capital markets was quite limited prior to 1800, we nevertheless catalog the various defaults of France, Portugal, Prussia, Spain, and the early Italian city-states. At the edge of Europe, Egypt, Russia, and Turkey have histories of chronic default as well."
Modern law and debt restructuring
The principal focus of modern insolvency legislation and business debt restructuring practices no longer rests on the elimination of insolvent entities, but on the remodeling of the financial and organizational structure of debtors experiencing financial distress so as to permit the rehabilitation and continuation of the business.
For private households, it is important to assess the underlying problems and to minimize the risk of financial distress to recur. It has been stressed that debt advice, a supervised rehabilitation period, financial education and social help to find sources of income and to improve the management of household expenditures must be equally provided during this period of rehabilitation (Refiner et al., 2003; Gerhardt, 2009; Frade, 2010). In most EU member States, debt discharge is conditioned by a partial payment obligation and by a number of requirements concerning the debtor's behavior. In the United States (US), discharge is conditioned to a lesser extent. The spectrum is broad in the EU, with the UK coming closest to the US system (Reifner et al., 2003; Gerhardt, 2009; Frade, 2010). The Other Member States do not provide the option of a debt discharge. Spain, for example, passed a bankruptcy law (ley concurs) in 2003 which provides for debt settlement plans that can result in a reduction of the debt (maximally half of the amount) or an extension of the payment period of maximally five years (Gerhardt, 2009), but it does not foresee debt discharge.
In the US, it is very difficult to discharge federal or federally guaranteed student loan debt by filing bankruptcy. Unlike most other debts, those student loans may be discharged only if the person seeking discharge establishes specific grounds for discharge under the Brunner test, under which the court evaluates three factors:
If required to repay the loan, the borrower cannot maintain a minimal standard of living;
The borrower's financial situation is likely to continue for most or all of the repayment period; and
The borrower has made a good faith effort to repay the student loans.
Even if a debtor proves all three elements, a court may permit only a partial discharge of the student loan. Student loan borrowers may benefit from restructuring their payments through a Chapter 13 bankruptcy repayment plan, but few qualify for discharge of part or all of their student loan debt.
Fraud
Bankruptcy fraud is a white-collar crime most typically involving concealment of assets by a debtor to avoid liquidation in bankruptcy proceedings. It may include filing of false information, multiple filings in different jurisdictions, bribery, and other acts.
While difficult to generalize across jurisdictions, common criminal acts under bankruptcy statutes typically involve concealment of assets, concealment or destruction of documents, conflicts of interest, fraudulent claims, false statements or declarations, and fee fixing or redistribution arrangements. Falsifications on bankruptcy forms often constitute perjury. Multiple filings are not in and of themselves criminal, but they may violate provisions of bankruptcy law. In the U.S., bankruptcy fraud statutes are particularly focused on the mental state of particular actions. Bankruptcy fraud is a federal crime in the United States.
Bankruptcy fraud should be distinguished from strategic bankruptcy, which is not a criminal act since it creates a real (not a fake) bankruptcy state. However, it may still work against the filer.
All assets must be disclosed in bankruptcy schedules whether or not the debtor believes the asset has a net value. This is because once a bankruptcy petition is filed, it is for the creditors, not the debtor, to decide whether a particular asset has value. The future ramifications of omitting assets from schedules can be quite serious for the offending debtor. In the United States, a closed bankruptcy may be reopened by motion of a creditor or the U.S. trustee if a debtor attempts to later assert ownership of such an "unscheduled asset" after being discharged of all debt in the bankruptcy. The trustee may then seize the asset and liquidate it for the benefit of the (formerly discharged) creditors. Whether or not a concealment of such an asset should also be considered for prosecution as fraud or perjury would then be at the discretion of the judge or U.S. Trustee.
By country
In some countries, such as the United Kingdom, bankruptcy is limited to individuals; other forms of insolvency proceedings (such as liquidation and administration) are applied to companies. In the United States, bankruptcy is applied more broadly to formal insolvency proceedings. In some countries, such as in Finland, bankruptcy is limited only to companies and individuals who are insolvent are condemned to de facto indentured servitude or minimum social benefits until their debts are paid in full, with accrued interest except when the court decides to show rare clemency by accepting a debtors application for debt restructuring, in which case an individual may have the amount of remaining debt reduced or be released from the debt. In France, the cognate French word banqueroute is used solely for cases of fraudulent bankruptcy, whereas the term faillite (cognate of "failure") is used for bankruptcy in accordance with the law.
Argentina
In Argentina the national Act "24.522 de Concursos y Quiebras" regulates the Bankruptcy and the Reorganization of the individuals and companies, public entities are not included.
Armenia
A person may be declared bankrupt with an application submitted to the court by the creditor or with an application to recognize his own bankruptcy. Legal and natural persons, including individual entrepreneurs, who have an indisputable payment obligation exceeding 60 days and amounting to more than one million AMD can be declared bankrupt. All creditors, including the state and municipalities, to whom the person has an obligation that meets the above-mentioned minimum criteria can submit an application to declare a person bankrupt by compulsory procedure. Basically, these obligations are derived from the legal acts of the court, transactions, the obligation of the debtor to pay taxes, duties, and other fees defined by law.
At the same time, when being declared bankrupt with a voluntary bankruptcy application, the applicant bears the obligation to prove the fact that the value of his assets is less than his assets by one million AMD or more.
Australia
In Australia, bankruptcy is a status which applies to individuals and is governed by the federal Bankruptcy Act 1966. Companies do not go bankrupt but rather go into liquidation or administration, which is governed by the federal Corporations Act 2001.
If a person commits an act of bankruptcy, then a creditor can apply to the Federal Circuit Court or the Federal Court for a sequestration order. Acts of bankruptcy are defined in the legislation, and include the failure to comply with a bankruptcy notice. A bankruptcy notice can be issued where, among other cases, a person fails to pay a judgment debt of at least $5,000. A person can also seek to have themselves declared bankrupt for any amount of debt by lodging a debtor's petition with the "Official Receiver", which is the Australian Financial Security Authority (AFSA).
All bankrupts must lodge a Statement of Affairs document, also known as a Bankruptcy Form, with AFSA, which includes important information about their assets and liabilities. A bankruptcy cannot be discharged until this document has been lodged.
Ordinarily, a bankruptcy lasts three years from the filing of the Statement of Affairs with AFSA.
A Bankruptcy Trustee (in most cases, the Official Trustee at AFSA) is appointed to deal with all matters regarding the administration of the bankrupt estate. The Trustee's job includes notifying creditors of the estate and dealing with creditor inquiries; ensuring that the bankrupt complies with their obligations under the Bankruptcy Act; investigating the bankrupt's financial affairs; realising funds to which the estate is entitled under the Bankruptcy Act and distributing dividends to creditors if sufficient funds become available.
For the duration of their bankruptcy, all bankrupts have certain restrictions placed upon them. For example, a bankrupt must obtain the permission of their trustee to travel overseas. Failure to do so may result in the bankrupt being stopped at the airport by the Australian Federal Police. Additionally, a bankrupt is required to provide their trustee with details of income and assets. If the bankrupt does not comply with the Trustee's request to provide details of income, the trustee may have grounds to lodge an Objection to Discharge, which has the effect of extending the bankruptcy for a further three or five years depending on the type of Objection.
The realisation of funds usually comes from two main sources: the bankrupt's assets and the bankrupt's wages. There are certain assets that are protected, referred to as protected assets. These include household furniture and appliances, tools of the trade and vehicles up to a certain value. All other assets of value can be sold. If a house, including the main residence, or car is above a certain value, a third party can buy the interest from the estate in order for the bankrupt to utilise the asset. If this is not done, the interest vests in the estate and the trustee is able to take possession of the asset and sell it.
The bankrupt must pay income contributions if their income is above a certain threshold. If the bankrupt fails to pay, the trustee can ask the Official Receiver to issue a notice to garnishee the bankrupt's wages. If that is not possible, the Trustee may seek to extend the bankruptcy for a further three or five years.
Bankruptcies can be annulled, and the bankrupt released from bankruptcy, prior to the expiration of the normal three-year period if all debts are paid out in full. Sometimes a bankrupt may be able to raise enough funds to make an Offer of Composition to creditors, which would have the effect of paying the creditors some of the money they are owed. If the creditors accept the offer, the bankruptcy can be annulled after the funds are received.
After the bankruptcy is annulled or the bankrupt has been automatically discharged, the bankrupt's credit report status is shown as "discharged bankrupt" for some years. The maximum number of years this information can be held is subject to the retention limits under the Privacy Act. How long such information is on a credit report may be shorter, depending on the issuing company, but the report must cease to record that information based on the criteria in the Privacy Act.
Brazil
In Brazil, the Bankruptcy Law (11.101/05) governs court-ordered or out-of-court receivership and bankruptcy and only applies to public companies (publicly traded companies) with the exception of financial institutions, credit cooperatives, consortia, supplementary scheme entities, companies administering health care plans, equity companies and a few other legal entities. It does not apply to state-run companies.
Current law covers three legal proceedings. The first one is bankruptcy itself ("Falência"). Bankruptcy is a court-ordered liquidation procedure for an insolvent business. The final goal of bankruptcy is to liquidate company assets and pay its creditors.
The second one is Court-ordered Restructuring (Recuperação Judicial). The goal is to overcome the business crisis situation of the debtor in order to allow the continuation of the producer, the employment of workers and the interests of creditors, leading, thus, to preserving company, its corporate function and develop economic activity. It is a court procedure required by the debtor which has been in business for more than two years and requires approval by a judge.
The Extrajudicial Restructuring (Recuperação Extrajudicial) is a private negotiation that involves creditors and debtors and, as with court-ordered restructuring, also must be approved by courts.
Canada
Bankruptcy, also referred to as insolvency in Canada, is governed by the Bankruptcy and Insolvency Act and is applicable to businesses and individuals. For example, Target Canada, the Canadian subsidiary of the Target Corporation, the second-largest discount retailer in the United States filed for bankruptcy on January 15, 2015, and closed all of its stores by April 12. The office of the Superintendent of Bankruptcy, a federal agency, is responsible for overseeing that bankruptcies are administered in a fair and orderly manner by all licensed Trustees in Canada.
Trustees in bankruptcy, 1041 individuals licensed to administer insolvencies, bankruptcy and proposal estates are governed by the Bankruptcy and Insolvency Act of Canada.
Bankruptcy is filed when a person or a company becomes insolvent and cannot pay their debts as they become due and if they have at least $1,000 in debt.
In 2011, the Superintendent of bankruptcy reported that trustees in Canada filed 127,774 insolvent estates. Consumer estates were the vast majority, with 122 999 estates. The consumer portion of the 2011 volume is divided into 77,993 bankruptcies and 45,006 consumer proposals. This represented a reduction of 8.9% from 2010. Commercial estates filed by Canadian trustees in 2011 4,775 estates, 3,643 bankruptcies and 1,132 Division 1 proposals. This represents a reduction of 8.6% over 2010.
Duties of trustees
Some of the duties of the trustee in bankruptcy are to:
Review the file for any fraudulent preferences or reviewable transactions
Chair meetings of creditors
Sell any non-exempt assets
Object to the bankrupt's discharge
Distribute funds to creditors
Creditors' meetings
Creditors become involved by attending creditors' meetings. The trustee calls the first meeting of creditors for the following purposes:
To consider the affairs of the bankrupt
To affirm the appointment of the trustee or substitute another in place thereof
To appoint inspectors
To give such directions to the trustee as the creditors may see fit with reference to the administration of the estate.
Consumer proposals
In Canada, a person can file a consumer proposal as an alternative to bankruptcy. A consumer proposal is a negotiated settlement between a debtor and their creditors.
A typical proposal would involve a debtor making monthly payments for a maximum of five years, with the funds distributed to their creditors. Even though most proposals call for payments of less than the full amount of the debt owing, in most cases, the creditors accept the deal—because if they do not, the next alternative may be personal bankruptcy, in which the creditors get even less money. The creditors have 45 days to accept or reject the consumer proposal. Once the proposal is accepted by both the creditors and the Court, the debtor makes the payments to the Proposal Administrator each month (or as otherwise stipulated in their proposal), and the general creditors are prevented from taking any further legal or collection action. If the proposal is rejected, the debtor is returned to his prior insolvent state and may have no alternative but to declare personal bankruptcy.
A consumer proposal can only be made by a debtor with debts to a maximum of $250,000 (not including the mortgage on their principal residence). If debts are greater than $250,000, the proposal must be filed under Division 1 of Part III of the Bankruptcy and Insolvency Act. An Administrator is required in the Consumer Proposal, and a Trustee in the Division I Proposal (these are virtually the same although the terms are not interchangeable). A Proposal Administrator is almost always a licensed trustee in bankruptcy, although the Superintendent of Bankruptcy may appoint other people to serve as administrators.
In 2006, there were 98,450 personal insolvency filings in Canada: 79,218 bankruptcies and 19,232 consumer proposals.
Commercial restructuring
In Canada, bankruptcy always means liquidation. There is no way for a company to emerge from bankruptcy after restructuring, as is the case in the United States with a Chapter 11 bankruptcy filing. Canada does, however, have laws that allow for businesses to restructure and emerge later with a smaller debtload and a more positive financial future. While not technically a form of bankruptcy, businesses with $5M or more in debt may make use of the Companies' Creditors Arrangement Act to halt all debt recovery efforts against the company while they formulate a plan to restructure.
China
The People's Republic of China legalized bankruptcy in 1986, and a revised law that was more expansive and complete was enacted in 2007.
Ireland
Bankruptcy in Ireland applies only to natural persons. Other insolvency processes including liquidation and examinership are used to deal with corporate insolvency.
Irish bankruptcy law has been the subject of significant comment, from both government sources and the media, as being in need of reform. Part 7 of the Civil Law (Miscellaneous Provisions) Act 2011 has started this process and the government has committed to further reform.
Israel
Bankruptcy in Israel is governed by the Insolvency and Rehabilitation Law, 2018. Insolvency proceedings below NIS 150,000 will be administered entirely by the Enforcement and Collection Authority. Insolvency proceedings above NIS 150,000 individual debtors file the documents will be conducted before the official receiver (the Insolvency Commissioner) and, if a creditor want to file against a debtor he needs to open process, before the magistrate's court that hears in the district. Company bankruptcy will be conducted before District Court. Simultaneously, with the issue of the order for the commencement of insolvency proceedings, the Insolvency Commissioner shall appoint a trustee for the debtor and an audit will be carried out, in which the debtor's economic capability and his conduct will be examined (lasting approximately 12 months). At the end of this audit a payment plan is established, at the end of which the debtor will receive a discharge. The default scenario is a payment period of three years, however, the court reserves the right to increase or decrease the period depending upon the circumstances of the case. If the debtor has no proven financial ability to pay the creditors, he may be granted an immediate discharge. Since 1996, Israeli personal bankruptcy law has shifted to a relatively debtor-friendly regime, not unlike the American model.
India
The Parliament of India in the first week of May 2016 passed Insolvency and Bankruptcy Code 2016 (New Code). Earlier a clear law on corporate bankruptcy did not exist, even though individual bankruptcy laws have been in existence since 1874. The earlier law in force was enacted in 1920 called the Provincial Insolvency Act.
The legal definitions of the terms bankruptcy, insolvency, liquidation and dissolution are contested in the Indian legal system. There is no regulation or statute legislated upon bankruptcy which denotes a condition of inability to meet a demand of a creditor as is common in many other jurisdictions.
Winding up of companies was in the jurisdiction of the courts which can take a decade even after the company has actually been declared insolvent. On the other hand, supervisory restructuring at the behest of the Board of Industrial and Financial Reconstruction is generally undertaken using receivership by a public entity.
The Netherlands
Dutch bankruptcy law is governed by the Dutch Bankruptcy Code (Faillissementswet). The code covers three separate legal proceedings.
The first is the bankruptcy (faillissement). The goal of the bankruptcy is the liquidation of the assets of the company. The bankruptcy applies only to companies.
The second legal proceeding in the Faillissementswet is the surseance van betaling. The surseance van betaling only applies to companies. Its goal is to reach an agreement with the creditors of the company. It is comparable to filing for protection against creditors.
The third proceeding is the schuldsanering. This proceeding is designed for individuals only and is the result of a court ruling. The judge appoints a monitor. The monitor is an independent third party who monitors the individual's ongoing business and decides about financial matters during the period of the schuldsanering. The individual can travel out of the country freely after the judge's decision on the case.
Russia
Federal Law No. 127-FZ "On Insolvency (Bankruptcy)" dated 26 October 2002 (as amended) (the "Bankruptcy Act"), replacing the previous law in 1998, to better address the above problems and a broader failure of the action.
Russian insolvency law is intended for a wide range of borrowers: individuals and companies of all sizes, with the exception of state-owned enterprises, government agencies, political parties and religious organizations. There are also special rules for insurance companies, professional participants of the securities market, agricultural organizations and other special laws for financial institutions and companies in the natural monopolies in the energy industry.
Federal Law No. 40-FZ "On Insolvency (Bankruptcy)" dated 25 February 1999 (as amended) (the "Insolvency Law of Credit Institutions") contains special provisions in relation to the opening of insolvency proceedings in relation to the credit company. Insolvency Provisions Act, credit organizations used in conjunction with the provisions of the Bankruptcy Act.
Bankruptcy law provides for the following stages of insolvency proceedings:
Monitoring procedure or Supervision (nablyudeniye);
The economic recovery (finansovoe ozdorovleniye);
External control (vneshneye upravleniye);
Liquidation (konkursnoye proizvodstvo) and
Amicable Agreement (mirovoye soglasheniye).
The main face of the bankruptcy process is the insolvency officer (trustee in bankruptcy, bankruptcy manager). At various stages of bankruptcy, he must be determined: the temporary officer in Monitoring procedure, external manager in External control, the receiver or administrative officer in The economic recovery, the liquidator. During the bankruptcy trustee in bankruptcy (insolvency officer) has a decisive influence on the movement of assets (property) of the debtor - the debtor and has a key influence on the economic and legal aspects of its operations.
South Africa
Switzerland
Under Swiss law, bankruptcy can be a consequence of insolvency. It is a court-ordered form of debt enforcement proceedings that applies, in general, to registered commercial entities only. In a bankruptcy, all assets of the debtor are liquidated under the administration of the creditors, although the law provides for debt restructuring options similar to those under Chapter 11 of the U.S. Bankruptcy code.
Sweden
In Sweden, bankruptcy (Swedish: konkurs) is a formal process that may involve a company or individual. It is not the same as insolvency, which is inability to pay debts that should have been paid. A creditor or the company itself can apply for bankruptcy. An external bankruptcy manager takes over the company or the assets of the person, and tries to sell as much as possible. A person or a company in bankruptcy can not access its assets (with some exceptions).
The formal bankruptcy process is rarely carried out for individuals. Creditors can claim money through the Enforcement Administration anyway, and creditors do not usually benefit from the bankruptcy of individuals because there are costs of a bankruptcy manager which has priority. Unpaid debts remain after bankruptcy for individuals. People who are deeply in debt can obtain a debt arrangement procedure (Swedish: skuldsanering). On application, they obtain a payment plan under which they pay as much as they can for five years, and then all remaining debts are cancelled. Debts that derive from a ban on business operations (issued by court, commonly for tax fraud or fraudulent business practices) or owed to a crime victim as compensation for damages, are exempted from this—and, as before this process was introduced in 2006, remain lifelong. Debts that have not been claimed during a 3-10 year period are cancelled. Often crime victims stop their claims after a few years since criminals often do not have job incomes and might be hard to locate, while banks make sure their claims are not cancelled. The most common reasons for personal insolvency in Sweden are illness, unemployment, divorce or company bankruptcy.
For companies, formal bankruptcy is a normal effect of insolvency, even if there is a reconstruction mechanism where the company can be given time to solve its situation, e.g. by finding an investor. The formal bankruptcy involves contracting a bankruptcy manager, who makes certain that assets are sold and money divided by the priority the law claims, and no other way. Banks have such a priority. After a finished bankruptcy for a company, it is terminated. The activities might continue in a new company which has bought important assets from the bankrupted company.
United Arab Emirates
The United Arab Emirates Bankruptcy Law came into force on 29 December 2016, and created a single law governing bankruptcy procedures, which had previously been spread across multiple sources. There are two court procedures: first, a procedure for a company that is not yet insolvent, known as a protective composition, and second, a formal bankruptcy that is split into a rescue process (similar to protective composition) or liquidation.
Directors of a company can be held personally liable for its debts.
The Bankruptcy Law does not apply to government bodies, or to companies trading in free zones such as the Dubai International Financial Centre or the Abu Dhabi Global Market, which have their own insolvency laws.
United Kingdom
Bankruptcy in the United Kingdom (in a strict legal sense) relates only to individuals (including sole proprietors) and partnerships. Companies and other corporations enter into differently named legal insolvency procedures: liquidation and administration (administration order and administrative receivership). However, the term 'bankruptcy' is often used when referring to companies in the media and in general conversation. Bankruptcy in Scotland is referred to as sequestration. To apply for bankruptcy in Scotland, an individual must have more than £1,500 of debt.
A trustee in bankruptcy must be either an Official Receiver (a civil servant) or a licensed insolvency practitioner. Current law in England and Wales derives in large part from the Insolvency Act 1986. Following the introduction of the Enterprise Act 2002, a UK bankruptcy now normally last no longer than 12 months, and may be less if the Official Receiver files in court a certificate that investigations are complete. It was expected that the UK Government's liberalisation of the UK bankruptcy regime would increase the number of bankruptcy cases; initially, cases increased, as the Insolvency Service statistics appear to bear out. Since 2009, the introduction of the Debt Relief Order has resulted in a dramatic fall in bankruptcies, the latest estimates for year 2014/15 being significantly less than 30,000 cases.
Pensions
The UK bankruptcy law was changed in May 2000, effective May 29, 2000. Debtors may now retain occupational pensions while in bankruptcy, except in rare cases.
Proposed reform
The Government have updated legislation (2016) to streamline the application process for UK bankruptcy. UK residents now need to apply online for bankruptcy - there is an upfront fee of £680. The process for residents of Northern Ireland differs - applicants must follow the older process of applying through the courts.
United States
Bankruptcy in the United States is a matter placed under federal jurisdiction by the United States Constitution (in Article 1, Section 8, Clause 4), which empowers Congress to enact "uniform Laws on the subject of Bankruptcies throughout the United States". Congress has enacted statutes governing bankruptcy, primarily in the form of the Bankruptcy Code, located at Title 11 of the United States Code.
A debtor declares bankruptcy to obtain relief from debt, and this is normally accomplished either through a discharge of the debt or through a restructuring of the debt. When a debtor files a voluntary petition, their bankruptcy case commences.
Debts and exemptions
While bankruptcy cases are always filed in United States Bankruptcy Court (an adjunct to the U.S. District Courts), bankruptcy cases, particularly with respect to the validity of claims and exemptions, are often dependent upon State law. A Bankruptcy Exemption defines the property a debtor may retain and preserve through bankruptcy. Certain real and personal property can be exempted on "Schedule C" of a debtor's bankruptcy forms, and effectively be taken outside the debtor's bankruptcy estate. Bankruptcy exemptions are available only to individuals filing bankruptcy.
There are two alternative systems that can be used to "exempt" property from a bankruptcy estate, federal exemptions (available in some states but not all), and state exemptions (which vary widely between states). For example, Maryland and Virginia, which are adjoining states, have different personal exemption amounts that cannot be seized for payment of debts. This amount is the first $6,000 in property or cash in Maryland, but normally only the first $5,000 in Virginia. State law therefore plays a major role in many bankruptcy cases, such that there may be significant differences in the outcome of a bankruptcy case depending upon the state in which it is filed.
After a bankruptcy petition is filed, the court schedules a hearing called a 341 meeting or meeting of creditors, at which the bankruptcy trustee and creditors review the petitioner's petition and supporting schedules, question the petitioner, and can challenge exemptions they believe are improper.
Chapters
There are six types of bankruptcy under the Bankruptcy Code, located at Title 11 of the United States Code:
Chapter 7: basic liquidation for individuals and businesses; also known as straight bankruptcy; it is the simplest and quickest form of bankruptcy available
Chapter 9: municipal bankruptcy; a federal mechanism for the resolution of municipal debts
Chapter 11: rehabilitation or reorganization, used primarily by business debtors but sometimes by individuals with substantial debts and assets; known as corporate bankruptcy, it is a form of corporate financial reorganization that typically allows companies to continue to function while they follow debt repayment plans
Chapter 12: rehabilitation for family farmers and fishermen;
Chapter 13: rehabilitation with a payment plan for individuals with a regular source of income; enables individuals with regular income to develop a plan to repay all or part of their debts; also known as Wage Earner Bankruptcy
Chapter 15: ancillary and other international cases; provides a mechanism for dealing with bankruptcy debtors and helps foreign debtors clear debts
An important feature applicable to all types of bankruptcy filings is the automatic stay. The automatic stay means that the mere request for bankruptcy protection automatically halts most lawsuits, repossessions, foreclosures, evictions, garnishments, attachments, utility shut-offs, and debt collection activity.
The most common types of personal bankruptcy for individuals are Chapter 7 and Chapter 13. Chapter 7, known as a "straight bankruptcy", involves the discharge of certain debts without repayment. Chapter 13 involves a plan of repayment of debts over a period of years. Whether a person qualifies for Chapter 7 or Chapter 13 is in part determined by income. As many as 65% of all US consumer bankruptcy filings are Chapter 7 cases.
Before a consumer may obtain bankruptcy relief under either Chapter 7 or Chapter 13, the debtor is to undertake credit counseling with approved counseling agencies prior to filing a bankruptcy petition and to undertake education in personal financial management from approved agencies prior to being granted a discharge of debts under either Chapter 7 or Chapter 13. Some studies of the operation of the credit counseling requirement suggest that it provides little benefit to debtors who receive the counseling because the only realistic option for many is to seek relief under the Bankruptcy Code.
Corporations and other business forms normally file under Chapters 7 or 11.
Chapter 7
Often called "straight bankruptcy" or "simple bankruptcy", a Chapter 7 bankruptcy potentially allows debtors to eliminate most or all of their debts over a period of as little as three or four months. In a typical consumer bankruptcy, the only debts that survive a Chapter 7 are student loans, child support obligations, some tax bills, and criminal fines. Credit cards, pay day loans, personal loans, medical bills, and just about all other bills are discharged.
In Chapter 7, a debtor surrenders non-exempt property to a bankruptcy trustee, who then liquidates the property and distributes the proceeds to the debtor's unsecured creditors. In exchange, the debtor is entitled to a discharge of some debt. However, the debtor is not granted a discharge if guilty of certain types of inappropriate behavior (e.g., concealing records relating to financial condition) and certain debts (e.g., spousal and child support and most student loans). Some taxes are not discharged even though the debtor is generally discharged from debt. Many individuals in financial distress own only exempt property (e.g., clothes, household goods, an older car, or the tools of their trade or profession) and do not have to surrender any property to the trustee. The amount of property that a debtor may exempt varies from state to state (as noted above, Virginia and Maryland have a $1,000 difference.) Chapter 7 relief is available only once in any eight-year period. Generally, the rights of secured creditors to their collateral continues, even though their debt is discharged. For example, absent some arrangement by a debtor to surrender a car or "reaffirm" a debt, the creditor with a security interest in the debtor's car may repossess the car even if the debt to the creditor is discharged.
Ninety-one percent of US individuals who petition for relief under Chapter 7 hire an attorney to file their petitions. The typical cost of an attorney is $1,170.00. Alternatives to filing with an attorney are: filing pro se, hiring a non-lawyer petition preparer, or using online software to generate the petition.
To be eligible to file a consumer bankruptcy under Chapter 7, a debtor must qualify under a statutory "means test". The means test was intended to make it more difficult for a significant number of financially distressed individual debtors whose debts are primarily consumer debts to qualify for relief under Chapter 7 of the Bankruptcy Code. The "means test" is employed in cases where an individual with primarily consumer debts has more than the average annual income for a household of equivalent size, computed over a 180-day period prior to filing. If the individual must "take" the "means test", their average monthly income over this 180-day period is reduced by a series of allowances for living expenses and secured debt payments in a very complex calculation that may or may not accurately reflect that individual's actual monthly budget. If the results of the means test show no disposable income (or in some cases a very small amount) then the individual qualifies for Chapter 7 relief. An individual who fails the means test will have their Chapter 7 case dismissed, or may have to convert the case to a Chapter 13 bankruptcy.
If a debtor does not qualify for relief under Chapter 7 of the Bankruptcy Code, either because of the Means Test or because Chapter 7 does not provide a permanent solution to delinquent payments for secured debts, such as mortgages or vehicle loans, the debtor may still seek relief under Chapter 13 of the Code.
Generally, a trustee sells most of the debtor's assets to pay off creditors. However, certain debtor assets will be protected to some extent by bankruptcy exemptions. These include Social Security payments, unemployment compensation, limited equity in a home, car, or truck, household goods and appliances, trade tools, and books. However, these exemptions vary from state to state.
Chapter 11
In Chapter 11 bankruptcy, the debtor retains ownership and control of assets and is re-termed a debtor in possession (DIP). The debtor in possession runs the day-to-day operations of the business while creditors and the debtor work with the Bankruptcy Court in order to negotiate and complete a plan. Upon meeting certain requirements (e.g., fairness among creditors, priority of certain creditors) creditors are permitted to vote on the proposed plan. If a plan is confirmed, the debtor continues to operate and pay debts under the terms of the confirmed plan. If a specified majority of creditors do not vote to confirm a plan, additional requirements may be imposed by the court in order to confirm the plan. Debtors filing for Chapter 11 protection a second time are known informally as "Chapter 22" filers.
In a corporate or business bankruptcy, an indebted company is typically recapitalized so that it emerges from bankruptcy with more equity and less debt, with potential for dispute over the valuation of the reorganized business.
Chapter 13
In Chapter 13, debtors retain ownership and possession of all their assets but must devote some portion of future income to repaying creditors, generally over three to five years. The amount of payment and period of the repayment plan depend upon a variety of factors, including the value of the debtor's property and the amount of a debtor's income and expenses. Under this chapter, the debtor can propose a repayment plan in which to pay creditors over three to five years. If the monthly income is less than the state's median income, the plan is for three years, unless the court finds "just cause" to extend the plan for a longer period. If the debtor's monthly income is greater than the median income for individuals in the debtor's state, the plan must generally be for five years. A plan cannot exceed the five-year limit.
Relief under Chapter 13 is available only to individuals with regular income whose debts do not exceed prescribed limits. If the debtor is an individual or a sole proprietor, the debtor is allowed to file for a Chapter 13 bankruptcy to repay all or part of the debts. Secured creditors may be entitled to greater payment than unsecured creditors.
In contrast to Chapter 7, the debtor in Chapter 13 may keep all property, whether or not exempt. If the plan appears feasible and if the debtor complies with all the other requirements, the bankruptcy court typically confirms the plan and the debtor and creditors are bound by its terms. Creditors have no say in the formulation of the plan, other than to object to it, if appropriate, on the grounds that it does not comply with one of the Code's statutory requirements. Generally, the debtor makes payments to a trustee who disburses the funds in accordance with the terms of the confirmed plan.
When the debtor completes payments pursuant to the terms of the plan, the court formally grant the debtor a discharge of the debts provided for in the plan. However, if the debtor fails to make the agreed upon payments or fails to seek or gain court approval of a modified plan, a bankruptcy court will normally dismiss the case on the motion of the trustee. After a dismissal, creditors may resume pursuit of state law remedies to recover the unpaid debt.
European Union
In 2004, the number of insolvencies reached record highs in many European countries. In France, company insolvencies rose by more than 4%, in Austria by more than 10%, and in Greece by more than 20%. The increase in the number of insolvencies, however, does not indicate the total financial impact of insolvencies in each country because there is no indication of the size of each case. An increase in the number of bankruptcy cases does not necessarily entail an increase in bad debt write-off rates for the economy as a whole.
Bankruptcy statistics are also a trailing indicator. There is a time delay between financial difficulties and bankruptcy. In most cases, several months or even years pass between the financial problems and the start of bankruptcy proceedings. Legal, tax, and cultural issues may further distort bankruptcy figures, especially when comparing on an international basis. Two examples:
In Austria, more than half of all potential bankruptcy proceedings in 2004 were not opened, due to insufficient funding.
In Spain, it is not economically profitable to open insolvency/bankruptcy proceedings against certain types of businesses, and therefore the number of insolvencies is quite low. For comparison: In France, more than 40,000 insolvency proceedings were opened in 2004, but under 600 were opened in Spain. At the same time the average bad debt write-off rate in France was 1.3% compared to Spain with 2.6%.
The insolvency numbers for private individuals also do not show the whole picture. Only a fraction of heavily indebted households file for insolvency. Two of the main reasons for this are the stigma of declaring themselves insolvent and the potential business disadvantage.
Following the soar in insolvencies in the last decade, a number of European countries, such as France, Germany, Spain and Italy, began to revamp their bankruptcy laws in 2013. They modelled these new laws after the image of Chapter 11 of the U.S. Bankruptcy Code. Currently, the majority of insolvency cases have ended in liquidation in Europe rather than the businesses surviving the crisis. These new law models are meant to change this; lawmakers are hoping to turn bankruptcy into a chance for restructuring rather than a death sentence for the companies.
Effective sovereign bankruptcy
Technically, states do not collapse directly due to a sovereign default event itself. However, the tumultuous events that follow may bring down the state, so in common language, states would be described as being bankrupted.
Some examples of this are when a Korean state bankrupted Imperial China causing its destruction, or more specifically, when Chang'an's (Sui Dynasty) war with Pyongyang (Goguryeo) in 614 A.D. ended in the former's disintegration within 4 years, although the latter also seemingly entered into decline and fell some 56 years later. Another example is when the United States, with heavy financial backing from its allies (creditors), bankrupted the Soviet Union which led to the latter's demise.
See also
Bankruptcy Act
Bankruptcy alternatives
Creditor's rights
Debt consolidation
Debt relief
Debt restructuring
Debtor in possession
Default
DIP Financing
Distressed securities
Financial distress
Individual voluntary arrangement
Insolvency
Judicial estoppel
Liquidation
Protected trust deed
Sole Trader Insolvency (UK)
Stalking Horse Agreement
Tools of trade
Turnaround ADR
References
Further reading
External links
U.S. Federal Bankruptcy Courts
Official U.S. Bankruptcy Statistics
US Courts Bankruptcy Law
Executive Office for United States Bankruptcy Trustees
Cornell Bankruptcy Laws
National Association of Consumer Bankruptcy Attorneys
Bankruptcy Research Database (WebBRD)
Website of the Insolvency Service in the UK
Bankruptcy Statistics in Hong Kong
Official Means Testing Information
Personal financial problems
Corporate liquidations
Debt | 12 |
Blissymbols or Blissymbolics is a constructed language conceived as an ideographic writing system called Semantography consisting of several hundred basic symbols, each representing a concept, which can be composed together to generate new symbols that represent new concepts. Blissymbols differ from most of the world's major writing systems in that the characters do not correspond at all to the sounds of any spoken language.
Semantography was published by Charles K. Bliss in 1949 and found use in the education of people with communication difficulties.
History
Semantography was invented by Charles K. Bliss (1897–1985), born Karl Kasiel Blitz to a Jewish family in Chernivtsi (then Czernowitz, Austria-Hungary), which had a mixture of different nationalities that "hated each other, mainly because they spoke and thought in different languages."
Bliss graduated as a chemical engineer at the Vienna University of Technology, and joined an electronics company. After the Nazi annexation of Austria in 1938, Bliss was sent to concentration camps but his German wife Claire managed to get him released, and they finally became exiles in Shanghai, where Bliss had a cousin.
Bliss devised the symbols while a refugee at the Shanghai Ghetto and Sydney, from 1942 to 1949. He wanted to create an easy-to-learn international auxiliary language to allow communication between different linguistic communities. He was inspired by Chinese characters, with which he became familiar at Shanghai.
Bliss published his system in Semantography (1949, exp. 2nd ed. 1965, 3rd ed. 1978.)
It had several names:
As the "tourist explosion" took place in the 1960s, a number of researchers were looking for new standard symbols to be used at roads, stations, airports, etc. Bliss then adopted the name Blissymbolics in order that no researcher could plagiarize his system of symbols.
Since the 1960s/1970s, Blissymbols have become popular as a method to teach disabled people to communicate.
In 1971 Shirley McNaughton started a pioneer program at the Ontario Crippled Children's Centre (OCCC), aimed at children with cerebral palsy, from the approach of augmentative and alternative communication (AAC). According to Arika Okrent, Bliss used to complain about the way the teachers at the OCCC were using the symbols, in relation with the proportions of the symbols and other questions: for example, they used "fancy" terms like "nouns" and "verbs", to describe what Bliss called "things" and "actions". (2009, p. 173-4).
The ultimate objective of the OCCC program was to use Blissymbols as a practical way to teach the children to express themselves in their mother tongue, since the Blissymbols provided visual keys to understand the meaning of the English words, especially the abstract words.
In Semantography Bliss had not provided a systematic set of definitions for his symbols (there was a provisional vocabulary index instead (1965, pp. 827–67)), so McNaughton's team might often interpret a certain symbol in a way that Bliss would later criticize as a "misinterpretation". For example, they might interpret a tomato as a vegetable —according to the English definition of tomato— even though the ideal Blissymbol of vegetable was restricted by Bliss to just vegetables growing underground. Eventually the OCCC staff modified and adapted Bliss's system in order to make it serve as a bridge to English. (2009, p. 189) Bliss' complaints about his symbols "being abused" by the OCCC became so intense that the director of the OCCC told Bliss, on his 1974 visit, never to come back. In spite of this, in 1975 Bliss granted an exclusive world license, for use with disabled children, to the new Blissymbolics Communication Foundation directed by Shirley McNaughton (later called Blissymbolics Communication International, BCI). Nevertheless, in 1977 Bliss claimed that this agreement was violated so that he was deprived of effective control of his symbol system.
According to Okrent (2009, p. 190), there was a final period of conflict, as Bliss would make continuous criticisms to McNaughton often followed by apologies. Bliss finally brought his lawyers back to the OCCC, reaching a settlement:
Blissymbolic Communication International now claims an exclusive license from Bliss, for the use and publication of Blissymbols for persons with communication, language, and learning difficulties.
The Blissymbol method has been used in Canada, Sweden, and a few other countries. Practitioners of Blissymbolics (that is, speech and language therapists and users) maintain that some users who have learned to communicate with Blissymbolics find it easier to learn to read and write traditional orthography in the local spoken language than do users who did not know Blissymbolics.
The speech question
Unlike similar constructed languages like aUI, Blissymbolics was conceived as a written language with no phonology, on the premise that "interlinguistic communication is mainly carried on by reading and writing". Nevertheless, Bliss suggested that a set of international words could be adopted, so that "a kind of spoken language could be established – as a travelling aid only". (1965, p. 89–90).
Whether Blissymbolics constitutes an unspoken language is a controversial question, whatever its practical utility may be. Some linguists, such as John DeFrancis and J. Marshall Unger have argued that genuine ideographic writing systems with the same capacities as natural languages do not exist.
Semantics
Bliss' concern about semantics finds an early referent in John Locke, whose Essay Concerning Human Understanding prevented people from those "vague and insignificant forms of speech" that may give the impression of being deep learning.
Another vital referent is Gottfried Wilhelm Leibniz's project of an ideographic language "characteristica universalis", based on the principles of Chinese characters. It would contain small figures representing "visible things by their lines, and the invisible, by the visible which accompany them", adding "certain additional marks, suitable to make understood the flexions and the particles." Bliss stated that his own work was an attempt to take up the thread of Leibniz's project.
Finally there is a strong influence by The Meaning of Meaning (1923) by C. K. Ogden and I. A. Richards, which was considered a standard work on semantics. Bliss found especially useful their "triangle of reference": the physical thing or "referent" that we perceive would be represented at the right vertex; the meaning that we know by experience (our implicit definition of the thing), at the top vertex; and the physical word that we speak or symbol we write, at the left vertex. The reversed process would happen when we read or listen to words: from the words, we recall meanings, related to referents which may be real things or unreal "fictions". Bliss was particularly concerned with political propaganda, whose discourses would tend to contain words that correspond to unreal or ambiguous referents.
Grammar
The grammar of Blissymbols is based on a certain interpretation of nature, dividing it into matter (material things), energy (actions), and human values (mental evaluations). In a natural language, these would give place respectively to nouns, verbs, and adjectives. In Blissymbols, they are marked respectively by a small square symbol, a small cone symbol, and a small V or inverted cone. These symbols may be placed above any other symbol, turning it respectively into a "thing", an "action", and an "evaluation":
When a symbol is not marked by any of the three grammar symbols (square, cone, inverted cone), it may refer to a non-material thing, a grammatical particle, etc.
Examples
The preceding symbol represents the expression "world language", which was a first tentative name for Blissymbols. It combines the symbol for "writing tool" or "pen" (a line inclined, as a pen being used) with the symbol for "world", which in its turn combines "ground" or "earth" (a horizontal line below) and its counterpart derivate "sky" (a horizontal line above). Thus the world would be seen as "what is among the ground and the sky", and "Blissymbols" would be seen as "the writing tool to express the world". This is clearly distinct from the symbol of "language", which is a combination of "mouth" and "ear". Thus natural languages are mainly oral, while Blissymbols is just a writing system dealing with semantics, not phonetics.
The 900 individual symbols of the system are called "Bliss-characters"; these may be "ideographic" – representing abstract concepts, "pictographic" – a direct representation of objects, or "composite" – in which two or more existing Bliss-characters are superimposed to represent a new meaning. Size, orientation and relation to the "skyline" and "earthline" affects the meaning of each symbol. A single concept is called a "Bliss-word", which can consist of one or more Bliss-characters. In multiple-character Bliss-words, the main character is called the "classifier" which "indicates the semantic or grammatical category to which the Bliss-word belongs". To this can be added Bliss-characters as prefixes or suffixes called "modifiers" which amend the meaning of the first symbol. A further symbol called an "indicator" can be added above one of the characters in the Bliss-word (typically the classifier); these are used as "grammatical and/or semantic markers."
Sentence on the right means "I want to go to the cinema.", showing several features of Blissymbolics:
The pronoun "I" is formed of the Bliss-character for "person" and the number 1 (the first person). Using the number 2 would give the symbol for singular "You"; adding the plural indicator (a small cross at the top) would produce the pronouns "We" and plural "You".
The Bliss-word for "to want" contains the heart which symbolizes "feeling" (the classifier), plus the serpentine line which symbolizes "fire" (the modifier), and the verb (called "action") indicator at the top.
The Bliss-word for "to go" is composed of the Bliss-character for "leg" and the verb indicator.
The Bliss-word for "cinema" is composed of the Bliss-character for "house" (the classifier), and "film" (the modifier); "film" is a composite character composed of "camera" and the arrow indicating movement.
Towards the international standardization of the script
Blissymbolics was used in 1971 to help children at the Ontario Crippled Children's Centre (OCCC, now the Holland Bloorview Kids Rehabilitation Hospital) in Toronto, Ontario, Canada. Since it was important that the children see consistent pictures, OCCC had a draftsman named Jim Grice draw the symbols. Both Charles K. Bliss and Margrit Beesley at the OCCC worked with Grice to ensure consistency. In 1975, a new organization named Blissymbolics Communication Foundation directed by Shirley McNaughton led this effort. Over the years, this organization changed its name to Blissymbolics Communication Institute, Easter Seal Communication Institute, and ultimately to Blissymbolics Communication International (BCI).
BCI is an international group of people who act as an authority regarding the standardization of the Blissymbolics language. It has taken responsibility for any extensions of the Blissymbolics language as well as any maintenance needed for the language. BCI has coordinated usage of the language since 1971 for augmentative and alternative communication. BCI received a licence and copyright through legal agreements with Charles K. Bliss in 1975 and 1982. Limiting the count of Bliss-characters (there are currently about 900) is very useful in order to help the user community. It also helps when implementing Blissymbolics using technology such as computers.
In 1991, BCI published a reference guide containing 2300 vocabulary items and detailed rules for the graphic design of additional characters, so they settled a first set of approved Bliss-words for general use.
The Standards Council of Canada then sponsored, on January 21, 1993, the registration of an encoded character set for use in ISO/IEC 2022, in the ISO-IR international registry of coded character sets.
After many years of requests, the Blissymbolic language was finally approved as an encoded language, with code , into the ISO 639-2 and ISO 639-3 standards.
A proposal was posted by Michael Everson for the Blissymbolics script to be included in the Universal Character Set (UCS) and encoded for use with the ISO/IEC 10646 and Unicode standards. BCI would cooperate with the Unicode Technical Committee (UTC) and the ISO Working Group.
The proposed encoding does not use the lexical encoding model used in the existing ISO-IR/169 registered character set, but instead applies the Unicode and ISO character-glyph model to the Bliss-character model already adopted by BCI, since this would significantly reduce the number of needed characters. Bliss-characters can now be used in a creative way to create many new arbitrary concepts, by surrounding the invented words with special Bliss indicators (similar to punctuation), something which was not possible in the ISO-IR/169 encoding.
However, by the end of 2009, the Blissymbolic script was not encoded in the UCS. Some questions are still unanswered, such as the inclusion in the BCI repertoire of some characters (currently about 24) that are already encoded in the UCS (like digits, punctuation signs, spaces and some markers), but whose unification may cause problems due to the very strict graphical layouts required by the published Bliss reference guides. In addition, the character metrics use a specific layout where the usual baseline is not used, and the ideographic em-square is not relevant for Bliss character designs that use additional "earth line" and "sky line" to define the composition square.
Some fonts supporting the BCI repertoire are available and usable with texts encoded with private-use assignments (PUA) within the UCS. But only the private BCI encoding based on ISO-IR/169 registration is available for text interchange.
See also
Egyptian hieroglyphs
Esperanto
iConji
Isotype
Kanji
LoCoS (language)
References
External links
Blissymbol Communication UK
An Introduction to Blissymbols (PDF file)
Standard two-byte encoded character set for Blissymbols , from the ISO-IR international registry of character sets, registration number 169 (1993-01-21).
Michael Everson's First proposed encoding into Unicode and ISO/IEC 10646 of Blissymbolics characters, based on the decomposition of the ISO-IR/169 repertoire.
Preliminary proposal for encoding Blissymbols (WG2 N5228)
Radiolab program about Charles Bliss – Broadcast December 2012 – the item about Charles Bliss starts after 5 minutes and is approx 30 mins long.
Engineered languages
Auxiliary and educational artificial scripts
International auxiliary languages
Pictograms
Augmentative and alternative communication
Writing systems introduced in 1949
Constructed languages
Constructed languages introduced in the 1940s | 5 |
Bessel functions, first defined by the mathematician Daniel Bernoulli and then generalized by Friedrich Bessel, are canonical solutions of Bessel's differential equation
for an arbitrary complex number , which represents the order of the Bessel function. Although and produce the same differential equation, it is conventional to define different Bessel functions for these two values in such a way that the Bessel functions are mostly smooth functions of .
The most important cases are when is an integer or half-integer. Bessel functions for integer are also known as cylinder functions or the cylindrical harmonics because they appear in the solution to Laplace's equation in cylindrical coordinates. Spherical Bessel functions with half-integer are obtained when solving the Helmholtz equation in spherical coordinates.
Applications of Bessel functions
The Bessel function is a generalization of the sine function. It can be interpreted as the vibration of a string with variable thickness, variable tension (or both conditions simultaneously); vibrations in a medium with variable properties; vibrations of the disc membrane, etc.
Bessel's equation arises when finding separable solutions to Laplace's equation and the Helmholtz equation in cylindrical or spherical coordinates. Bessel functions are therefore especially important for many problems of wave propagation and static potentials. In solving problems in cylindrical coordinate systems, one obtains Bessel functions of integer order (); in spherical problems, one obtains half-integer orders (). For example:
Electromagnetic waves in a cylindrical waveguide
Pressure amplitudes of inviscid rotational flows
Heat conduction in a cylindrical object
Modes of vibration of a thin circular or annular acoustic membrane (such as a drumhead or other membranophone) or thicker plates such as sheet metal (see Kirchhoff–Love plate theory, Mindlin–Reissner plate theory)
Diffusion problems on a lattice
Solutions to the radial Schrödinger equation (in spherical and cylindrical coordinates) for a free particle
Solving for patterns of acoustical radiation
Frequency-dependent friction in circular pipelines
Dynamics of floating bodies
Angular resolution
Diffraction from helical objects, including DNA
Probability density function of product of two normally distributed random variables
Analyzing of the surface waves generated by microtremors, in geophysics and seismology.
Bessel functions also appear in other problems, such as signal processing (e.g., see FM audio synthesis, Kaiser window, or Bessel filter).
Definitions
Because this is a second-order linear differential equation, there must be two linearly independent solutions. Depending upon the circumstances, however, various formulations of these solutions are convenient. Different variations are summarized in the table below and described in the following sections.
Bessel functions of the second kind and the spherical Bessel functions of the second kind are sometimes denoted by and , respectively, rather than and .
Bessel functions of the first kind:
Bessel functions of the first kind, denoted as , are solutions of Bessel's differential equation. For integer or positive , Bessel functions of the first kind are finite at the origin (); while for negative non-integer , Bessel functions of the first kind diverge as approaches zero. It is possible to define the function by its series expansion around , which can be found by applying the Frobenius method to Bessel's equation:
where is the gamma function, a shifted generalization of the factorial function to non-integer values. The Bessel function of the first kind is an entire function if is an integer, otherwise it is a multivalued function with singularity at zero. The graphs of Bessel functions look roughly like oscillating sine or cosine functions that decay proportionally to (see also their asymptotic forms below), although their roots are not generally periodic, except asymptotically for large . (The series indicates that is the derivative of , much like is the derivative of ; more generally, the derivative of can be expressed in terms of by the identities below.)
For non-integer , the functions and are linearly independent, and are therefore the two solutions of the differential equation. On the other hand, for integer order , the following relationship is valid (the gamma function has simple poles at each of the non-positive integers):
This means that the two solutions are no longer linearly independent. In this case, the second linearly independent solution is then found to be the Bessel function of the second kind, as discussed below.
Bessel's integrals
Another definition of the Bessel function, for integer values of , is possible using an integral representation:
which is also called Hansen-Bessel formula.
This was the approach that Bessel used, and from this definition he derived several properties of the function. The definition may be extended to non-integer orders by one of Schläfli's integrals, for :
Relation to hypergeometric series
The Bessel functions can be expressed in terms of the generalized hypergeometric series as
This expression is related to the development of Bessel functions in terms of the Bessel–Clifford function.
Relation to Laguerre polynomials
In terms of the Laguerre polynomials and arbitrarily chosen parameter , the Bessel function can be expressed as
Bessel functions of the second kind:
The Bessel functions of the second kind, denoted by , occasionally denoted instead by , are solutions of the Bessel differential equation that have a singularity at the origin () and are multivalued. These are sometimes called Weber functions, as they were introduced by , and also Neumann functions after Carl Neumann.
For non-integer , is related to by
In the case of integer order , the function is defined by taking the limit as a non-integer tends to :
If is a nonnegative integer, we have the series
where is the digamma function, the logarithmic derivative of the gamma function.
There is also a corresponding integral formula (for ):
In the case where ,
is necessary as the second linearly independent solution of the Bessel's equation when is an integer. But has more meaning than that. It can be considered as a "natural" partner of . See also the subsection on Hankel functions below.
When is an integer, moreover, as was similarly the case for the functions of the first kind, the following relationship is valid:
Both and are holomorphic functions of on the complex plane cut along the negative real axis. When is an integer, the Bessel functions are entire functions of . If is held fixed at a non-zero value, then the Bessel functions are entire functions of .
The Bessel functions of the second kind when is an integer is an example of the second kind of solution in Fuchs's theorem.
Hankel functions: ,
Another important formulation of the two linearly independent solutions to Bessel's equation are the Hankel functions of the first and second kind, and , defined as
where is the imaginary unit. These linear combinations are also known as Bessel functions of the third kind; they are two linearly independent solutions of Bessel's differential equation. They are named after Hermann Hankel.
These forms of linear combination satisfy numerous simple-looking properties, like asymptotic formulae or integral representations. Here, "simple" means an appearance of a factor of the form . For real where , are real-valued, the Bessel functions of the first and second kind are the real and imaginary parts, respectively, of the first Hankel function and the real and negative imaginary parts of the second Hankel function. Thus, the above formulae are analogs of Euler's formula, substituting , for and , for , , as explicitly shown in the asymptotic expansion.
The Hankel functions are used to express outward- and inward-propagating cylindrical-wave solutions of the cylindrical wave equation, respectively (or vice versa, depending on the sign convention for the frequency).
Using the previous relationships, they can be expressed as
If is an integer, the limit has to be calculated. The following relationships are valid, whether is an integer or not:
In particular, if with a nonnegative integer, the above relations imply directly that
These are useful in developing the spherical Bessel functions (see below).
The Hankel functions admit the following integral representations for :
where the integration limits indicate integration along a contour that can be chosen as follows: from to 0 along the negative real axis, from 0 to along the imaginary axis, and from to along a contour parallel to the real axis.
Modified Bessel functions: ,
The Bessel functions are valid even for complex arguments , and an important special case is that of a purely imaginary argument. In this case, the solutions to the Bessel equation are called the modified Bessel functions (or occasionally the hyperbolic Bessel functions) of the first and second kind and are defined as
when is not an integer; when is an integer, then the limit is used. These are chosen to be real-valued for real and positive arguments . The series expansion for is thus similar to that for , but without the alternating factor.
can be expressed in terms of Hankel functions:
Using these two formulae the result to +, commonly known as Nicholson's integral or Nicholson's formula, can be obtained to give the following
given that the condition is met. It can also be shown that
only when || < and but not when .
We can express the first and second Bessel functions in terms of the modified Bessel functions (these are valid if ):
and are the two linearly independent solutions to the modified Bessel's equation:
Unlike the ordinary Bessel functions, which are oscillating as functions of a real argument, and are exponentially growing and decaying functions respectively. Like the ordinary Bessel function , the function goes to zero at for and is finite at for . Analogously, diverges at with the singularity being of logarithmic type for , and otherwise.
Two integral formulas for the modified Bessel functions are (for ):
Bessel functions can be described as Fourier transforms of powers of quadratic functions. For example (for ):
It can be proven by showing equality to the above integral definition for . This is done by integrating a closed curve in the first quadrant of the complex plane.
Modified Bessel functions and can be represented in terms of rapidly convergent integrals
The modified Bessel function is useful to represent the Laplace distribution as an Exponential-scale mixture of normal distributions.
The modified Bessel function of the second kind has also been called by the following names (now rare):
Basset function after Alfred Barnard Basset
Modified Bessel function of the third kind
Modified Hankel function
Macdonald function after Hector Munro Macdonald
Spherical Bessel functions: ,
When solving the Helmholtz equation in spherical coordinates by separation of variables, the radial equation has the form
The two linearly independent solutions to this equation are called the spherical Bessel functions and , and are related to the ordinary Bessel functions and by
is also denoted or ; some authors call these functions the spherical Neumann functions.
From the relations to the ordinary Bessel functions it is directly seen that:
The spherical Bessel functions can also be written as (Rayleigh's formulas)
The zeroth spherical Bessel function is also known as the (unnormalized) sinc function. The first few spherical Bessel functions are:
and
Generating function
The spherical Bessel functions have the generating functions
Differential relations
In the following, is any of , , , for
Spherical Hankel functions: ,
There are also spherical analogues of the Hankel functions:
In fact, there are simple closed-form expressions for the Bessel functions of half-integer order in terms of the standard trigonometric functions, and therefore for the spherical Bessel functions. In particular, for non-negative integers :
and is the complex-conjugate of this (for real ). It follows, for example, that and , and so on.
The spherical Hankel functions appear in problems involving spherical wave propagation, for example in the multipole expansion of the electromagnetic field.
Riccati–Bessel functions: , , ,
Riccati–Bessel functions only slightly differ from spherical Bessel functions:
They satisfy the differential equation
For example, this kind of differential equation appears in quantum mechanics while solving the radial component of the Schrödinger's equation with hypothetical cylindrical infinite potential barrier. This differential equation, and the Riccati–Bessel solutions, also arises in the problem of scattering of electromagnetic waves by a sphere, known as Mie scattering after the first published solution by Mie (1908). See e.g., Du (2004) for recent developments and references.
Following Debye (1909), the notation , is sometimes used instead of , .
Asymptotic forms
The Bessel functions have the following asymptotic forms. For small arguments , one obtains, when is not a negative integer:
When is a negative integer, we have
For the Bessel function of the second kind we have three cases:
where is the Euler–Mascheroni constant (0.5772...).
For large real arguments , one cannot write a true asymptotic form for Bessel functions of the first and second kind (unless is half-integer) because they have zeros all the way out to infinity, which would have to be matched exactly by any asymptotic expansion. However, for a given value of one can write an equation containing a term of order :
(For the last terms in these formulas drop out completely; see the spherical Bessel functions above.)
The asymptotic forms for the Hankel functions are:
These can be extended to other values of using equations relating and to and .
It is interesting that although the Bessel function of the first kind is the average of the two Hankel functions, is not asymptotic to the average of these two asymptotic forms when is negative (because one or the other will not be correct there, depending on the used). But the asymptotic forms for the Hankel functions permit us to write asymptotic forms for the Bessel functions of first and second kinds for complex (non-real) so long as goes to infinity at a constant phase angle (using the square root having positive real part):
For the modified Bessel functions, Hankel developed asymptotic (large argument) expansions as well:
There is also the asymptotic form (for large real )
When , all the terms except the first vanish, and we have
For small arguments , we have
Properties
For integer order , is often defined via a Laurent series for a generating function:
an approach used by P. A. Hansen in 1843. (This can be generalized to non-integer order by contour integration or other methods.)
A series expansion using Bessel functions (Kapteyn series) is
Another important relation for integer orders is the Jacobi–Anger expansion:
and
which is used to expand a plane wave as a sum of cylindrical waves, or to find the Fourier series of a tone-modulated FM signal.
More generally, a series
is called Neumann expansion of . The coefficients for have the explicit form
where is Neumann's polynomial.
Selected functions admit the special representation
with
due to the orthogonality relation
More generally, if has a branch-point near the origin of such a nature that
then
or
where is the Laplace transform of .
Another way to define the Bessel functions is the Poisson representation formula and the Mehler-Sonine formula:
where and .
This formula is useful especially when working with Fourier transforms.
Because Bessel's equation becomes Hermitian (self-adjoint) if it is divided by , the solutions must satisfy an orthogonality relationship for appropriate boundary conditions. In particular, it follows that:
where , is the Kronecker delta, and is the th zero of . This orthogonality relation can then be used to extract the coefficients in the Fourier–Bessel series, where a function is expanded in the basis of the functions for fixed and varying .
An analogous relationship for the spherical Bessel functions follows immediately:
If one defines a boxcar function of that depends on a small parameter as:
(where is the rectangle function) then the Hankel transform of it (of any given order ), , approaches as approaches zero, for any given . Conversely, the Hankel transform (of the same order) of is :
which is zero everywhere except near 1. As approaches zero, the right-hand side approaches , where is the Dirac delta function. This admits the limit (in the distributional sense):
A change of variables then yields the closure equation:
for . The Hankel transform can express a fairly arbitrary function as an integral of Bessel functions of different scales. For the spherical Bessel functions the orthogonality relation is:
for .
Another important property of Bessel's equations, which follows from Abel's identity, involves the Wronskian of the solutions:
where and are any two solutions of Bessel's equation, and is a constant independent of (which depends on α and on the particular Bessel functions considered). In particular,
and
for .
For , the even entire function of genus 1, , has only real zeros. Let
be all its positive zeros, then
(There are a large number of other known integrals and identities that are not reproduced here, but which can be found in the references.)
Recurrence relations
The functions , , , and all satisfy the recurrence relations
and
where denotes , , , or . These two identities are often combined, e.g. added or subtracted, to yield various other relations. In this way, for example, one can compute Bessel functions of higher orders (or higher derivatives) given the values at lower orders (or lower derivatives). In particular, it follows that
Modified Bessel functions follow similar relations:
and
and
The recurrence relation reads
where denotes or . These recurrence relations are useful for discrete diffusion problems.
Transcendence
In 1929, Carl Ludwig Siegel proved that , , and the quotient {{math|{{sfrac|Jν(x)|Jν(x)}}}} are transcendental numbers when ν is rational and x is algebraic and nonzero. The same proof also implies that is transcendental under the same assumptions.
Multiplication theorem
The Bessel functions obey a multiplication theorem
where and may be taken as arbitrary complex numbers. For , the above expression also holds if is replaced by . The analogous identities for modified Bessel functions and are
and
Zeros of the Bessel function
Bourget's hypothesis
Bessel himself originally proved that for nonnegative integers , the equation has an infinite number of solutions in . When the functions are plotted on the same graph, though, none of the zeros seem to coincide for different values of except for the zero at . This phenomenon is known as Bourget's hypothesis''' after the 19th-century French mathematician who studied Bessel functions. Specifically it states that for any integers and , the functions and have no common zeros other than the one at . The hypothesis was proved by Carl Ludwig Siegel in 1929.
Transcendence
Siegel proved in 1929 that when ν is rational, all nonzero roots of and are transcendental, as are all the roots of . It is also known that all roots of the higher derivatives for are transcendental, except for the special values and .
Numerical approaches
For numerical studies about the zeros of the Bessel function, see , and .
Numerical values
The first zero in J0 (i.e, j0,1, j0,2 and j0,3) occurs at arguments of approximately 2.40483, 5.52008 and 8.65373, respectively.
Bessel Functions in Popular Culture
Young Sheldon
In the season 5 episode "The Yips and an Oddly Hypnotic Bohemian", Young Sheldon (Young Sheldon) is attempting to complete a quantum mechanics test and runs out of time because he cannot remember the zeroes to the Bessel function.
See also
Anger function
Bessel polynomials
Bessel–Clifford function
Bessel–Maitland function
Fourier–Bessel series
Hahn–Exton -Bessel function
Hankel transform
Incomplete Bessel functions
Jackson -Bessel function
Kelvin functions
Kontorovich–Lebedev transform
Lentz's algorithm
Lerche–Newberger sum rule
Lommel function
Lommel polynomial
Neumann polynomial
Schlömilch's series
Sonine formula
Struve function
Vibrations of a circular membrane
Weber function (defined at Anger function)
Notes
References
Arfken, George B. and Hans J. Weber, Mathematical Methods for Physicists, 6th edition (Harcourt: San Diego, 2005). .
Bowman, Frank Introduction to Bessel Functions (Dover: New York, 1958). .
.
.
B Spain, M. G. Smith, Functions of mathematical physics, Van Nostrand Reinhold Company, London, 1970. Chapter 9 deals with Bessel functions.
N. M. Temme, Special Functions. An Introduction to the Classical Functions of Mathematical Physics, John Wiley and Sons, Inc., New York, 1996. . Chapter 9 deals with Bessel functions.
Watson, G. N., A Treatise on the Theory of Bessel Functions, Second Edition'', (1995) Cambridge University Press. .
.
External links
.
.
.
Wolfram function pages on Bessel J and Y functions, and modified Bessel I and K functions. Pages include formulas, function evaluators, and plotting calculators.
Bessel functions Jν, Yν, Iν and Kν in Librow Function handbook.
F. W. J. Olver, L. C. Maximon, Bessel Functions (chapter 10 of the Digital Library of Mathematical Functions).
Special hypergeometric functions
Fourier analysis | 7 |
Berkeley DB (BDB) is an unmaintained embedded database software library for key/value data, historically significant in open source software. Berkeley DB is written in C with API bindings for many other programming languages. BDB stores arbitrary key/data pairs as byte arrays, and supports multiple data items for a single key. Berkeley DB is not a relational database, although it has database features including database transactions, multiversion concurrency control and write-ahead logging. BDB runs on a wide variety of operating systems including most Unix-like and Windows systems, and real-time operating systems.
BDB was commercially supported and developed by Sleepycat Software from 1996 to 2006. Sleepycat Software was acquired by Oracle Corporation in February 2006, who continued to develop and sell the C Berkeley DB library. In 2013 Oracle re-licensed BDB under the AGPL license. and released new versions until May 2020. Bloomberg LP continues to develop a fork of the 2013 version of BDB within their Comdb2 database, under the original Sleepycat permissive license.
Origin
Berkeley DB originated at the University of California, Berkeley as part of BSD, Berkeley's version of the Unix operating system. After 4.3BSD (1986), the BSD developers attempted to remove or replace all code originating in the original AT&T Unix from which BSD was derived. In doing so, they needed to rewrite the Unix database package. Seltzer and Yigit created a new database, unencumbered by any AT&T patents: an on-disk hash table that outperformed the existing dbm libraries. Berkeley DB itself was first released in 1991 and later included with 4.4BSD. In 1996 Netscape requested that the authors of Berkeley DB improve and extend the library, then at version 1.86, to suit Netscape's requirements for an LDAP server and for use in the Netscape browser. That request led to the creation of Sleepycat Software. This company was acquired by Oracle Corporation in February 2006.
Berkeley DB 1.x releases focused on managing key/value data storage and are referred to as "Data Store" (DS). The 2.x releases added a locking system enabling concurrent access to data. This is what is known as "Concurrent Data Store" (CDS). The 3.x releases added a logging system for transactions and recovery, called "Transactional Data Store" (TDS). The 4.x releases added the ability to replicate log records and create a distributed highly available single-master multi-replica database. This is called the "High Availability" (HA) feature set. Berkeley DB's evolution has sometimes led to minor API changes or log format changes, but very rarely have database formats changed. Berkeley DB HA supports online upgrades from one version to the next by maintaining the ability to read and apply the prior release's log records.
Starting with the 6.0.21 (Oracle 12c) release, all Berkeley DB products are licensed under the GNU AGPL. Previously, Berkeley DB was redistributed under the 4-clause BSD license (before version 2.0), and the Sleepycat Public License, which is an OSI-approved open-source license as well as an FSF-approved free software license. The product ships with complete source code, build script, test suite, and documentation. The comprehensive feature along with the licensing terms have led to its use in a multitude of free and open-source software. Those who do not wish to abide by the terms of the GNU AGPL, or use an older version with the Sleepycat Public License, have the option of purchasing another proprietary license for redistribution from Oracle Corporation. This technique is called dual licensing.
Berkeley DB includes compatibility interfaces for some historic Unix database libraries: dbm, ndbm and hsearch (a System V and POSIX library for creating in-memory hash tables).
Architecture
Berkeley DB has an architecture notably simpler than relational database management systems. Like SQLite and LMDB, it is not based on a server/client model, and does not provide support for network access programs access the database using in-process API calls. Oracle added support for SQL in 11g R2 release based on the popular SQLite API by including a version of SQLite in Berkeley DB (it uses Berkeley DB for storage).
A program accessing the database is free to decide how the data is to be stored in a record. Berkeley DB puts no constraints on the record's data. The record and its key can both be up to four gigabytes long.
Berkeley DB supports database features such as ACID transactions, fine-grained locking, hot backups and replication.
Oracle Corporation use of name "Berkeley DB"
The name "Berkeley DB" is used by Oracle Corporation for three different products, only one of which is BDB:
Berkeley DB, the C database library that is the subject of this article
Berkeley DB Java Edition, a pure Java library whose design is modelled after the C library but is otherwise unrelated
Berkeley DB XML, a C++ program that supports XQuery, and which includes a legacy version of the C database library
Open source programs still using Berkeley DB
BDB was once very widespread, but usage dropped steeply from 2013 (see licensing section). Notable software that still uses Berkeley DB for data storage include:
Bogofilter – A free/open source spam filter that saves its wordlists using Berkeley DB by default
Sendmail – A free/open source MTA first released in 1983 for Linux/Unix systems and no longer widely used
Spamassassin – A free/open source anti-spam application
The Elixir Cross Referencer – A web UI source code cross-referencer for C/C++ written in Python
Open source operating systems, and languages such as Perl and Python still support old BerkelyDB interfaces. The FreeBSD and OpenBSD operating systems ship Berkeley DB 1.8x to support the dbopen() operating system call used by password programs such as pwb_mkdb. Linux operating systems including those based on Debian and Fedora ship Berkeley DB 5.3 libraries.
Licensing
Berkeley DB V2.0 and higher is available under a dual license:
Oracle commercial license
The GNU AGPL v3.
Switching the open source license in 2013 from the Sleepycat license to the AGPL had a major effect on open source software. Since BDB is a library, any application linking to it must be under an AGPL-compatible license. Many open source applications and all closed source applications would need to be relicensed to become AGPL-compatible, which was not acceptable to many developers and open source operating systems. By 2013 there were many alternatives to BDB, and Debian Linux was typical in their decision to completely phase out Berkeley DB, with a preference for the Lightning Memory-Mapped Database (LMDB).
References
External links
Oracle Berkeley DB
Oracle Berkeley DB Downloads
Oracle Berkeley DB Documentation
Oracle Berkeley DB Licensing Information
Licensing pitfalls for Oracle Technology Products
Oracle Licensing Knowledge Net
The Berkeley DB Book by Himanshu Yadava
Database engines
Database-related software for Linux
Embedded databases
Free database management systems
Free software programmed in C
Key-value databases
NoSQL
Oracle software
Structured storage
Software using the GNU AGPL license | 8 |
In logic and computer science, the Boolean satisfiability problem (sometimes called propositional satisfiability problem and abbreviated SATISFIABILITY, SAT or B-SAT) is the problem of determining if there exists an interpretation that satisfies a given Boolean formula. In other words, it asks whether the variables of a given Boolean formula can be consistently replaced by the values TRUE or FALSE in such a way that the formula evaluates to TRUE. If this is the case, the formula is called satisfiable. On the other hand, if no such assignment exists, the function expressed by the formula is FALSE for all possible variable assignments and the formula is unsatisfiable. For example, the formula "a AND NOT b" is satisfiable because one can find the values a = TRUE and b = FALSE, which make (a AND NOT b) = TRUE. In contrast, "a AND NOT a" is unsatisfiable.
SAT is the first problem that was proven to be NP-complete; see Cook–Levin theorem. This means that all problems in the complexity class NP, which includes a wide range of natural decision and optimization problems, are at most as difficult to solve as SAT. There is no known algorithm that efficiently solves each SAT problem, and it is generally believed that no such algorithm exists; yet this belief has not been proved mathematically, and resolving the question of whether SAT has a polynomial-time algorithm is equivalent to the P versus NP problem, which is a famous open problem in the theory of computing.
Nevertheless, as of 2007, heuristic SAT-algorithms are able to solve problem instances involving tens of thousands of variables and formulas consisting of millions of symbols, which is sufficient for many practical SAT problems from, e.g., artificial intelligence, circuit design, and automatic theorem proving.
Definitions
A propositional logic formula, also called Boolean expression, is built from variables, operators AND (conjunction, also denoted by ∧), OR (disjunction, ∨), NOT (negation, ¬), and parentheses.
A formula is said to be satisfiable if it can be made TRUE by assigning appropriate logical values (i.e. TRUE, FALSE) to its variables.
The Boolean satisfiability problem (SAT) is, given a formula, to check whether it is satisfiable.
This decision problem is of central importance in many areas of computer science, including theoretical computer science, complexity theory, algorithmics, cryptography and artificial intelligence.
Conjunctive normal form
A literal is either a variable (in which case it is called a positive literal) or the negation of a variable (called a negative literal).
A clause is a disjunction of literals (or a single literal). A clause is called a Horn clause if it contains at most one positive literal.
A formula is in conjunctive normal form (CNF) if it is a conjunction of clauses (or a single clause).
For example, is a positive literal, is a negative literal, is a clause. The formula is in conjunctive normal form; its first and third clauses are Horn clauses, but its second clause is not. The formula is satisfiable, by choosing x1 = FALSE, x2 = FALSE, and x3 arbitrarily, since (FALSE ∨ ¬FALSE) ∧ (¬FALSE ∨ FALSE ∨ x3) ∧ ¬FALSE evaluates to (FALSE ∨ TRUE) ∧ (TRUE ∨ FALSE ∨ x3) ∧ TRUE, and in turn to TRUE ∧ TRUE ∧ TRUE (i.e. to TRUE). In contrast, the CNF formula a ∧ ¬a, consisting of two clauses of one literal, is unsatisfiable, since for a=TRUE or a=FALSE it evaluates to TRUE ∧ ¬TRUE (i.e., FALSE) or FALSE ∧ ¬FALSE (i.e., again FALSE), respectively.
For some versions of the SAT problem, it is useful to define the notion of a generalized conjunctive normal form formula, viz. as a conjunction of arbitrarily many generalized clauses, the latter being of the form for some Boolean function R and (ordinary) literals . Different sets of allowed boolean functions lead to different problem versions. As an example, R(¬x,a,b) is a generalized clause, and R(¬x,a,b) ∧ R(b,y,c) ∧ R(c,d,¬z) is a generalized conjunctive normal form. This formula is used below, with R being the ternary operator that is TRUE just when exactly one of its arguments is.
Using the laws of Boolean algebra, every propositional logic formula can be transformed into an equivalent conjunctive normal form, which may, however, be exponentially longer. For example, transforming the formula
(x1∧y1) ∨ (x2∧y2) ∨ ... ∨ (xn∧yn)
into conjunctive normal form yields
;
while the former is a disjunction of n conjunctions of 2 variables, the latter consists of 2n clauses of n variables.
However, with use of the Tseytin transformation, we may find an equisatisfiable conjunctive normal form formula with length linear in the size of the original propositional logic formula.
Complexity
SAT was the first known NP-complete problem, as proved by Stephen Cook at the University of Toronto in 1971 and independently by Leonid Levin at the Russian Academy of Sciences in 1973. Until that time, the concept of an NP-complete problem did not even exist.
The proof shows how every decision problem in the complexity class NP can be reduced to the SAT problem for CNF formulas, sometimes called CNFSAT.
A useful property of Cook's reduction is that it preserves the number of accepting answers. For example, deciding whether a given graph has a 3-coloring is another problem in NP; if a graph has 17 valid 3-colorings, the SAT formula produced by the Cook–Levin reduction will have 17 satisfying assignments.
NP-completeness only refers to the run-time of the worst case instances. Many of the instances that occur in practical applications can be solved much more quickly. See Algorithms for solving SAT below.
3-satisfiability
Like the satisfiability problem for arbitrary formulas, determining the satisfiability of a formula in conjunctive normal form where each clause is limited to at most three literals is NP-complete also; this problem is called 3-SAT, 3CNFSAT, or 3-satisfiability.
To reduce the unrestricted SAT problem to 3-SAT, transform each clause to a conjunction of clauses
where are fresh variables not occurring elsewhere.
Although the two formulas are not logically equivalent, they are equisatisfiable. The formula resulting from transforming all clauses is at most 3 times as long as its original, i.e. the length growth is polynomial.
3-SAT is one of Karp's 21 NP-complete problems, and it is used as a starting point for proving that other problems are also NP-hard. This is done by polynomial-time reduction from 3-SAT to the other problem. An example of a problem where this method has been used is the clique problem: given a CNF formula consisting of c clauses, the corresponding graph consists of a vertex for each literal, and an edge between each two non-contradicting literals from different clauses, cf. picture. The graph has a c-clique if and only if the formula is satisfiable.
There is a simple randomized algorithm due to Schöning (1999) that runs in time (4/3)n where n is the number of variables in the 3-SAT proposition, and succeeds with high probability to correctly decide 3-SAT.
The exponential time hypothesis asserts that no algorithm can solve 3-SAT (or indeed k-SAT for any ) in time (i.e., fundamentally faster than exponential in n).
Selman, Mitchell, and Levesque (1996) give empirical data on the difficulty of randomly generated 3-SAT formulas, depending on their size parameters.
Difficulty is measured in number recursive calls made by a DPLL algorithm. They identified a phase transition region from almost certainly satisfiable to almost certainly unsatisfiable formulas at the clauses-to-variables ratio at about 4.26.
3-satisfiability can be generalized to k-satisfiability (k-SAT, also k-CNF-SAT), when formulas in CNF are considered with each clause containing up to k literals.
However, since for any k ≥ 3, this problem can neither be easier than 3-SAT nor harder than SAT, and the latter two are NP-complete, so must be k-SAT.
Some authors restrict k-SAT to CNF formulas with exactly k literals. This doesn't lead to a different complexity class either, as each clause with j < k literals can be padded with fixed dummy variables to
.
After padding all clauses, 2k-1 extra clauses have to be appended to ensure that only can lead to a satisfying assignment. Since k doesn't depend on the formula length, the extra clauses lead to a constant increase in length. For the same reason, it does not matter whether duplicate literals are allowed in clauses, as in .
Special cases of SAT
Conjunctive normal form
Conjunctive normal form (in particular with 3 literals per clause) is often considered the canonical representation for SAT formulas. As shown above, the general SAT problem reduces to 3-SAT, the problem of determining satisfiability for formulas in this form.
Disjunctive normal form
SAT is trivial if the formulas are restricted to those in disjunctive normal form, that is, they are a disjunction of conjunctions of literals. Such a formula is indeed satisfiable if and only if at least one of its conjunctions is satisfiable, and a conjunction is satisfiable if and only if it does not contain both x and NOT x for some variable x. This can be checked in linear time. Furthermore, if they are restricted to being in full disjunctive normal form, in which every variable appears exactly once in every conjunction, they can be checked in constant time (each conjunction represents one satisfying assignment). But it can take exponential time and space to convert a general SAT problem to disjunctive normal form; for an example exchange "∧" and "∨" in the above exponential blow-up example for conjunctive normal forms.
Exactly-1 3-satisfiability
A variant of the 3-satisfiability problem is the one-in-three 3-SAT (also known variously as 1-in-3-SAT and exactly-1 3-SAT).
Given a conjunctive normal form with three literals per clause, the problem is to determine whether there exists a truth assignment to the variables so that each clause has exactly one TRUE literal (and thus exactly two FALSE literals). In contrast, ordinary 3-SAT requires that every clause has at least one TRUE literal.
Formally, a one-in-three 3-SAT problem is given as a generalized conjunctive normal form with all generalized clauses using a ternary operator R that is TRUE just if exactly one of its arguments is. When all literals of a one-in-three 3-SAT formula are positive, the satisfiability problem is called one-in-three positive 3-SAT.
One-in-three 3-SAT, together with its positive case, is listed as NP-complete problem "LO4" in the standard reference, Computers and Intractability: A Guide to the Theory of NP-Completeness
by Michael R. Garey and David S. Johnson. One-in-three 3-SAT was proved to be NP-complete by Thomas Jerome Schaefer as a special case of Schaefer's dichotomy theorem, which asserts that any problem generalizing Boolean satisfiability in a certain way is either in the class P or is NP-complete.
Schaefer gives a construction allowing an easy polynomial-time reduction from 3-SAT to one-in-three 3-SAT. Let "(x or y or z)" be a clause in a 3CNF formula. Add six fresh boolean variables a, b, c, d, e, and f, to be used to simulate this clause and no other.
Then the formula R(x,a,d) ∧ R(y,b,d) ∧ R(a,b,e) ∧ R(c,d,f) ∧ R(z,c,FALSE) is satisfiable by some setting of the fresh variables if and only if at least one of x, y, or z is TRUE, see picture (left). Thus any 3-SAT instance with m clauses and n variables may be converted into an equisatisfiable one-in-three 3-SAT instance with 5m clauses and n+6m variables.
Another reduction involves only four fresh variables and three clauses: R(¬x,a,b) ∧ R(b,y,c) ∧ R(c,d,¬z), see picture (right).
Not-all-equal 3-satisfiability
Another variant is the not-all-equal 3-satisfiability problem (also called NAE3SAT).
Given a conjunctive normal form with three literals per clause, the problem is to determine if an assignment to the variables exists such that in no clause all three literals have the same truth value. This problem is NP-complete, too, even if no negation symbols are admitted, by Schaefer's dichotomy theorem.
Linear SAT
A 3-SAT formula is Linear SAT (LSAT) if each clause (viewed as a set of literals) intersects at most one other clause, and, moreover, if two clauses intersect, then they have exactly one literal in common. An LSAT formula can be depicted as a set of disjoint semi-closed intervals on a line. Deciding whether an LSAT formula is satisfiable is NP-complete.
2-satisfiability
SAT is easier if the number of literals in a clause is limited to at most 2, in which case the problem is called 2-SAT. This problem can be solved in polynomial time, and in fact is complete for the complexity class NL. If additionally all OR operations in literals are changed to XOR operations, the result is called exclusive-or 2-satisfiability, which is a problem complete for the complexity class SL = L.
Horn-satisfiability
The problem of deciding the satisfiability of a given conjunction of Horn clauses is called Horn-satisfiability, or HORN-SAT.
It can be solved in polynomial time by a single step of the Unit propagation algorithm, which produces the single minimal model of the set of Horn clauses (w.r.t. the set of literals assigned to TRUE).
Horn-satisfiability is P-complete. It can be seen as P's version of the Boolean satisfiability problem.
Also, deciding the truth of quantified Horn formulas can be done in polynomial time.
Horn clauses are of interest because they are able to express implication of one variable from a set of other variables. Indeed, one such clause ¬x1 ∨ ... ∨ ¬xn ∨ y can be rewritten as x1 ∧ ... ∧ xn → y, that is, if x1,...,xn are all TRUE, then y needs to be TRUE as well.
A generalization of the class of Horn formulae is that of renameable-Horn formulae, which is the set of formulae that can be placed in Horn form by replacing some variables with their respective negation.
For example, (x1 ∨ ¬x2) ∧ (¬x1 ∨ x2 ∨ x3) ∧ ¬x1 is not a Horn formula, but can be renamed to the Horn formula (x1 ∨ ¬x2) ∧ (¬x1 ∨ x2 ∨ ¬y3) ∧ ¬x1 by introducing y3 as negation of x3.
In contrast, no renaming of (x1 ∨ ¬x2 ∨ ¬x3) ∧ (¬x1 ∨ x2 ∨ x3) ∧ ¬x1 leads to a Horn formula.
Checking the existence of such a replacement can be done in linear time; therefore, the satisfiability of such formulae is in P as it can be solved by first performing this replacement and then checking the satisfiability of the resulting Horn formula.
XOR-satisfiability
Another special case is the class of problems where each clause contains XOR (i.e. exclusive or) rather than (plain) OR operators.
This is in P, since an XOR-SAT formula can also be viewed as a system of linear equations mod 2, and can be solved in cubic time by Gaussian elimination; see the box for an example. This recast is based on the kinship between Boolean algebras and Boolean rings, and the fact that arithmetic modulo two forms a finite field. Since a XOR b XOR c evaluates to TRUE if and only if exactly 1 or 3 members of {a,b,c} are TRUE, each solution of the 1-in-3-SAT problem for a given CNF formula is also a solution of the XOR-3-SAT problem, and in turn each solution of XOR-3-SAT is a solution of 3-SAT, cf. picture. As a consequence, for each CNF formula, it is possible to solve the XOR-3-SAT problem defined by the formula, and based on the result infer either that the 3-SAT problem is solvable or that the 1-in-3-SAT problem is unsolvable.
Provided that the complexity classes P and NP are not equal, neither 2-, nor Horn-, nor XOR-satisfiability is NP-complete, unlike SAT.
Schaefer's dichotomy theorem
The restrictions above (CNF, 2CNF, 3CNF, Horn, XOR-SAT) bound the considered formulae to be conjunctions of subformulae; each restriction states a specific form for all subformulae: for example, only binary clauses can be subformulae in 2CNF.
Schaefer's dichotomy theorem states that, for any restriction to Boolean functions that can be used to form these subformulae, the corresponding satisfiability problem is in P or NP-complete. The membership in P of the satisfiability of 2CNF, Horn, and XOR-SAT formulae are special cases of this theorem.
The following table summarizes some common variants of SAT.
Extensions of SAT
An extension that has gained significant popularity since 2003 is satisfiability modulo theories (SMT) that can enrich CNF formulas with linear constraints, arrays, all-different constraints, uninterpreted functions, etc. Such extensions typically remain NP-complete, but very efficient solvers are now available that can handle many such kinds of constraints.
The satisfiability problem becomes more difficult if both "for all" (∀) and "there exists" (∃) quantifiers are allowed to bind the Boolean variables.
An example of such an expression would be ; it is valid, since for all values of x and y, an appropriate value of z can be found, viz. z=TRUE if both x and y are FALSE, and z=FALSE else.
SAT itself (tacitly) uses only ∃ quantifiers.
If only ∀ quantifiers are allowed instead, the so-called tautology problem is obtained, which is co-NP-complete.
If both quantifiers are allowed, the problem is called the quantified Boolean formula problem (QBF), which can be shown to be PSPACE-complete. It is widely believed that PSPACE-complete problems are strictly harder than any problem in NP, although this has not yet been proved. Using highly parallel P systems, QBF-SAT problems can be solved in linear time.
Ordinary SAT asks if there is at least one variable assignment that makes the formula true. A variety of variants deal with the number of such assignments:
MAJ-SAT asks if the majority of all assignments make the formula TRUE. It is known to be complete for PP, a probabilistic class.
#SAT, the problem of counting how many variable assignments satisfy a formula, is a counting problem, not a decision problem, and is #P-complete.
UNIQUE SAT is the problem of determining whether a formula has exactly one assignment. It is complete for US, the complexity class describing problems solvable by a non-deterministic polynomial time Turing machine that accepts when there is exactly one nondeterministic accepting path and rejects otherwise.
UNAMBIGUOUS-SAT is the name given to the satisfiability problem when the input is restricted to formulas having at most one satisfying assignment. The problem is also called USAT. A solving algorithm for UNAMBIGUOUS-SAT is allowed to exhibit any behavior, including endless looping, on a formula having several satisfying assignments. Although this problem seems easier, Valiant and Vazirani have shown that if there is a practical (i.e. randomized polynomial-time) algorithm to solve it, then all problems in NP can be solved just as easily.
MAX-SAT, the maximum satisfiability problem, is an FNP generalization of SAT. It asks for the maximum number of clauses which can be satisfied by any assignment. It has efficient approximation algorithms, but is NP-hard to solve exactly. Worse still, it is APX-complete, meaning there is no polynomial-time approximation scheme (PTAS) for this problem unless P=NP.
WMSAT is the problem of finding an assignment of minimum weight that satisfy a monotone Boolean formula (i.e. a formula without any negation). Weights of propositional variables are given in the input of the problem. The weight of an assignment is the sum of weights of true variables. That problem is NP-complete (see Th. 1 of ).
Other generalizations include satisfiability for first- and second-order logic, constraint satisfaction problems, 0-1 integer programming.
Finding a satisfying assignment
While SAT is a decision problem, the search problem of finding a satisfying assignment reduces to SAT. That is, each algorithm which correctly answers if an instance of SAT is solvable can be used to find a satisfying assignment. First, the question is asked on the given formula Φ. If the answer is "no", the formula is unsatisfiable. Otherwise, the question is asked on the partly instantiated formula Φ{x1=TRUE}, i.e. Φ with the first variable x1 replaced by TRUE, and simplified accordingly. If the answer is "yes", then x1=TRUE, otherwise x1=FALSE. Values of other variables can be found subsequently in the same way. In total, n+1 runs of the algorithm are required, where n is the number of distinct variables in Φ.
This property is used in several theorems in complexity theory:
NP ⊆ P/poly ⇒ PH = Σ2 (Karp–Lipton theorem)
NP ⊆ BPP ⇒ NP = RP
P = NP ⇒ FP = FNP
Algorithms for solving SAT
Since the SAT problem is NP-complete, only algorithms with exponential worst-case complexity are known for it. In spite of this, efficient and scalable algorithms for SAT were developed during the 2000s and have contributed to dramatic advances in our ability to automatically solve problem instances involving tens of thousands of variables and millions of constraints (i.e. clauses). Examples of such problems in electronic design automation (EDA) include formal equivalence checking, model checking, formal verification of pipelined microprocessors, automatic test pattern generation, routing of FPGAs, planning, and scheduling problems, and so on. A SAT-solving engine is also considered to be an essential component in the electronic design automation toolbox.
Major techniques used by modern SAT solvers include the Davis–Putnam–Logemann–Loveland algorithm (or DPLL), conflict-driven clause learning (CDCL), and stochastic local search algorithms such as WalkSAT. Almost all SAT solvers include time-outs, so they will terminate in reasonable time even if they cannot find a solution.
Different SAT solvers will find different instances easy or hard, and some excel at proving unsatisfiability, and others at finding solutions. Recent attempts have been made to learn an instance's satisfiability using deep learning techniques.
SAT solvers are developed and compared in SAT-solving contests. Modern SAT solvers are also having significant impact on the fields of software verification, constraint solving in artificial intelligence, and operations research, among others.
See also
Unsatisfiable core
Satisfiability modulo theories
Counting SAT
Planar SAT
Karloff–Zwick algorithm
Circuit satisfiability
Notes
External links
SAT Game: try solving a Boolean satisfiability problem yourself
The international SAT competition website
International Conference on Theory and Applications of Satisfiability Testing
Journal on Satisfiability, Boolean Modeling and Computation
SAT Live, an aggregate website for research on the satisfiability problem
Yearly evaluation of MaxSAT solvers
References
Sources
This article includes material from https://web.archive.org/web/20070708233347/http://www.sigda.org/newsletter/2006/eNews_061201.html by Prof. Karem A. Sakallah.
Further reading
(by date of publication)
Boolean algebra
Electronic design automation
Formal methods
Logic in computer science
NP-complete problems
Satisfiability problems | 11 |
The British Empire comprised the dominions, colonies, protectorates, mandates, and other territories ruled or administered by the United Kingdom and its predecessor states. It began with the overseas possessions and trading posts established by England in the late 16th and early 17th centuries.
At its height in the 19th and early 20th century, it was the largest empire in history and, for a century, was the foremost global power. By 1913, the British Empire held sway over 412 million people, of the world population at the time, and by 1920, it covered , of the Earth's total land area. As a result, its constitutional, legal, linguistic, and cultural legacy is widespread. At the peak of its power, it was described as "the empire on which the sun never sets", as the sun was always shining on at least one of its territories.
During the Age of Discovery in the 15th and 16th centuries, Portugal and Spain pioneered European exploration of the globe, and in the process established large overseas empires. Envious of the great wealth these empires generated, England, France, and the Netherlands began to establish colonies and trade networks of their own in the Americas and Asia. A series of wars in the 17th and 18th centuries with the Netherlands and France left England (Britain, following the 1707 Act of Union with Scotland) the dominant colonial power in North America. Britain became the dominant power in the Indian subcontinent after the East India Company's conquest of Mughal Bengal at the Battle of Plassey in 1757.
The American War of Independence resulted in Britain losing some of its oldest and most populous colonies in North America by 1783. While retaining control of British North America (now Canada) and territories in and near the Caribbean in the British West Indies, British colonial expansion turned towards Asia, Africa, and the Pacific. After the defeat of France in the Napoleonic Wars (1803–1815), Britain emerged as the principal naval and imperial power of the 19th century and expanded its imperial holdings. It pursued trade concessions in China and Japan, and territory in Southeast Asia. The "Great Game" and "Scramble for Africa" also ensued. The period of relative peace (1815–1914) during which the British Empire became the global hegemon was later described as (Latin for "British Peace"). Alongside the formal control that Britain exerted over its colonies, its dominance of much of world trade, and of its oceans, meant that it effectively controlled the economies of, and readily enforced its interests in, many regions, such as Asia and Latin America. It also came to dominate the Middle East. Increasing degrees of autonomy were granted to its white settler colonies, some of which were formally reclassified as Dominions by the 1920s. By the start of the 20th century, Germany and the United States had begun to challenge Britain's economic lead. Military, economic and colonial tensions between Britain and Germany were major causes of the First World War, during which Britain relied heavily on its empire. The conflict placed enormous strain on its military, financial, and manpower resources. Although the empire achieved its largest territorial extent immediately after the First World War, Britain was no longer the world's preeminent industrial or military power.
In the Second World War, Britain's colonies in East Asia and Southeast Asia were occupied by the Empire of Japan. Despite the final victory of Britain and its allies, the damage to British prestige and economy helped accelerate the decline of the empire. India, Britain's most valuable and populous possession, achieved independence in 1947 as part of a larger decolonisation movement, in which Britain granted independence to most territories of the empire. The Suez Crisis of 1956 confirmed Britain's decline as a global power, and the transfer of Hong Kong to China on 1 July 1997 symbolised for many the end of the British Empire, though fourteen overseas territories that are remnants of the empire remain under British sovereignty. After independence, many former British colonies, along with most of the dominions, joined the Commonwealth of Nations, a free association of independent states. Fifteen of these, including the United Kingdom, retain a common monarch, currently King Charles III.
Origins (1497–1583)
The foundations of the British Empire were laid when England and Scotland were separate kingdoms. In 1496, King Henry VII of England, following the successes of Spain and Portugal in overseas exploration, commissioned John Cabot to lead an expedition to discover a northwest passage to Asia via the North Atlantic. Cabot sailed in 1497, five years after the first voyage of Christopher Columbus, and made landfall on the coast of Newfoundland. He believed he had reached Asia, and there was no attempt to found a colony. Cabot led another voyage to the Americas the following year but did not return; it is unknown what happened to his ships.
No further attempts to establish English colonies in the Americas were made until well into the reign of Queen Elizabeth I, during the last decades of the 16th century. In the meantime, Henry VIII's 1533 Statute in Restraint of Appeals had declared "that this realm of England is an Empire". The Protestant Reformation turned England and Catholic Spain into implacable enemies. In 1562, Elizabeth I encouraged the privateers John Hawkins and Francis Drake to engage in slave-raiding attacks against Spanish and Portuguese ships off the coast of West Africa with the aim of establishing an Atlantic slave trade. This effort was rebuffed and later, as the Anglo-Spanish Wars intensified, Elizabeth I gave her blessing to further privateering raids against Spanish ports in the Americas and shipping that was returning across the Atlantic, laden with treasure from the New World. At the same time, influential writers such as Richard Hakluyt and John Dee (who was the first to use the term "British Empire") were beginning to press for the establishment of England's own empire. By this time, Spain had become the dominant power in the Americas and was exploring the Pacific Ocean, Portugal had established trading posts and forts from the coasts of Africa and Brazil to China, and France had begun to settle the Saint Lawrence River area, later to become New France.
Although England tended to trail behind Portugal, Spain, and France in establishing overseas colonies, it carried out its first modern colonisation, referred to as the Munster Plantations, in 16th century Ireland by settling it with English and welsh protestant settlers. England had already colonised part of the country following the Norman invasion of Ireland in 1169. Several people who helped establish the Munster plantations later played a part in the early colonisation of North America, particularly a group known as the West Country Men.
English overseas possessions (1583–1707)
In 1578, Elizabeth I granted a patent to Humphrey Gilbert for discovery and overseas exploration. That year, Gilbert sailed for the Caribbean with the intention of engaging in piracy and establishing a colony in North America, but the expedition was aborted before it had crossed the Atlantic. In 1583, he embarked on a second attempt. On this occasion, he formally claimed the harbour of the island of Newfoundland, although no settlers were left behind. Gilbert did not survive the return journey to England and was succeeded by his half-brother, Walter Raleigh, who was granted his own patent by Elizabeth in 1584. Later that year, Raleigh founded the Roanoke Colony on the coast of present-day North Carolina, but lack of supplies caused the colony to fail.
In 1603, James VI of Scotland ascended (as James I) to the English throne and in 1604 negotiated the Treaty of London, ending hostilities with Spain. Now at peace with its main rival, English attention shifted from preying on other nations' colonial infrastructures to the business of establishing its own overseas colonies. The British Empire began to take shape during the early 17th century, with the English settlement of North America and the smaller islands of the Caribbean, and the establishment of joint-stock companies, most notably the East India Company, to administer colonies and overseas trade. This period, until the loss of the Thirteen Colonies after the American War of Independence towards the end of the 18th century, has been referred to by some historians as the "First British Empire".
Americas, Africa and the slave trade
England's early efforts at colonisation in the Americas met with mixed success. An attempt to establish a colony in Guiana in 1604 lasted only two years and failed in its main objective to find gold deposits. Colonies on the Caribbean islands of St Lucia (1605) and Grenada (1609) rapidly folded. The first permanent English settlement in the Americas was founded in 1607 in Jamestown by Captain John Smith, and managed by the Virginia Company; the Crown took direct control of the venture in 1624, thereby founding the Colony of Virginia. Bermuda was settled and claimed by England as a result of the 1609 shipwreck of the Virginia Company's flagship, while attempts to settle Newfoundland were largely unsuccessful. In 1620, Plymouth was founded as a haven by Puritan religious separatists, later known as the Pilgrims. Fleeing from religious persecution would become the motive for many English would-be colonists to risk the arduous trans-Atlantic voyage: Maryland was established by English Roman Catholics (1634), Rhode Island (1636) as a colony tolerant of all religions and Connecticut (1639) for Congregationalists. England's North American holdings were further expanded by the annexation of the Dutch colony of New Netherland in 1664, following the capture of New Amsterdam, which was renamed New York. Although less financially successful than colonies in the Caribbean, these territories had large areas of good agricultural land and attracted far greater numbers of English emigrants, who preferred their temperate climates.
The British West Indies initially provided England's most important and lucrative colonies. Settlements were successfully established in St. Kitts (1624), Barbados (1627) and Nevis (1628), but struggled until the "Sugar Revolution" transformed the Caribbean economy in the mid-17th century. Large sugarcane plantations were first established in the 1640s on Barbados, with assistance from Dutch merchants and Sephardic Jews fleeing Portuguese Brazil. At first, sugar was grown primarily using white indentured labour, but rising costs soon led English traders to embrace the use of imported African slaves. The enormous wealth generated by slave-produced sugar made Barbados the most successful colony in the Americas, and one of the most densely populated places in the world. This boom led to the spread of sugar cultivation across the Caribbean, financed the development of non-plantation colonies in North America, and accelerated the growth of the Atlantic slave trade, particularly the triangular trade of slaves, sugar and provisions between Africa, the West Indies and Europe.
To ensure that the increasingly healthy profits of colonial trade remained in English hands, Parliament decreed in 1651 that only English ships would be able to ply their trade in English colonies. This led to hostilities with the United Dutch Provinces—a series of Anglo-Dutch Wars—which would eventually strengthen England's position in the Americas at the expense of the Dutch. In 1655, England annexed the island of Jamaica from the Spanish, and in 1666 succeeded in colonising the Bahamas.
In 1670, Charles II incorporated by royal charter the Hudson's Bay Company (HBC), granting it a monopoly on the fur trade in the area known as Rupert's Land, which would later form a large proportion of the Dominion of Canada. Forts and trading posts established by the HBC were frequently the subject of attacks by the French, who had established their own fur trading colony in adjacent New France.
Two years later, the Royal African Company was granted a monopoly on the supply of slaves to the British colonies in the Caribbean. The company would transport more slaves across the Atlantic than any other, and significantly grew England's share of the trade, from 33 per cent in 1673 to 74 per cent in 1683. The removal of this monopoly between 1688 and 1712 allowed independent British slave traders to thrive, leading to a rapid escalation in the number of slaves transported. British ships carried a third of all slaves shipped across the Atlantic—approximately 3.5 million Africans—until the abolition of the trade by Parliament in 1807 (see ). To facilitate the shipment of slaves, forts were established on the coast of West Africa, such as James Island, Accra and Bunce Island. In the British Caribbean, the percentage of the population of African descent rose from 25 per cent in 1650 to around 80 per cent in 1780, and in the Thirteen Colonies from 10 per cent to 40 per cent over the same period (the majority in the southern colonies). The transatlantic slave trade played a pervasive role in British economic life, and became a major economic mainstay for western port cities. Ships registered in Bristol, Liverpool and London were responsible for the bulk of British slave trading. For the transported, harsh and unhygienic conditions on the slaving ships and poor diets meant that the average mortality rate during the Middle Passage was one in seven.
Rivalry with other European empires
At the end of the 16th century, England and the Dutch Empire began to challenge the Portuguese Empire's monopoly of trade with Asia, forming private joint-stock companies to finance the voyages—the English, later British, East India Company and the Dutch East India Company, chartered in 1600 and 1602 respectively. The primary aim of these companies was to tap into the lucrative spice trade, an effort focused mainly on two regions: the East Indies archipelago, and an important hub in the trade network, India. There, they competed for trade supremacy with Portugal and with each other. Although England eclipsed the Netherlands as a colonial power, in the short term the Netherlands' more advanced financial system and the three Anglo-Dutch Wars of the 17th century left it with a stronger position in Asia. Hostilities ceased after the Glorious Revolution of 1688 when the Dutch William of Orange ascended the English throne, bringing peace between the Dutch Republic and England. A deal between the two nations left the spice trade of the East Indies archipelago to the Netherlands and the textiles industry of India to England, but textiles soon overtook spices in terms of profitability.
Peace between England and the Netherlands in 1688 meant the two countries entered the Nine Years' War as allies, but the conflict—waged in Europe and overseas between France, Spain and the Anglo-Dutch alliance—left the English a stronger colonial power than the Dutch, who were forced to devote a larger proportion of their military budget to the costly land war in Europe. The death of Charles II of Spain in 1700 and his bequeathal of Spain and its colonial empire to Philip V of Spain, a grandson of the King of France, raised the prospect of the unification of France, Spain and their respective colonies, an unacceptable state of affairs for England and the other powers of Europe. In 1701, England, Portugal and the Netherlands sided with the Holy Roman Empire against Spain and France in the War of the Spanish Succession, which lasted for thirteen years.
Scottish attempt to expand overseas
In 1695, the Parliament of Scotland granted a charter to the Company of Scotland, which established a settlement in 1698 on the Isthmus of Panama. Besieged by neighbouring Spanish colonists of New Granada, and affected by malaria, the colony was abandoned two years later. The Darien scheme was a financial disaster for Scotland: a quarter of Scottish capital was lost in the enterprise. The episode had major political consequences, helping to persuade the government of the Kingdom of Scotland of the merits of turning the personal union with England into a political and economic one under the Kingdom of Great Britain established by the Acts of Union 1707.
"First" British Empire (1707–1783)
The 18th century saw the newly united Great Britain rise to be the world's dominant colonial power, with France becoming its main rival on the imperial stage. Great Britain, Portugal, the Netherlands, and the Holy Roman Empire continued the War of the Spanish Succession, which lasted until 1714 and was concluded by the Treaty of Utrecht. Philip V of Spain renounced his and his descendants' claim to the French throne, and Spain lost its empire in Europe. The British Empire was territorially enlarged: from France, Britain gained Newfoundland and Acadia, and from Spain Gibraltar and Menorca. Gibraltar became a critical naval base and allowed Britain to control the Atlantic entry and exit point to the Mediterranean. Spain ceded the rights to the lucrative asiento (permission to sell African slaves in Spanish America) to Britain. With the outbreak of the Anglo-Spanish War of Jenkins' Ear in 1739, Spanish privateers attacked British merchant shipping along the Triangle Trade routes. In 1746, the Spanish and British began peace talks, with the King of Spain agreeing to stop all attacks on British shipping; however, in the 1750 Treaty of Madrid Britain lost its slave-trading rights in Latin America.
In the East Indies, British and Dutch merchants continued to compete in spices and textiles. With textiles becoming the larger trade, by 1720, in terms of sales, the British company had overtaken the Dutch. During the middle decades of the 18th century, there were several outbreaks of military conflict on the Indian subcontinent, as the English East India Company and its French counterpart, struggled alongside local rulers to fill the vacuum that had been left by the decline of the Mughal Empire. The Battle of Plassey in 1757, in which the British defeated the Nawab of Bengal and his French allies, left the British East India Company in control of Bengal and as the major military and political power in India. France was left control of its enclaves but with military restrictions and an obligation to support British client states, ending French hopes of controlling India. In the following decades the British East India Company gradually increased the size of the territories under its control, either ruling directly or via local rulers under the threat of force from the Presidency Armies, the vast majority of which was composed of Indian sepoys, led by British officers. The British and French struggles in India became but one theatre of the global Seven Years' War (1756–1763) involving France, Britain, and the other major European powers.
The signing of the Treaty of Paris of 1763 had important consequences for the future of the British Empire. In North America, France's future as a colonial power effectively ended with the recognition of British claims to Rupert's Land, and the ceding of New France to Britain (leaving a sizeable French-speaking population under British control) and Louisiana to Spain. Spain ceded Florida to Britain. Along with its victory over France in India, the Seven Years' War therefore left Britain as the world's most powerful maritime power.
Loss of the Thirteen American Colonies
During the 1760s and early 1770s, relations between the Thirteen Colonies and Britain became increasingly strained, primarily because of resentment of the British Parliament's attempts to govern and tax American colonists without their consent. This was summarised at the time by the colonists' slogan "No taxation without representation", a perceived violation of the guaranteed Rights of Englishmen. The American Revolution began with a rejection of Parliamentary authority and moves towards self-government. In response, Britain sent troops to reimpose direct rule, leading to the outbreak of war in 1775. The following year, in 1776, the Second Continental Congress issued the Declaration of Independence proclaiming the colonies' sovereignty from the British Empire as the new United States of America. The entry of French and Spanish forces into the war tipped the military balance in the Americans' favour and after a decisive defeat at Yorktown in 1781, Britain began negotiating peace terms. American independence was acknowledged at the Peace of Paris in 1783.
The loss of such a large portion of British America, at the time Britain's most populous overseas possession, is seen by some historians as the event defining the transition between the "first" and "second" empires, in which Britain shifted its attention away from the Americas to Asia, the Pacific and later Africa. Adam Smith's Wealth of Nations, published in 1776, had argued that colonies were redundant, and that free trade should replace the old mercantilist policies that had characterised the first period of colonial expansion, dating back to the protectionism of Spain and Portugal. The growth of trade between the newly independent United States and Britain after 1783 seemed to confirm Smith's view that political control was not necessary for economic success.
The war to the south influenced British policy in Canada, where between 40,000 and 100,000 defeated Loyalists had migrated from the new United States following independence. The 14,000 Loyalists who went to the Saint John and Saint Croix river valleys, then part of Nova Scotia, felt too far removed from the provincial government in Halifax, so London split off New Brunswick as a separate colony in 1784. The Constitutional Act of 1791 created the provinces of Upper Canada (mainly English speaking) and Lower Canada (mainly French-speaking) to defuse tensions between the French and British communities, and implemented governmental systems similar to those employed in Britain, with the intention of asserting imperial authority and not allowing the sort of popular control of government that was perceived to have led to the American Revolution.
Tensions between Britain and the United States escalated again during the Napoleonic Wars, as Britain tried to cut off American trade with France and boarded American ships to impress men into the Royal Navy. The United States Congress declared war, the War of 1812, and invaded Canadian territory. In response, Britain invaded the US, but the pre-war boundaries were reaffirmed by the 1814 Treaty of Ghent, ensuring Canada's future would be separate from that of the United States.
Rise of the "Second" British Empire (1783–1815)
Exploration of the Pacific
Since 1718, transportation to the American colonies had been a penalty for various offences in Britain, with approximately one thousand convicts transported per year. Forced to find an alternative location after the loss of the Thirteen Colonies in 1783, the British government turned to Australia. The coast of Australia had been discovered for Europeans by the Dutch in 1606, but there was no attempt to colonise it. In 1770 James Cook charted the eastern coast while on a scientific voyage, claimed the continent for Britain, and named it New South Wales. In 1778, Joseph Banks, Cook's botanist on the voyage, presented evidence to the government on the suitability of Botany Bay for the establishment of a penal settlement, and in 1787 the first shipment of convicts set sail, arriving in 1788. Unusually, Australia was claimed through proclamation. Indigenous Australians were considered too uncivilised to require treaties, and colonisation brought disease and violence that together with the deliberate dispossession of land and culture were devastating to these peoples. Britain continued to transport convicts to New South Wales until 1840, to Tasmania until 1853 and to Western Australia until 1868. The Australian colonies became profitable exporters of wool and gold, mainly because of the Victorian gold rush, making its capital Melbourne for a time the richest city in the world.
During his voyage, Cook visited New Zealand, known to Europeans due to the 1642 voyage of the Dutch explorer, Abel Tasman. Cook claimed both the North and the South islands for the British crown in 1769 and 1770 respectively. Initially, interaction between the indigenous Maori population and European settlers was limited to the trading of goods. European settlement increased through the early decades of the 19th century, with many trading stations being established, especially in the North. In 1839, the New Zealand Company announced plans to buy large tracts of land and establish colonies in New Zealand. On 6 February 1840, Captain William Hobson and around 40 Maori chiefs signed the Treaty of Waitangi which is considered to be New Zealand's founding document, despite differing interpretations of the Maori and English versions of the text being the cause of ongoing dispute.
The British also expanded their mercantile interests in the North Pacific. Spain and Britain had become rivals in the area, culminating in the Nootka Crisis in 1789. Both sides mobilised for war, but when France refused to support Spain it was forced to back down, leading to the Nootka Convention. The outcome was a humiliation for Spain, which practically renounced all sovereignty on the North Pacific coast. This opened the way to British expansion in the area, and a number of expeditions took place; firstly a naval expedition led by George Vancouver which explored the inlets around the Pacific North West, particularly around Vancouver Island. On land, expeditions sought to discover a river route to the Pacific for the extension of the North American fur trade. Alexander Mackenzie of the North West Company led the first, starting out in 1792, and a year later he became the first European to reach the Pacific overland north of the Rio Grande, reaching the ocean near present-day Bella Coola. This preceded the Lewis and Clark Expedition by twelve years. Shortly thereafter, Mackenzie's companion, John Finlay, founded the first permanent European settlement in British Columbia, Fort St. John. The North West Company sought further exploration and backed expeditions by David Thompson, starting in 1797, and later by Simon Fraser. These pushed into the wilderness territories of the Rocky Mountains and Interior Plateau to the Strait of Georgia on the Pacific Coast, expanding British North America westward.
Wars with France
Britain was challenged again by France under Napoleon, in a struggle that, unlike previous wars, represented a contest of ideologies between the two nations. It was not only Britain's position on the world stage that was at risk: Napoleon threatened to invade Britain itself, just as his armies had overrun many countries of continental Europe.
The Napoleonic Wars were therefore ones in which Britain invested large amounts of capital and resources to win. French ports were blockaded by the Royal Navy, which won a decisive victory over a French Imperial Navy-Spanish Navy fleet at the Battle of Trafalgar in 1805. Overseas colonies were attacked and occupied, including those of the Netherlands, which was annexed by Napoleon in 1810. France was finally defeated by a coalition of European armies in 1815. Britain was again the beneficiary of peace treaties: France ceded the Ionian Islands, Malta (which it had occupied in 1798), Mauritius, St Lucia, the Seychelles, and Tobago; Spain ceded Trinidad; the Netherlands ceded Guyana, Ceylon and the Cape Colony, while the Danish ceded Heligoland. Britain returned Guadeloupe, Martinique, French Guiana, and Réunion to France; Menorca to Spain; Danish West Indies to Denmark and Java and Suriname to the Netherlands.
Abolition of slavery
With the advent of the Industrial Revolution, goods produced by slavery became less important to the British economy. Added to this was the cost of suppressing regular slave rebellions. With support from the British abolitionist movement, Parliament enacted the Slave Trade Act in 1807, which abolished the slave trade in the empire. In 1808, Sierra Leone Colony was designated an official British colony for freed slaves. Parliamentary reform in 1832 saw the influence of the West India Committee decline. The Slavery Abolition Act, passed the following year, abolished slavery in the British Empire on 1 August 1834, finally bringing the empire into line with the law in the UK (with the exception of the territories administered by the East India Company and Ceylon, where slavery was ended in 1844). Under the Act, slaves were granted full emancipation after a period of four to six years of "apprenticeship". Facing further opposition from abolitionists, the apprenticeship system was abolished in 1838. The British government compensated slave-owners.
Britain's imperial century (1815–1914)
Between 1815 and 1914, a period referred to as Britain's "imperial century" by some historians, around of territory and roughly 400 million people were added to the British Empire. Victory over Napoleon left Britain without any serious international rival, other than Russia in Central Asia. Unchallenged at sea, Britain adopted the role of global policeman, a state of affairs later known as the Pax Britannica, and a foreign policy of "splendid isolation". Alongside the formal control it exerted over its own colonies, Britain's dominant position in world trade meant that it effectively controlled the economies of many countries, such as China, Argentina and Siam, which has been described by some historians as an "Informal Empire".
British imperial strength was underpinned by the steamship and the telegraph, new technologies invented in the second half of the 19th century, allowing it to control and defend the empire. By 1902, the British Empire was linked together by a network of telegraph cables, called the All Red Line.
East India Company rule and the British Raj in India
The East India Company drove the expansion of the British Empire in Asia. The company's army had first joined forces with the Royal Navy during the Seven Years' War, and the two continued to co-operate in arenas outside India: the eviction of the French from Egypt (1799), the capture of Java from the Netherlands (1811), the acquisition of Penang Island (1786), Singapore (1819) and Malacca (1824), and the defeat of Burma (1826).
From its base in India, the company had been engaged in an increasingly profitable opium export trade to Qing China since the 1730s. This trade, illegal since it was outlawed by China in 1729, helped reverse the trade imbalances resulting from the British imports of tea, which saw large outflows of silver from Britain to China. In 1839, the confiscation by the Chinese authorities at Canton of 20,000 chests of opium led Britain to attack China in the First Opium War, and resulted in the seizure by Britain of Hong Kong Island, at that time a minor settlement, and other Treaty Ports including Shanghai.
During the late 18th and early 19th centuries, the British Crown began to assume an increasingly large role in the affairs of the company. A series of Acts of Parliament were passed, including the Regulating Act of 1773, Pitt's India Act of 1784 and the Charter Act of 1813 which regulated the company's affairs and established the sovereignty of the Crown over the territories that it had acquired. The company's eventual end was precipitated by the Indian Rebellion in 1857, a conflict that had begun with the mutiny of sepoys, Indian troops under British officers and discipline. The rebellion took six months to suppress, with heavy loss of life on both sides. The following year the British government dissolved the company and assumed direct control over India through the Government of India Act 1858, establishing the British Raj, where an appointed governor-general administered India and Queen Victoria was crowned the Empress of India. India became the empire's most valuable possession, "the Jewel in the Crown", and was the most important source of Britain's strength.
A series of serious crop failures in the late 19th century led to widespread famines on the subcontinent in which it is estimated that over 15 million people died. The East India Company had failed to implement any coordinated policy to deal with the famines during its period of rule. Later, under direct British rule, commissions were set up after each famine to investigate the causes and implement new policies, which took until the early 1900s to have an effect.
Rivalry with Russia
During the 19th century, Britain and the Russian Empire vied to fill the power vacuums that had been left by the declining Ottoman Empire, Qajar dynasty and Qing dynasty. This rivalry in Central Asia came to be known as the "Great Game". As far as Britain was concerned, defeats inflicted by Russia on Persia and Turkey demonstrated its imperial ambitions and capabilities and stoked fears in Britain of an overland invasion of India. In 1839, Britain moved to pre-empt this by invading Afghanistan, but the First Anglo-Afghan War was a disaster for Britain.
When Russia invaded the Ottoman Balkans in 1853, fears of Russian dominance in the Mediterranean and the Middle East led Britain and France to enter the war in support of the Ottoman Empire and invade the Crimean Peninsula to destroy Russian naval capabilities. The ensuing Crimean War (1854–1856), which involved new techniques of modern warfare, was the only global war fought between Britain and another imperial power during the Pax Britannica and was a resounding defeat for Russia. The situation remained unresolved in Central Asia for two more decades, with Britain annexing Baluchistan in 1876 and Russia annexing Kirghizia, Kazakhstan, and Turkmenistan. For a while, it appeared that another war would be inevitable, but the two countries reached an agreement on their respective spheres of influence in the region in 1878 and on all outstanding matters in 1907 with the signing of the Anglo-Russian Entente. The destruction of the Imperial Russian Navy by the Imperial Japanese Navy at the Battle of Tsushima during the Russo-Japanese War of 1904–1905 limited its threat to the British.
Cape to Cairo
The Dutch East India Company had founded the Dutch Cape Colony on the southern tip of Africa in 1652 as a way station for its ships travelling to and from its colonies in the East Indies. Britain formally acquired the colony, and its large Afrikaner (or Boer) population in 1806, having occupied it in 1795 to prevent its falling into French hands during the Flanders Campaign. British immigration to the Cape Colony began to rise after 1820, and pushed thousands of Boers, resentful of British rule, northwards to found their own—mostly short-lived—independent republics, during the Great Trek of the late 1830s and early 1840s. In the process the Voortrekkers clashed repeatedly with the British, who had their own agenda with regard to colonial expansion in South Africa and to the various native African polities, including those of the Sotho people and the Zulu Kingdom. Eventually, the Boers established two republics that had a longer lifespan: the South African Republic or Transvaal Republic (1852–1877; 1881–1902) and the Orange Free State (1854–1902). In 1902 Britain occupied both republics, concluding a treaty with the two Boer Republics following the Second Boer War (1899–1902).
In 1869 the Suez Canal opened under Napoleon III, linking the Mediterranean Sea with the Indian Ocean. Initially the Canal was opposed by the British; but once opened, its strategic value was quickly recognised and became the "jugular vein of the Empire". In 1875, the Conservative government of Benjamin Disraeli bought the indebted Egyptian ruler Isma'il Pasha's 44 per cent shareholding in the Suez Canal for £4 million (equivalent to £ in ). Although this did not grant outright control of the strategic waterway, it did give Britain leverage. Joint Anglo-French financial control over Egypt ended in outright British occupation in 1882. Although Britain controlled the Khedivate of Egypt into the 20th century, it was officially a vassal state of the Ottoman Empire and not part of the British Empire. The French were still majority shareholders and attempted to weaken the British position, but a compromise was reached with the 1888 Convention of Constantinople, which made the Canal officially neutral territory.
With competitive French, Belgian and Portuguese activity in the lower Congo River region undermining orderly colonisation of tropical Africa, the Berlin Conference of 1884–85 was held to regulate the competition between the European powers in what was called the "Scramble for Africa" by defining "effective occupation" as the criterion for international recognition of territorial claims. The scramble continued into the 1890s, and caused Britain to reconsider its decision in 1885 to withdraw from Sudan. A joint force of British and Egyptian troops defeated the Mahdist Army in 1896 and rebuffed an attempted French invasion at Fashoda in 1898. Sudan was nominally made an Anglo-Egyptian condominium, but a British colony in reality.
British gains in Southern and East Africa prompted Cecil Rhodes, pioneer of British expansion in Southern Africa, to urge a "Cape to Cairo" railway linking the strategically important Suez Canal to the mineral-rich south of the continent. During the 1880s and 1890s, Rhodes, with his privately owned British South Africa Company, occupied and annexed territories named after him, Rhodesia.
Changing status of the white colonies
The path to independence for the white colonies of the British Empire began with the 1839 Durham Report, which proposed unification and self-government for Upper and Lower Canada, as a solution to political unrest which had erupted in armed rebellions in 1837. This began with the passing of the Act of Union in 1840, which created the Province of Canada. Responsible government was first granted to Nova Scotia in 1848, and was soon extended to the other British North American colonies. With the passage of the British North America Act, 1867 by the British Parliament, the Province of Canada, New Brunswick and Nova Scotia were formed into Canada, a confederation enjoying full self-government with the exception of international relations. Australia and New Zealand achieved similar levels of self-government after 1900, with the Australian colonies federating in 1901. The term "dominion status" was officially introduced at the 1907 Imperial Conference.
The last decades of the 19th century saw concerted political campaigns for Irish home rule. Ireland had been united with Britain into the United Kingdom of Great Britain and Ireland with the Act of Union 1800 after the Irish Rebellion of 1798, and had suffered a severe famine between 1845 and 1852. Home rule was supported by the British Prime minister, William Gladstone, who hoped that Ireland might follow in Canada's footsteps as a Dominion within the empire, but his 1886 Home Rule bill was defeated in Parliament. Although the bill, if passed, would have granted Ireland less autonomy within the UK than the Canadian provinces had within their own federation, many MPs feared that a partially independent Ireland might pose a security threat to Great Britain or mark the beginning of the break-up of the empire. A second Home Rule bill was defeated for similar reasons. A third bill was passed by Parliament in 1914, but not implemented because of the outbreak of the First World War leading to the 1916 Easter Rising.
World wars (1914–1945)
By the turn of the 20th century, fears had begun to grow in Britain that it would no longer be able to defend the metropole and the entirety of the empire while at the same time maintaining the policy of "splendid isolation". Germany was rapidly rising as a military and industrial power and was now seen as the most likely opponent in any future war. Recognising that it was overstretched in the Pacific and threatened at home by the Imperial German Navy, Britain formed an alliance with Japan in 1902 and with its old enemies France and Russia in 1904 and 1907, respectively.
First World War
Britain's fears of war with Germany were realised in 1914 with the outbreak of the First World War. Britain quickly invaded and occupied most of Germany's overseas colonies in Africa. In the Pacific, Australia and New Zealand occupied German New Guinea and German Samoa respectively. Plans for a post-war division of the Ottoman Empire, which had joined the war on Germany's side, were secretly drawn up by Britain and France under the 1916 Sykes–Picot Agreement. This agreement was not divulged to the Sharif of Mecca, who the British had been encouraging to launch an Arab revolt against their Ottoman rulers, giving the impression that Britain was supporting the creation of an independent Arab state.
The British declaration of war on Germany and its allies committed the colonies and Dominions, which provided invaluable military, financial and material support. Over 2.5 million men served in the armies of the Dominions, as well as many thousands of volunteers from the Crown colonies. The contributions of Australian and New Zealand troops during the 1915 Gallipoli Campaign against the Ottoman Empire had a great impact on the national consciousness at home and marked a watershed in the transition of Australia and New Zealand from colonies to nations in their own right. The countries continue to commemorate this occasion on Anzac Day. Canadians viewed the Battle of Vimy Ridge in a similar light. The important contribution of the Dominions to the war effort was recognised in 1917 by the British Prime Minister David Lloyd George when he invited each of the Dominion Prime Ministers to join an Imperial War Cabinet to co-ordinate imperial policy.
Under the terms of the concluding Treaty of Versailles signed in 1919, the empire reached its greatest extent with the addition of and 13 million new subjects. The colonies of Germany and the Ottoman Empire were distributed to the Allied powers as League of Nations mandates. Britain gained control of Palestine, Transjordan, Iraq, parts of Cameroon and Togoland, and Tanganyika. The Dominions themselves acquired mandates of their own: the Union of South Africa gained South West Africa (modern-day Namibia), Australia gained New Guinea, and New Zealand Western Samoa. Nauru was made a combined mandate of Britain and the two Pacific Dominions.
Inter-war period
The changing world order that the war had brought about, in particular the growth of the United States and Japan as naval powers, and the rise of independence movements in India and Ireland, caused a major reassessment of British imperial policy. Forced to choose between alignment with the United States or Japan, Britain opted not to renew its Anglo-Japanese Alliance and instead signed the 1922 Washington Naval Treaty, where Britain accepted naval parity with the United States. This decision was the source of much debate in Britain during the 1930s as militaristic governments took hold in Germany and Japan helped in part by the Great Depression, for it was feared that the empire could not survive a simultaneous attack by both nations. The issue of the empire's security was a serious concern in Britain, as it was vital to the British economy.
In 1919, the frustrations caused by delays to Irish home rule led the MPs of Sinn Féin, a pro-independence party that had won a majority of the Irish seats in the 1918 British general election, to establish an independent parliament in Dublin, at which Irish independence was declared. The Irish Republican Army simultaneously began a guerrilla war against the British administration. The Irish War of Independence ended in 1921 with a stalemate and the signing of the Anglo-Irish Treaty, creating the Irish Free State, a Dominion within the British Empire, with effective internal independence but still constitutionally linked with the British Crown. Northern Ireland, consisting of six of the 32 Irish counties which had been established as a devolved region under the 1920 Government of Ireland Act, immediately exercised its option under the treaty to retain its existing status within the United Kingdom.
A similar struggle began in India when the Government of India Act 1919 failed to satisfy the demand for independence. Concerns over communist and foreign plots following the Ghadar conspiracy ensured that war-time strictures were renewed by the Rowlatt Acts. This led to tension, particularly in the Punjab region, where repressive measures culminated in the Amritsar Massacre. In Britain, public opinion was divided over the morality of the massacre, between those who saw it as having saved India from anarchy, and those who viewed it with revulsion. The non-cooperation movement was called off in March 1922 following the Chauri Chaura incident, and discontent continued to simmer for the next 25 years.
In 1922, Egypt, which had been declared a British protectorate at the outbreak of the First World War, was granted formal independence, though it continued to be a British client state until 1954. British troops remained stationed in Egypt until the signing of the Anglo-Egyptian Treaty in 1936, under which it was agreed that the troops would withdraw but continue to occupy and defend the Suez Canal zone. In return, Egypt was assisted in joining the League of Nations. Iraq, a British mandate since 1920, gained membership of the League in its own right after achieving independence from Britain in 1932. In Palestine, Britain was presented with the problem of mediating between the Arabs and increasing numbers of Jews. The Balfour Declaration, which had been incorporated into the terms of the mandate, stated that a national home for the Jewish people would be established in Palestine, and Jewish immigration allowed up to a limit that would be determined by the mandatory power. This led to increasing conflict with the Arab population, who openly revolted in 1936. As the threat of war with Germany increased during the 1930s, Britain judged the support of Arabs as more important than the establishment of a Jewish homeland, and shifted to a pro-Arab stance, limiting Jewish immigration and in turn triggering a Jewish insurgency.
The right of the Dominions to set their own foreign policy, independent of Britain, was recognised at the 1923 Imperial Conference. Britain's request for military assistance from the Dominions at the outbreak of the Chanak Crisis the previous year had been turned down by Canada and South Africa, and Canada had refused to be bound by the 1923 Treaty of Lausanne. After pressure from the Irish Free State and South Africa, the 1926 Imperial Conference issued the Balfour Declaration of 1926, declaring the Dominions to be "autonomous Communities within the British Empire, equal in status, in no way subordinate one to another" within a "British Commonwealth of Nations". This declaration was given legal substance under the 1931 Statute of Westminster. The parliaments of Canada, Australia, New Zealand, the Union of South Africa, the Irish Free State and Newfoundland were now independent of British legislative control, they could nullify British laws and Britain could no longer pass laws for them without their consent. Newfoundland reverted to colonial status in 1933, suffering from financial difficulties during the Great Depression. In 1937 the Irish Free State introduced a republican constitution renaming itself Ireland.
Second World War
Britain's declaration of war against Nazi Germany in September 1939 included the Crown colonies and India but did not automatically commit the Dominions of Australia, Canada, New Zealand, Newfoundland and South Africa. All soon declared war on Germany. While Britain continued to regard Ireland as still within the British Commonwealth, Ireland chose to remain legally neutral throughout the war.
After the Fall of France in June 1940, Britain and the empire stood alone against Germany, until the German invasion of Greece on 7 April 1941. British Prime Minister Winston Churchill successfully lobbied President Franklin D. Roosevelt for military aid from the United States, but Roosevelt was not yet ready to ask Congress to commit the country to war. In August 1941, Churchill and Roosevelt met and signed the Atlantic Charter, which included the statement that "the rights of all peoples to choose the form of government under which they live" should be respected. This wording was ambiguous as to whether it referred to European countries invaded by Germany and Italy, or the peoples colonised by European nations, and would later be interpreted differently by the British, Americans, and nationalist movements.
For Churchill, the entry of the United States into the war was the "greatest joy". He felt that Britain was now assured of victory, but failed to recognise that the "many disasters, immeasurable costs and tribulations [which he knew] lay ahead" in December 1941 would have permanent consequences for the future of the empire. The manner in which British forces were rapidly defeated in the Far East irreversibly harmed Britain's standing and prestige as an imperial power, including, particularly, the Fall of Singapore, which had previously been hailed as an impregnable fortress and the eastern equivalent of Gibraltar. The realisation that Britain could not defend its entire empire pushed Australia and New Zealand, which now appeared threatened by Japanese forces, into closer ties with the United States and, ultimately, the 1951 ANZUS Pact. The war weakened the empire in other ways: undermining Britain's control of politics in India, inflicting long-term economic damage, and irrevocably changing geopolitics by pushing the Soviet Union and the United States to the centre of the global stage.
Decolonisation and decline (1945–1997)
Though Britain and the empire emerged victorious from the Second World War, the effects of the conflict were profound, both at home and abroad. Much of Europe, a continent that had dominated the world for several centuries, was in ruins, and host to the armies of the United States and the Soviet Union, who now held the balance of global power. Britain was left essentially bankrupt, with insolvency only averted in 1946 after the negotiation of a US$4.33 billion loan from the United States, the last installment of which was repaid in 2006. At the same time, anti-colonial movements were on the rise in the colonies of European nations. The situation was complicated further by the increasing Cold War rivalry of the United States and the Soviet Union. In principle, both nations were opposed to European colonialism. In practice, American anti-communism prevailed over anti-imperialism, and therefore the United States supported the continued existence of the British Empire to keep Communist expansion in check. At first, British politicians believed it would be possible to maintain Britain's role as a world power at the head of a re-imagined Commonwealth, but by 1960 they were forced to recognise that there was an irresistible "wind of change" blowing. Their priorities changed to maintaining an extensive zone of British influence and ensuring that stable, non-Communist governments were established in former colonies. In this context, while other European powers such as France and Portugal waged costly and unsuccessful wars to keep their empires intact, Britain generally adopted a policy of peaceful disengagement from its colonies, although violence occurred in Malaya, Kenya and Palestine. Between 1945 and 1965, the number of people under British rule outside the UK itself fell from 700 million to 5 million, 3 million of whom were in Hong Kong.
Initial disengagement
The pro-decolonisation Labour government, elected at the 1945 general election and led by Clement Attlee, moved quickly to tackle the most pressing issue facing the empire: Indian independence. India's two major political parties—the Indian National Congress (led by Mahatma Gandhi) and the Muslim League (led by Muhammad Ali Jinnah)—had been campaigning for independence for decades, but disagreed as to how it should be implemented. Congress favoured a unified secular Indian state, whereas the League, fearing domination by the Hindu majority, desired a separate Islamic state for Muslim-majority regions. Increasing civil unrest and the mutiny of the Royal Indian Navy during 1946 led Attlee to promise independence no later than 30 June 1948. When the urgency of the situation and risk of civil war became apparent, the newly appointed (and last) Viceroy, Lord Mountbatten, hastily brought forward the date to 15 August 1947. The borders drawn by the British to broadly partition India into Hindu and Muslim areas left tens of millions as minorities in the newly independent states of India and Pakistan. Millions of Muslims crossed from India to Pakistan and Hindus vice versa, and violence between the two communities cost hundreds of thousands of lives. Burma, which had been administered as part of British India until 1937, and Sri Lanka gained their independence the following year in 1948. India, Pakistan and Sri Lanka became members of the Commonwealth, while Burma chose not to join.
The British Mandate in Palestine, where an Arab majority lived alongside a Jewish minority, presented the British with a similar problem to that of India. The matter was complicated by large numbers of Jewish refugees seeking to be admitted to Palestine following the Holocaust, while Arabs were opposed to the creation of a Jewish state. Frustrated by the intractability of the problem, attacks by Jewish paramilitary organisations and the increasing cost of maintaining its military presence, Britain announced in 1947 that it would withdraw in 1948 and leave the matter to the United Nations to solve. The UN General Assembly subsequently voted for a plan to partition Palestine into a Jewish and an Arab state. It was immediately followed by the outbreak of a civil war between the Arabs and Jews of Palestine, and British forces withdrew amid the fighting. The British Mandate for Palestine officially terminated at midnight on 15 May 1948 as the State of Israel declared independence and the 1948 Arab-Israeli War broke out, during which the territory of the former Mandate was partitioned between Israel and the surrounding Arab states. Amid the fighting, British forces continued to withdraw from Israel, with the last British troops departing from Haifa on 30 June 1948.
Following the surrender of Japan in the Second World War, anti-Japanese resistance movements in Malaya turned their attention towards the British, who had moved to quickly retake control of the colony, valuing it as a source of rubber and tin. The fact that the guerrillas were primarily Malaysian Chinese Communists meant that the British attempt to quell the uprising was supported by the Muslim Malay majority, on the understanding that once the insurgency had been quelled, independence would be granted. The Malayan Emergency, as it was called, began in 1948 and lasted until 1960, but by 1957, Britain felt confident enough to grant independence to the Federation of Malaya within the Commonwealth. In 1963, the 11 states of the federation together with Singapore, Sarawak and North Borneo joined to form Malaysia, but in 1965 Chinese-majority Singapore was expelled from the union following tensions between the Malay and Chinese populations and became an independent city-state. Brunei, which had been a British protectorate since 1888, declined to join the union.
Suez and its aftermath
In the 1951 general election, the Conservative Party returned to power in Britain under the leadership of Winston Churchill. Churchill and the Conservatives believed that Britain's position as a world power relied on the continued existence of the empire, with the base at the Suez Canal allowing Britain to maintain its pre-eminent position in the Middle East in spite of the loss of India. Churchill could not ignore Gamal Abdul Nasser's new revolutionary government of Egypt that had taken power in 1952, and the following year it was agreed that British troops would withdraw from the Suez Canal zone and that Sudan would be granted self-determination by 1955, with independence to follow. Sudan was granted independence on 1 January 1956.
In July 1956, Nasser unilaterally nationalised the Suez Canal. The response of Anthony Eden, who had succeeded Churchill as Prime Minister, was to collude with France to engineer an Israeli attack on Egypt that would give Britain and France an excuse to intervene militarily and retake the canal. Eden infuriated US President Dwight D. Eisenhower by his lack of consultation, and Eisenhower refused to back the invasion. Another of Eisenhower's concerns was the possibility of a wider war with the Soviet Union after it threatened to intervene on the Egyptian side. Eisenhower applied financial leverage by threatening to sell US reserves of the British pound and thereby precipitate a collapse of the British currency. Though the invasion force was militarily successful in its objectives, UN intervention and US pressure forced Britain into a humiliating withdrawal of its forces, and Eden resigned.
The Suez Crisis very publicly exposed Britain's limitations to the world and confirmed Britain's decline on the world stage and its end as a first-rate power, demonstrating that henceforth it could no longer act without at least the acquiescence, if not the full support, of the United States. The events at Suez wounded British national pride, leading one Member of Parliament (MP) to describe it as "Britain's Waterloo" and another to suggest that the country had become an "American satellite". Margaret Thatcher later described the mindset she believed had befallen Britain's political leaders after Suez where they "went from believing that Britain could do anything to an almost neurotic belief that Britain could do nothing", from which Britain did not recover until the successful recapture of the Falkland Islands from Argentina in 1982.
While the Suez Crisis caused British power in the Middle East to weaken, it did not collapse. Britain again deployed its armed forces to the region, intervening in Oman (1957), Jordan (1958) and Kuwait (1961), though on these occasions with American approval, as the new Prime Minister Harold Macmillan's foreign policy was to remain firmly aligned with the United States. Although Britain granted Kuwait independence in 1961, it continued to maintain a military presence in the Middle East for another decade. On 16 January 1968, a few weeks after the devaluation of the pound, Prime Minister Harold Wilson and his Defence Secretary Denis Healey announced that British Armed Forces troops would be withdrawn from major military bases East of Suez, which included the ones in the Middle East, and primarily from Malaysia and Singapore by the end of 1971, instead of 1975 as earlier planned. By that time over 50,000 British military personnel were still stationed in the Far East, including 30,000 in Singapore. The British granted independence to the Maldives in 1965 but continued to station a garrison there until 1976, withdrew from Aden in 1967, and granted independence to Bahrain, Qatar, and the United Arab Emirates in 1971.
Wind of change
Macmillan gave a speech in Cape Town, South Africa in February 1960 where he spoke of "the wind of change blowing through this continent". Macmillan wished to avoid the same kind of colonial war that France was fighting in Algeria, and under his premiership decolonisation proceeded rapidly. To the three colonies that had been granted independence in the 1950s—Sudan, the Gold Coast and Malaya—were added nearly ten times that number during the 1960s. Owing to the rapid pace of decolonisation during this period, the cabinet post of Secretary of State for the Colonies was abolished in 1966, along with the Colonial Office, which merged with the Commonwealth Relations Office to form the Foreign and Commonwealth Office (now the Foreign, Commonwealth and Development Office) in October 1968.
Britain's remaining colonies in Africa, except for self-governing Southern Rhodesia, were all granted independence by 1968. British withdrawal from the southern and eastern parts of Africa was not a peaceful process. Kenyan independence was preceded by the eight-year Mau Mau uprising, in which tens of thousands of suspected rebels were interned by the colonial government in detention camps. Throughout the 1960s, the British government took a "No independence until majority rule" policy towards decolonising the empire, leading the white minority government of Southern Rhodesia to enact the 1965 Unilateral Declaration of Independence from Britain, resulting in a civil war that lasted until the British-mediated Lancaster House Agreement of 1979. The agreement saw the British Empire temporarily re-establish the Colony of Southern Rhodesia from 1979 to 1980 as a transitionary government to a majority-rule Republic of Zimbabwe. This was the last British possession in Africa.
In Cyprus, a guerrilla war waged by the Greek Cypriot organisation EOKA against British rule, was ended in 1959 by the London and Zürich Agreements, which resulted in Cyprus being granted independence in 1960. The UK retained the military bases of Akrotiri and Dhekelia as sovereign base areas. The Mediterranean colony of Malta was amicably granted independence from the UK in 1964 and became the country of Malta, though the idea had been raised in 1955 of integration with Britain.
Most of the UK's Caribbean territories achieved independence after the departure in 1961 and 1962 of Jamaica and Trinidad from the West Indies Federation, established in 1958 in an attempt to unite the British Caribbean colonies under one government, but which collapsed following the loss of its two largest members. Jamaica attained independence in 1962, as did Trinidad and Tobago. Barbados achieved independence in 1966 and the remainder of the eastern Caribbean islands, including the Bahamas, in the 1970s and 1980s, but Anguilla and the Turks and Caicos Islands opted to revert to British rule after they had already started on the path to independence. The British Virgin Islands, The Cayman Islands and Montserrat opted to retain ties with Britain, while Guyana achieved independence in 1966. Britain's last colony on the American mainland, British Honduras, became a self-governing colony in 1964 and was renamed Belize in 1973, achieving full independence in 1981. A dispute with Guatemala over claims to Belize was left unresolved.
British Overseas Territories in the Pacific acquired independence in the 1970s beginning with Fiji in 1970 and ending with Vanuatu in 1980. Vanuatu's independence was delayed because of political conflict between English and French-speaking communities, as the islands had been jointly administered as a condominium with France. Fiji, Papua New Guinea, Solomon Islands and Tuvalu became Commonwealth realms.
End of empire
By 1981, aside from a scattering of islands and outposts, the process of decolonisation that had begun after the Second World War was largely complete. In 1982, Britain's resolve in defending its remaining overseas territories was tested when Argentina invaded the Falkland Islands, acting on a long-standing claim that dated back to the Spanish Empire. Britain's successful military response to retake the Falkland Islands during the ensuing Falklands War contributed to reversing the downward trend in Britain's status as a world power.
The 1980s saw Canada, Australia, and New Zealand sever their final constitutional links with Britain. Although granted legislative independence by the Statute of Westminster 1931, vestigial constitutional links had remained in place. The British Parliament retained the power to amend key Canadian constitutional statutes, meaning that effectively an act of the British Parliament was required to make certain changes to the Canadian Constitution. The British Parliament had the power to pass laws extending to Canada at Canadian request. Although no longer able to pass any laws that would apply as Australian Commonwealth law, the British Parliament retained the power to legislate for the individual Australian states. With regard to New Zealand, the British Parliament retained the power to pass legislation applying to New Zealand with the New Zealand Parliament's consent. In 1982, the last legal link between Canada and Britain was severed by the Canada Act 1982, which was passed by the British parliament, formally patriating the Canadian Constitution. The act ended the need for British involvement in changes to the Canadian constitution. Similarly, the Australia Act 1986 (effective 3 March 1986) severed the constitutional link between Britain and the Australian states, while New Zealand's Constitution Act 1986 (effective 1 January 1987) reformed the constitution of New Zealand to sever its constitutional link with Britain.
On 1 January 1984, Brunei, Britain's last remaining Asian protectorate, was granted independence. Independence had been delayed due to the opposition of the Sultan, who had preferred British protection.
In September 1982 the Prime Minister, Margaret Thatcher, travelled to Beijing to negotiate with the Chinese Communist government, on the future of Britain's last major and most populous overseas territory, Hong Kong. Under the terms of the 1842 Treaty of Nanking and 1860 Convention of Peking, Hong Kong Island and Kowloon Peninsula had been respectively ceded to Britain in perpetuity, but the majority of the colony consisted of the New Territories, which had been acquired under a 99-year lease in 1898, due to expire in 1997. Thatcher, seeing parallels with the Falkland Islands, initially wished to hold Hong Kong and proposed British administration with Chinese sovereignty, though this was rejected by China. A deal was reached in 1984—under the terms of the Sino-British Joint Declaration, Hong Kong would become a special administrative region of the People's Republic of China. The handover ceremony in 1997 marked for many, including King Charles III, then Prince of Wales, who was in attendance, "the end of Empire", though many British territories that are remnants of the empire still remain.
Legacy
Britain retains sovereignty over 14 territories outside the British Isles. In 1983, the British Nationality Act 1981 renamed the existing Crown Colonies as "British Dependent Territories", and in 2002 they were renamed the British Overseas Territories. Most former British colonies and protectorates are members of the Commonwealth of Nations, a voluntary association of equal members, comprising a population of around 2.2 billion people. The United Kingdom and 14 other countries, all collectively known as the Commonwealth realms, voluntarily continue to share the same person—King Charles III—as their respective head of state. These 15 nations are distinct and equal legal entities: the United Kingdom, Australia, Canada, New Zealand, Antigua and Barbuda, The Bahamas, Belize, Grenada, Jamaica, Papua New Guinea, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Solomon Islands and Tuvalu.
Decades, and in some cases centuries, of British rule and emigration have left their mark on the independent nations that rose from the British Empire. The empire established the use of the English language in regions around the world. Today it is the primary language of up to 460 million people and is spoken by about 1.5 billion as a first, second or foreign language. Individual and team sports developed in Britain, particularly football, cricket, lawn tennis, and golf were exported. British missionaries who travelled around the globe often in advance of soldiers and civil servants spread Protestantism (including Anglicanism) to all continents. The British Empire provided refuge for religiously persecuted continental Europeans for hundreds of years.
Political boundaries drawn by the British did not always reflect homogeneous ethnicities or religions, contributing to conflicts in formerly colonised areas. The British Empire was responsible for large migrations of peoples. Millions left the British Isles, with the founding settler colonist populations of the United States, Canada, Australia and New Zealand coming mainly from Britain and Ireland. Tensions remain between the white settler populations of these countries and their indigenous minorities, and between white settler minorities and indigenous majorities in South Africa and Zimbabwe. Settlers in Ireland from Great Britain have left their mark in the form of divided nationalist and unionist communities in Northern Ireland. Millions of people moved to and from British colonies, with large numbers of Overseas Indian people emigrating to other parts of the empire, such as Malaysia and Fiji, and Overseas Chinese people to Malaysia, Singapore and the Caribbean. The demographics of the United Kingdom itself were changed after the Second World War owing to immigration to Britain from its former colonies.
In the 19th century, innovation in Britain led to revolutionary changes in manufacturing, the development of factory systems, and the growth of transportation by railway and steamship. British colonial architecture, such as in churches, railway stations and government buildings, can be seen in many cities that were once part of the British Empire. The British choice of system of measurement, the imperial system, continues to be used in some countries in various ways. The convention of driving on the left-hand side of the road has been retained in much of the former empire.
The Westminster system of parliamentary democracy has served as the template for the governments for many former colonies, and English common law for legal systems. International commercial contracts are often based on English common law. The British Judicial Committee of the Privy Council still serves as the highest court of appeal for twelve former colonies.
Historians' approaches to understanding the British Empire are diverse and evolving. Two key sites of debate over recent decades have been the impact of post-colonial studies, which seek to critically re-evaluate the history of imperialism, and the continued relevance of historians Ronald Robinson and John Gallagher, whose work greatly influenced imperial historiography during the 1950s and 1960s. In addition, differing assessments of the empire's legacy remain relevant to debates over recent history and politics, such as the Anglo-American invasions of Iraq and Afghanistan, as well as Britain's role and identity in the contemporary world.
Historians such as Caroline Elkins have argued against perceptions of the British Empire as a primarily liberalising and modernising enterprise, criticising its widespread use of violence and emergency laws to maintain power. Common criticisms of the empire include the use of detention camps in its colonies, massacres of indigenous peoples, and famine-response policies. Some scholars, including Amartya Sen, assert that British policies worsened the famines in India that killed millions during British rule. Conversely, historians such as Niall Ferguson say that the economic and institutional development the British Empire brought resulted in a net benefit to its colonies. Other historians treat its legacy as varied and ambiguous. Public attitudes towards the empire within Britain remain somewhat positive.
See also
List of British Empire-related topics
Historiography of the British Empire
Demographics of the British Empire
Economy of the British Empire
Territorial evolution of the British Empire
History of the foreign relations of the United Kingdom
Historical flags of the British Empire and the overseas territories
List of countries that gained independence from the United Kingdom
Notes
References
Works cited
External links
Collection: "British Empire" from the University of Michigan Museum of Art
Former empires
Imperialism
Victorian era
1583 establishments in the British Empire
States and territories established in 1583
States and territories disestablished in 1997
Overseas empires
History of the United Kingdom
Former countries in Ireland
Historical transcontinental empires | 14 |
Batman is a 1989 superhero film based on the DC Comics character of the same name, created by Bob Kane and Bill Finger. Directed by Tim Burton, it is the first installment of Warner Bros.' initial Batman film series. The film was produced by Jon Peters and Peter Guber and stars Jack Nicholson, Michael Keaton, Kim Basinger, Robert Wuhl, Pat Hingle, Billy Dee Williams, Michael Gough, and Jack Palance. The film takes place early in the title character's war on crime and depicts his conflict with his archenemy The Joker.
After Burton was hired as director in 1986, Steve Englehart and Julie Hickson wrote film treatments before Sam Hamm wrote the first screenplay. Batman was not greenlit until after the success of Burton's Beetlejuice (1988). The tone and themes of the film were partly influenced by Alan Moore and Brian Bolland's The Killing Joke and Frank Miller's The Dark Knight Returns. The film primarily adapts and then diverges from the "Red Hood" origin story for the Joker, having Batman inadvertently cause gangster Jack Napier to fall into Axis Chemical acid, triggering his transformation into the psychotic Joker. Additionally, Batman creator Bob Kane worked as a consultant for the film.
Numerous leading men were considered for the role of Batman before Keaton was cast. Keaton's casting was controversial since, by 1988, he had become typecast as a comedic actor and many observers doubted he could portray a serious role. Nicholson accepted the role of the Joker under strict conditions that dictated top billing, a portion of the film's earnings (including associated merchandise), and his own shooting schedule.
Filming took place at Pinewood Studios from October 1988 to January 1989. The budget escalated from $30 million to $48 million, while the 1988 Writers Guild of America strike forced Hamm to drop out. Warren Skaaren did rewrites, with additional uncredited drafts done by Charles McKeown and Jonathan Gems.
Batman was both critically and financially successful, earning over $400 million in box office totals. Critics and audiences particularly praised Nicholson and Keaton's performances, Burton's direction, the production design, and Elfman's score. It was the fifth-highest-grossing film in history at the time of its release. The film received several Saturn Award nominations and a Golden Globe nomination for Nicholson's performance, and won the Academy Award for Best Art Direction. It also led to the development of the equally successful Batman: The Animated Series (1992–1995), which in turn began the DC Animated Universe of spin-off media, and has influenced Hollywood's modern marketing and development techniques of the superhero film genre. The film was followed by three sequels: Batman Returns (1992), with both Burton and Keaton returning; Batman Forever (1995), which featured Val Kilmer in the lead role; and Batman & Robin (1997), which featured George Clooney in the role.
Plot
Reporter Alexander Knox and photojournalist Vicki Vale investigate sightings of the "Batman", a masked vigilante targeting Gotham City's criminals. Both attend a fundraiser hosted by billionaire Bruce Wayne, who is secretly Batman, having chosen this path after witnessing a mugger murder his parents when he was a child. During the event, Wayne becomes infatuated with Vale.
Meanwhile, mob boss Carl Grissom sends his sociopathic second-in-command Jack Napier to raid Axis Chemicals and retrieve incriminating evidence. However, this is secretly a ploy to have Napier murdered for sleeping with Grissom's mistress Alicia Hunt. Corrupt lieutenant Max Eckhardt arranges the hit on Napier by conducting an unauthorized police operation. However, Commissioner James Gordon arrives, takes command, and orders the officers to capture Napier alive. Batman also appears, while Napier kills Eckhardt as revenge for the double-crossing. During a scuffle with Batman, Napier topples off a catwalk and falls into a vat of chemicals. Although presumed dead, Napier survives with various disfigurements including chalk white skin and emerald green hair and nails. He undergoes surgery to repair the damage, but ends up with a rictus grin. Driven insane by his new appearance, Napier, now calling himself "the Joker", kills Grissom, massacres Grissom's associates, and takes over his operations.
He then starts terrorizing Gotham by lacing hygiene products with "Smylex" – a deadly chemical that causes victims to die laughing. The Joker soon becomes obsessed with Vicki and lures her to the Flugelheim Museum, which his henchmen start vandalizing. Batman rescues Vicki, takes her to the Batcave, and provides her with all of his research on Smylex, which will allow Gotham's residents to escape the toxin. Conflicted with his love for her, Wayne visits her apartment intending to reveal his secret identity, only for the Joker to interrupt the meeting. Joker asks Wayne, "Have you ever danced with the devil in the pale moonlight?", which Wayne recognizes as the catchphrase used by the mugger who killed his parents, realizing the killer to have been Joker (as Napier) all along. He shoots Wayne, who survives thanks to a serving tray hidden underneath his shirt.
Vicki is taken to the Batcave by Wayne's butler, Alfred Pennyworth, who had been coaxing the relationship between the pair. After exposing his secret to Vicki, Wayne reveals he cannot focus on their relationship with the Joker on the loose. He then departs to destroy the Axis plant used to create Smylex. Meanwhile, the Joker lures Gotham's citizens to a parade honoring Gotham's bicentennial with the promise of free money. This turns out to be a trap designed to dose them with Smylex gas held within giant parade balloons. Batman foils his plan by using his Batwing to remove the balloons, but Joker shoots him down. The Batwing crashes in front of a cathedral, which Joker uses to take Vicki hostage. Batman pursues the Joker, and in the ensuing fight, he explains that Napier killed his parents and thus, indirectly created Batman. This leads Joker to realize Batman is Bruce Wayne. Joker eventually pulls Batman and Vicki over the cathedral's roof, leaving them hanging while he calls in a helicopter. The helicopter is piloted by his goons, who throw down a ladder for him to climb. Batman uses a grappling hook to attach Joker's leg to a crumbling gargoyle that eventually falls off the roof. Unable to bear the statue's immense weight, Joker falls to his death while Batman and Vicki make it to safety.
Sometime later, Gordon announces that the police have arrested all of Joker's men, effectively dismantled of what remained of Carl Grissom's mafia organizations, and unveils the Bat-Signal. Batman leaves the police a note, promising to defend Gotham should crime strike again, and asking them to use the Bat-Signal to summon him in times of need. Alfred takes Vicki to Wayne Manor, explaining that Wayne will be a little late. She responds that she is not surprised, as Batman looks at the signal's projection from a rooftop, standing watch over the city.
Cast
Jack Nicholson as Jack Napier/The Joker
Hugo E. Blick as Young Jack Napier
Michael Keaton as Bruce Wayne / Batman
Charles Roskilly as Young Bruce Wayne
Kim Basinger as Vicki Vale
Robert Wuhl as Alexander Knox
Pat Hingle as Commissioner Gordon
Billy Dee Williams as Harvey Dent
Michael Gough as Alfred Pennyworth
Jack Palance as Carl Grissom
Jerry Hall as Alicia Hunt
Tracey Walter as Bob the Goon
Lee Wallace as Mayor Borg
William Hootkins as Lt. Max Eckhardt
David Baxt as Thomas Wayne
Sharon Holm as Martha Wayne
Garrick Hagon as Tourist Dad
Liza Ross as Tourist Mom
Adrian Meyers as Tourist Son
Production
Development
In the late 1970s, Batman's popularity was waning. CBS was interested in producing a Batman in Outer Space film. Producers Benjamin Melniker and Michael E. Uslan purchased the film rights of Batman from DC Comics on October 3, 1979. It was Uslan's wish "to make the definitive, dark, serious version of Batman, the way Bob Kane and Bill Finger had envisioned him in 1939. A creature of the night; stalking criminals in the shadows." Richard Maibaum was approached to write a script with Guy Hamilton to direct, but the two turned down the offer. Uslan was unsuccessful with pitching Batman to various movie studios because they wanted the film to be similar to the campy 1960s television series. Columbia Pictures and United Artists were among those to turn down the film.
A disappointed Uslan then wrote a script titled Return of the Batman to give the film industry a better idea of his vision for the film. Uslan later compared its dark tone to that of the successful four-part comic book The Dark Knight Returns, which his script predated by six years. In November 1979, producers Jon Peters and Peter Guber joined the project. Melniker and Uslan became executive producers. The four felt it was best to pattern the film's development after that of Superman (1978). Uslan, Melniker and Guber pitched Batman to Universal Pictures, but the studio turned it down. Though no movie studios were yet involved, the project was publicly announced with a budget of $15 million in July 1980 at the Comic Art Convention in New York. Warner Bros., the studio behind the successful Superman film franchise, decided to also accept and produce Batman.
Tom Mankiewicz completed a script titled The Batman in June 1983, focusing on Batman and Dick Grayson's origins, with the Joker and Rupert Thorne as villains and Silver St. Cloud as the romantic interest. Mankiewicz took inspiration from the limited series Batman: Strange Apparitions, written by Steve Englehart. Comic book artist Marshall Rogers, who worked with Englehart on Strange Apparitions, was hired for concept art. The Batman was then announced in late 1983 for a mid-1985 release date on a budget of $20 million. Originally, Mankiewicz had wanted an unknown actor for Batman, William Holden for James Gordon, David Niven as Alfred Pennyworth, and Peter O'Toole as the Penguin, whom Mankiewicz wanted to portray as a mobster with low body temperature. Holden died in 1981 and Niven in 1983, so this would never come to pass. A number of filmmakers were attached to Mankiewicz' script, including Ivan Reitman and Joe Dante. Reitman wanted to cast Bill Murray as Batman and Eddie Murphy as Robin. Nine rewrites were performed by nine separate writers. Most of them were based on Strange Apparitions. However, it was Mankiewicz's script that was still being used to guide the project. Due to the work they did together with the film Swamp Thing (1982), Wes Craven was among the directors that Melniker and Uslan considered while looking for a director.
After the financial success of Pee-wee's Big Adventure (1985), Warner Bros. hired Tim Burton to direct Batman. Burton had then-girlfriend Julie Hickson write a new 30-page film treatment, feeling the previous script by Mankiewicz was campy. The success of The Dark Knight Returns and the graphic novel Batman: The Killing Joke rekindled Warner Bros.' interest in a film adaptation. Burton was initially not a comic book fan, but he was impressed by the dark and serious tone found in both The Dark Knight Returns and The Killing Joke. Warner Bros. enlisted the aid of Englehart to write a new treatment in March 1986. Like Mankiewicz's script, it was based on his own Strange Apparitions and included Silver St. Cloud, Dick Grayson, the Joker, and Rupert Thorne, as well as a cameo appearance by the Penguin. Warner Bros. was impressed, but Englehart felt there were too many characters. He removed the Penguin and Dick Grayson in his second treatment, finishing in May 1986.
Burton approached Sam Hamm, a comic book fan, to write the screenplay. Hamm decided not to use an origin story, feeling that flashbacks would be more suitable and that "unlocking the mystery" would become part of the storyline. He reasoned, "You totally destroy your credibility if you show the literal process by which Bruce Wayne becomes Batman." Hamm replaced Silver St. Cloud with Vicki Vale and Rupert Thorne with his own creation, Carl Grissom. He completed his script in October 1986, which demoted Dick Grayson to a cameo rather than a supporting character. One scene in Hamm's script had a young James Gordon on duty the night of the murder of Bruce Wayne's parents. When Hamm's script was rewritten, the scene was deleted, reducing it to a photo in the Gotham Globe newspaper seen in the film.
Warner Bros. was less willing to move forward on development, despite their enthusiasm for Hamm's script, which Kane greeted with positive feedback. Hamm's script was then bootlegged at various comic book stores in the United States. Batman was finally given the greenlight to commence pre-production in April 1988, after the success of Burton's Beetlejuice the same year. When comic book fans found out about Burton directing the film with Michael Keaton starring in the lead role, controversy arose over the tone and direction Batman was going in. Hamm explained, "They hear Tim Burton's name and they think of Pee-wee's Big Adventure. They hear Keaton's name and they think of any number of Michael Keaton comedies. You think of the 1960s version of Batman, and it was the complete opposite of our film. We tried to market it with a typical dark and serious tone, but the fans didn't believe us." To combat negative reports on the film's production, Kane was hired as creative consultant. Batman's co-creator, Bill Finger, was uncredited at the time of the film's release and his name was not added to any Batman-related media until 2016.
Casting
Parallel to the Superman casting, a variety of Hollywood A-listers were considered for the role of Batman, including Mel Gibson, Kevin Costner, Charlie Sheen, Tom Selleck, Bill Murray, Harrison Ford and Dennis Quaid. Burton was pressured by Warner Bros. to cast an obvious action movie star, and had approached Pierce Brosnan, but he had no interest in playing a comic book character. Burton was originally interested in casting an unknown actor, Willem Dafoe, who was falsely reported to be considered for the Joker but had actually been considered for Batman early in development. Producer Jon Peters suggested Michael Keaton, arguing he had the right "edgy, tormented quality" after having seen his dramatic performance in Clean and Sober. Having directed Keaton in Beetlejuice, Burton agreed.
Keaton's casting caused a controversy among comic book fans, with 50,000 protest letters sent to Warner Bros. offices. Kane, Hamm, and Uslan also heavily questioned the casting. "Obviously there was a negative response from the comic book people. I think they thought we were going to make it like the 1960s TV series, and make it campy, because they thought of Michael Keaton from Mr. Mom and Night Shift and stuff like that." Keaton studied The Dark Knight Returns for inspiration.
Tim Curry, David Bowie, John Lithgow, Brad Dourif, Ray Liotta, and James Woods were considered for the Joker. Lithgow, during his audition, attempted to talk Burton out of casting him, a decision he would later publicly regret, stating, "I didn't realize it was such a big deal." Burton wanted to cast John Glover, but the studio insisted on using a movie star. Robin Williams lobbied hard for the part. Jack Nicholson had been the studio's top choice since 1980. Peters approached Nicholson as far back as 1986, during filming of The Witches of Eastwick; unlike Keaton, he was a popular choice for his role. Nicholson had what was known as an "off-the-clock" agreement. His contract specified the number of hours he was entitled to have off each day, from the time he left the set to the time he reported back for filming, as well as being off for Los Angeles Lakers home games. Nicholson demanded that all of his scenes be shot in a three-week block, but the schedule lapsed into 106 days. He reduced his standard $10 million fee to $6 million in exchange for a cut of the film's earnings (including associated merchandise), which led to remuneration in excess of $50 million—biographer Marc Eliot reports that Nicholson may have received as much as $90 million. He also demanded top billing on promotional materials.
Sean Young was originally cast as Vicki Vale, but was injured in a horse-riding accident prior to commencement of filming. Young's departure necessitated an urgent search for an actress who, besides being right for the part, could commit to the film at very short notice. Peters suggested Kim Basinger: she was able to join the production immediately and was cast. As a fan of Michael Gough's work in various Hammer Film Productions, Burton cast Gough as Bruce Wayne's mysterious butler, Alfred. Robert Wuhl was cast as reporter Alexander Knox. His character was originally supposed to die by the Joker's poison gas in the climax, but the filmmakers "liked [my] character so much," Wuhl said, "that they decided to let me live." Burton chose Billy Dee Williams as Harvey Dent because he wanted to include the villain Two-Face in a future film using the concept of an African-American Two-Face for the black and white concept, but Tommy Lee Jones was later cast in the role for Batman Forever, which disappointed Williams. Nicholson convinced the filmmakers to cast his close friend Tracey Walter as the Joker's henchman Bob. Irish child actor Ricky Addison Reed was cast as Dick Grayson before the character was removed by Warren Skarren for the revised shooting script. The rest of the cast included Pat Hingle as Commissioner Gordon, Jerry Hall as Alicia, Lee Wallace as Mayor Borg, William Hootkins as Lt. Eckhardt, and Jack Palance as crime boss Carl Grissom.
Design
Burton had been impressed with the design of Neil Jordan's The Company of Wolves (1984), but was unable to hire its production designer Anton Furst for Beetlejuice as Furst had instead committed to Jordan's London-filmed ghost comedy High Spirits (1988), a choice he later regretted. A year later Burton successfully hired Furst for Batman, and they enjoyed working with each other. "I don't think I've ever felt so naturally in tune with a director," Furst said. "Conceptually, spiritually, visually, or artistically. There was never any problem because we never fought over anything. Texture, attitude and feelings are what Burton is a master at."
Furst and the art department deliberately mixed clashing architectural styles to "make Gotham City the ugliest and bleakest metropolis imaginable". Furst continued, "[W]e imagined what New York City might have become without a planning commission. A city run by crime, with a riot of architectural styles. An essay in ugliness. As if hell erupted through the pavement and kept on going". The 1985 film Brazil by Terry Gilliam was also a notable influence upon the film's production design, as both Burton and Furst studied it as a reference. Black and white charcoal drawings of key locations and sets were created by Furst's longtime draftsman, Nigel Phelps. Derek Meddings served as the visual effects supervisor, overseeing the miniatures and animation. Conceptual illustrator Julian Caldow designed the Batmobile, Batwing and assorted bat-gadgets that were later constructed by prop builder John Evans. Keith Short sculpted the final body of the 1989 Batmobile, adding two Browning machine guns. On designing the Batmobile, Furst explained, "We looked at jet aircraft components, we looked at war machines, we looked at all sorts of things. In the end, we went into pure expressionism, taking the Salt Flat Racers of the 30s and the Sting Ray macho machines of the 50s". The car was built upon a Chevrolet Impala when previous development with a Jaguar and Ford Mustang failed. The car itself was later purchased by standup comedian/ventriloquist Jeff Dunham, who had it outfitted with a Corvette engine to make it street legal.
Costume designer Bob Ringwood turned down the chance to work on Licence to Kill in favor of Batman. Ringwood found it difficult designing the Batsuit because "the image of Batman in the comics is this huge, big six-foot-four hunk with a dimpled chin. Michael Keaton is a guy with average build", he stated. "The problem was to make somebody who was average-sized and ordinary-looking into this bigger-than-life creature." Burton commented, "Michael is a bit claustrophobic, which made it worse for him. The costume put him in a dark, Batman-like mood though, so he was able to use it to his advantage". Burton's idea was to use an all-black suit, and was met with positive feedback by Bob Kane. Vin Burnham was tasked with sculpting the Batsuit, in association with Alli Eynon. Jon Peters wanted to use a Nike product placement with the Batsuit. Ringwood studied over 200 comic book issues for inspiration. 28 sculpted latex designs were created; 25 different cape looks and 6 different heads were made, accumulating a total cost of $250,000. Comic book fans initially expressed negative feedback against the Batsuit. Burton opted not to use tights, spandex, or underpants as seen in the comic book, feeling it was not intimidating. Prosthetic makeup designer Nick Dudman used acrylic-based makeup paint called PAX for Nicholson's chalk-white face. Part of Nicholson's contract was approval over the makeup designer.
Filming
The filmmakers considered filming Batman entirely on the Warner Bros. backlot in Burbank, California, but media interest in the film made them change the location. It was shot at Pinewood Studios in England from October 10, 1988 to February 14, 1989, with 80 days of main shooting and 86 days of second unit shooting. 18 sound stages were used, with seven stages occupied, including the 51 acre backlot for the Gotham City set, one of the biggest ever built at the studio. Locations included Knebworth House and Hatfield House doubling for Wayne Manor, plus Acton Lane Power Station and Little Barford Power Station. The original production budget escalated from $30 million to $48 million. Filming was highly secretive. The unit publicist was offered and refused £10,000 for the first pictures of Jack Nicholson as the Joker. The police were later called in when two reels of footage (about 20 minutes' worth) were stolen. With various problems during filming, Burton called it "Torture. The worst period of my life!"
Hamm was not allowed to perform rewrites during the 1988 Writers Guild of America strike. Warren Skaaren, who had also worked on Burton's Beetlejuice, did rewrites. Jonathan Gems and Charles McKeown rewrote the script during filming. Only Skaaren received screenplay credit with Hamm. Hamm criticized the rewrites, but blamed the changes on Warner Bros. Burton explained, "I don't understand why that became such a problem. We started out with a script that everyone liked, although we recognized it needed a little work." Dick Grayson appeared in the shooting script but was deleted because the filmmakers felt he was irrelevant to the plot; Kane supported this decision.
Keaton used his comedic experience for scenes such as Bruce and Vicki's Wayne Manor dinner. He called himself a "logic freak" and was concerned that Batman's secret identity would in reality be fairly easy to uncover. Keaton discussed ideas with Burton to better disguise the character, including the use of contact lenses. Ultimately, Keaton decided to perform Batman's voice at a lower register than when he was portraying Bruce Wayne, which became a hallmark of the film version of the character, with Christian Bale later using the same technique.
Originally in the climax, the Joker was meant to kill Vicki Vale, sending Batman into a vengeful fury. Jon Peters reworked the climax without telling Burton and commissioned production designer Anton Furst to create a model of the cathedral. This cost $100,000 when the film was already well over budget. Burton disliked the idea, having no clue how the scene would end: "Here were Jack Nicholson and Kim Basinger walking up this cathedral, and halfway up Jack turns around and says, 'Why am I walking up all these stairs? Where am I going?' 'We'll talk about it when you get to the top!' I had to tell him that I didn't know."
Music
Burton hired Danny Elfman of Oingo Boingo, his collaborator on Pee-wee's Big Adventure and Beetlejuice, to compose the music score. For inspiration, Elfman was given The Dark Knight Returns. Elfman was worried, as he had never worked on a production this large in budget and scale. In addition, producer Jon Peters was skeptical of hiring Elfman, but was later convinced when he heard the opening number. Peters and Peter Guber wanted Prince to write music for the Joker and Michael Jackson to do the romance songs. Elfman would then combine the style of Prince and Jackson's songs together for the entire film score. At the encouragement of Prince's then-manager Albert Magnoli, it was also agreed that Prince himself would write and sing the film's songs.
Burton protested the ideas, citing "my movies aren't commercial like Top Gun." Elfman enlisted the help of composer Shirley Walker and Oingo Boingo lead guitarist Steve Bartek to arrange the compositions for the orchestra. Elfman was later displeased with the audio mixing of his film score. "Batman was done in England by technicians who didn't care, and the non-caring showed," he stated. "I'm not putting down England because they've done gorgeous dubs there, but this particular crew elected not to." Batman was one of the first films to spawn two soundtracks. One of them featured songs written by Prince while the other showcased Elfman's score. Both were successful, and compilations of Elfman's opening credits were used in the title sequence theme for Batman: The Animated Series, also composed by Shirley Walker.
Themes
When discussing the central theme of Batman, director Tim Burton explained, "the whole film and mythology of the character is a complete duel of the freaks. It's a fight between two disturbed people", adding, "The Joker is such a great character because there's a complete freedom to him. Any character who operates on the outside of society and is deemed a freak and an outcast then has the freedom to do what they want... They are the darker sides of freedom. Insanity is in some scary way the most freedom you can have, because you're not bound by the laws of society".
Burton saw Bruce Wayne as the bearer of a double identity, exposing one while hiding the reality from the world. Burton biographer Ken Hanke wrote that Bruce Wayne, struggling with his alter-ego as Batman, is depicted as an antihero. Hanke felt that Batman has to push the boundaries of civil justice to deal with certain criminals, such as the Joker. Kim Newman theorized that "Burton and the writers saw Batman and the Joker as a dramatic antithesis, and the film deals with their intertwined origins and fates to an even greater extent".
Batman conveys trademarks found in 1930s pulp magazines, notably the design of Gotham City stylized with Art Deco design. Richard Corliss, writing for Time, observed that Gotham's design was a reference to films such as The Cabinet of Dr. Caligari (1920) and Metropolis (1927). "Gotham City, despite being shot on a studio backlot", he continued, "is literally another character in the script. It has the demeaning presence of German Expressionism and fascist architecture, staring down at the citizens." Hanke further addressed the notions of Batman being a period piece, in that "The citizens, cops, people and the black-and-white television looks like it takes place in 1939"; but later said: "Had the filmmakers made Vicki Vale a femme fatale rather than a damsel in distress, this could have made Batman as a homage and tribute to classic film noir." Portions of the climax pay homage to Vertigo (1958).
Marketing
The B.D. Fox ad agency created hundreds of unused logos and posters for promotion, many by John Alvin. In the end Burton and producers decided on only using a gold and black logo designed by Anton Furst and airbrushed by Bill Garland, with no other key art variation, to keep an air of mystery about the film. The logo is also an ambiguous image, which can be read either as Batman's symbol or as a gaping mouth. Earlier designs "had the word 'Batman' spelled in RoboCop or Conan the Barbarian-type font". Jon Peters unified all the film's tie-ins, even turning down $6 million from General Motors to build the Batmobile because the car company would not relinquish creative control.
During production, Peters read in The Wall Street Journal that comic book fans were unsatisfied with the casting of Michael Keaton. In response, Peters rushed the first film trailer that played in thousands of theaters during Christmas. It was simply an assemblage of scenes without music, but created enormous anticipation for the film, with audiences clapping and cheering. DC Comics allowed screenwriter Sam Hamm to write his own comic book miniseries. Hamm's stories were collected in the graphic novel Batman: Blind Justice (). Denys Cowan and Dick Giordano illustrated the artwork. Blind Justice tells the story of Bruce Wayne trying to solve a series of murders connected to Wayne Enterprises. It also marks the first appearance of Henri Ducard, who was later used in the rebooted Batman Begins, albeit as an alias for the more notable Ra's al Ghul.
In the months before Batmans release in June 1989, a popular culture phenomenon known as "Batmania" began. Over $750 million worth of merchandise was sold. Cult filmmaker and comic book writer Kevin Smith remembered: "That summer was huge. You couldn't turn around without seeing the Bat-Signal somewhere. People were cutting it into their fucking heads. It was just the summer of Batman and if you were a comic book fan it was pretty hot." Hachette Book Group USA published a novelization, Batman, written by Craig Shaw Gardner. It remained on The New York Times Best Seller list throughout June 1989. Burton admitted he was annoyed by the publicity. David Handelman of The New York Observer categorized Batman as a high concept film. He believed "it is less movie than a corporate behemoth".
Reception
Box office
Batman grossed $2.2 million in late night previews on June 22, 1989, on 1,215 screens and grossed $40.49 million in 2,194 theaters during its opening weekend. This broke the opening weekend records held by Indiana Jones and the Last Crusade (which had a 4-day Memorial Day weekend gross of $37.0 million the previous month) and Ghostbusters II (which had a $29.4 million 3-day weekend the previous weekend). Upon opening, the film would go on to reach the number one spot above Honey, I Shrunk the Kids. Additionally, it had the largest opening weekend for a Jack Nicholson film for 14 years until it was dethroned by Anger Management in 2003. Batman also set a record for a second weekend gross with $30 million (also the second biggest 3-day weekend of all-time) and became the fastest film to earn $100 million, reaching it in 11 days (10 days plus late night previews). The film closed on December 14, 1989, with a final gross of $251.2 million in North America and $160.15 million internationally, totaling $411.35 million. The film would hold the record for being the highest-grossing Warner Bros. film until 1996 when Twister surpassed it. It was the highest-grossing film based on a DC comic book until 2008's The Dark Knight. Furthermore, Batman held the record for being the highest-grossing superhero film of all time until it was taken by Spider-Man in 2002. The film's gross is the 143rd highest ever in North American ranks. Although Indiana Jones and the Last Crusade made the most money worldwide in 1989, Batman was able to beat The Last Crusade in North America, and made a further $150 million in home video sales. Box Office Mojo estimates that the film sold more than 60 million tickets in the US.
Despite the film's box office – over $400 million against a budget of no more than $48 million – Warner Bros. claimed it ended up losing $35.8 million and "not likely to ever show a profit," which has been attributed to a case of Hollywood accounting.
Critical response
Batman was criticized by some for being too dark, but nonetheless received a generally positive response from critics. On review aggregator Rotten Tomatoes, the film holds an approval rating of 76% based on 138 reviews, with an average score of 7/10. The website's critical consensus reads, "An eerie, haunting spectacle, Batman succeeds as dark entertainment, even if Jack Nicholson's Joker too often overshadows the title character." On Metacritic, the film received a weighted average score of 69 based on 21 reviews, indicating "generally favorable reviews". Audiences polled by CinemaScore gave the film an average grade of "A" on an A+ to F scale.
Many observed that Burton was more interested in the Joker and the art and set production design than Batman or anything else in terms of characterization and screentime. Comic book fans reacted negatively over the Joker murdering Thomas and Martha Wayne; in the comic book, Joe Chill is responsible. Writer Sam Hamm said it was Burton's idea to have the Joker murder Wayne's parents. "The Writer's Strike was going on, and Tim had the other writers do that. I also hold innocent to Alfred letting Vicki Vale into the Batcave. Fans were ticked off with that, and I agree. That would have been Alfred's last day of employment at Wayne Manor," Hamm said.
The songs written by Prince were criticized for being "too out of place". While Burton has stated he had no problem with the Prince songs, he was less enthusiastic with their use in the film. On the film, Burton remarked, "I liked parts of it, but the whole movie is mainly boring to me. It's OK, but it was more of a cultural phenomenon than a great movie."
Despite initial negative reactions from comics fans prior to the film's release, Keaton's portrayal of Batman was generally praised. James Berardinelli called the film entertaining, with the highlight being the production design. However, he concluded, "the best thing that can be said about Batman is that it led to Batman Returns, which was a far superior effort." Variety felt "Jack Nicholson stole every scene" but still greeted the film with positive feedback. Roger Ebert was highly impressed with the production design, but claimed "Batman is a triumph of design over story, style over substance, a great-looking movie with a plot you can't care much about." He also called the film "a depressing experience". On the syndicated television series Siskel & Ebert, his reviewing partner Gene Siskel disagreed, describing the film as having a "refreshingly adult" approach with performances, direction and set design that "draws you into a psychological world."
Legacy
Anton Furst and Peter Young won the Academy Award for Best Art Direction, while Nicholson was nominated for the Golden Globe Award for Best Actor (Musical or Comedy). The British Academy of Film and Television Arts nominated Batman in six categories (Production Design, Visual Effects, Costume Design, Makeup, Sound and Actor in a Supporting Role for Nicholson), but it won none of the categories. Nicholson, Basinger, the makeup department, and costume designer Bob Ringwood all received nominations at the Saturn Awards. The film was also nominated for the Saturn Award for Best Fantasy Film and the Hugo Award for Best Dramatic Presentation.
The success of Batman prompted Warner Bros. Animation to create the acclaimed Batman: The Animated Series, as a result beginning the long-running DC Animated Universe and helped establish the modern day superhero film genre. Series co-creator Bruce Timm stated the television show's Art Deco design was inspired from the film. Timm commented, "our show would never have gotten made if it hadn't been for that first Batman movie." Burton joked, "ever since I did Batman, it was like the first dark comic book movie. Now everyone wants to do a dark and serious superhero movie. I guess I'm the one responsible for that trend."
Batman initiated the original Batman film series and spawned three sequels: Batman Returns (1992), Batman Forever (1995), and Batman & Robin (1997), the latter two of which were directed by Joel Schumacher instead of Burton and replaced Keaton as Batman with Val Kilmer and George Clooney, respectively.
Executive producers Benjamin Melniker and Michael E. Uslan filed a breach of contract lawsuit in Los Angeles County Superior Court on March 26, 1992. Melniker and Uslan claimed to be "the victims of a sinister campaign of fraud and coercion that has cheated them out of continuing involvement in the production of Batman and its sequels. We were denied proper credits, and deprived of any financial rewards for our indispensable creative contribution to the success of Batman." A superior court judge rejected the lawsuit. Total revenues of Batman have topped $2 billion, with Uslan claiming to have "not seen a penny more than that since our net profit participation has proved worthless." Warner Bros. offered the pair an out-of-court settlement, a sum described by Melniker and Uslan's attorney as "two popcorns and two Cokes".
Reflecting on the twentieth anniversary of its release in a retrospective article on Salon.com, film commentator Scott Mendelson noted the continuing impact that Batman has had on the motion film industry, including the increasing importance of opening weekend box office receipts; the narrowing window between a film's debut and its video release that caused the demise of second-run movie theaters; the accelerated acquisition of pre-existing, pre-sold properties for film adaptations that can be readily leveraged for merchandizing tie-ins; the primacy of the MPAA PG-13 as the target rating for film producers; and more off-beat, non-traditional casting opportunities for genre films. The film was responsible for the British Board of Film Classification introducing its "12" age rating, as its content fell between what was expected for a "PG" or "15" certificate.
The American Film Institute anointed Batman the 46th greatest movie hero and the Joker the 45th greatest movie villain on AFI's 100 Years...100 Heroes and Villains.
American Film Institute lists
AFI's 100 Years...100 Movies – Nominated
AFI's 100 Years...100 Thrills – Nominated
AFI's 100 Years...100 Heroes and Villains:
The Joker – #45 Villain
Batman – #46 Hero
AFI's 100 Years...100 Movie Quotes:
"Have you ever danced with the Devil in the pale moonlight?" – Nominated
AFI's 100 Years of Film Scores – Nominated
AFI's 10 Top 10 – Nominated Fantasy Film
Robert Wuhl reprises his role as Alexander Knox in The CW's Arrowverse crossover, Crisis on Infinite Earths. The event also retroactively established that the world of the film and its sequel, Batman Returns, takes place on Earth-89; which is one of the worlds destroyed by the Anti-Monitor (LaMonica Garrett) during the Crisis. Michael Keaton reprises his role as Batman in The Flash set in the DC Extended Universe.
Video games
Several video games based on the film were released: By Ocean Software in 1989, by Sunsoft in 1990 and 1991, and by Atari Games in 1990. Konami was also in talks of releasing an arcade game around the same time as Atari.
Comic book continuation
In March 2016, artist Joe Quinones revealed several art designs he and Kate Leth had created to pitch a comic book continuation set in the Batman '89 universe to DC Comics. The pitch, which was rejected, would have included the story of Billy Dee Williams' Harvey Dent turning into Two-Face as well as the inclusion of characters such as Batgirl in a story that took place following the events of Batman Returns. In 2021, DC announced it would be releasing a comic book continuation of the Batman '89 film. The series would be written by Sam Hamm and illustrated by Joe Quinones. The comic's synopsis revealed that it would include the return of Selina Kyle/Catwoman, an introduction of a new Robin, and the transformation of Williams' Harvey Dent into Two-Face.
Home media
Batman has been released on various formats, including VHS, LaserDisc, DVD and Blu-ray. In an unprecedented move at the time, it was made available to buy on VHS in the United States on November 15, less than six months after its theatrical release, at a suggested retail price of only $24.95 although most sellers sold it for less. It was first released on DVD on March 25, 1997, as a double sided disc containing both Widescreen (1.85:1) and Full Screen (1.33:1) versions of the film. The 2005 Batman: The Motion Picture Anthology 1989–1997 included 2-disc special edition DVDs of the film and all three of its sequels. The anthology was also released as a 4-disc Blu-ray set in 2009, with each film and its previous extras contained on a single disc. Other Blu-ray reissues include a "30th Anniversary" Digibook with 50-page booklet, and a steelcase edition; both also include a Digital Copy. Most recently the "25th Anniversary" Diamond Luxe reissue contained the same disc as before and on a second disc, a new 25-minute featurette: "Batman: The Birth of the Modern Blockbuster".
The film was also included in The Tim Burton Collection DVD and Blu-ray set in 2012, alongside its first sequel, Batman Returns.
Batman was released on Ultra HD Blu-ray on June 4, 2019.
Notes
References
Further reading
External links
Batman (1989) Official website at Warner Bros.
Batman (1989) Official website at DC Comics
1989 action films
1980s American films
1980s British films
1980s English-language films
1980s superhero films
1989 films
American action films
American films about revenge
American superhero films
Batman (1989 film series)
British action films
British superhero films
Casting controversies in film
Films adapted into comics
Films directed by Tim Burton
Films produced by Jon Peters
Films produced by Peter Guber
Films scored by Danny Elfman
Films shot at Pinewood Studios
Films shot in Bedfordshire
Films shot in Hertfordshire
Films shot in London
Films whose art director won the Best Art Direction Academy Award
Films with screenplays by Sam Hamm
Films with screenplays by Warren Skaaren
PolyGram Filmed Entertainment films
Warner Bros. films | 8 |
Batman Returns is a 1992 American superhero film directed by Tim Burton and written by Daniel Waters. Based on the DC Comics character Batman, it is the sequel to Batman (1989) and the second installment in the 1989–1997 Batman series. In the film, the superhero vigilante Batman comes into conflict with wealthy industrialist Max Shreck and deformed crime boss Oswald Cobblepot / The Penguin, who seek power, influence, and respect regardless of the cost to Gotham City. Their plans are complicated by Selina Kyle, Shreck's formerly-meek secretary, who seeks vengeance against Shreck as Catwoman. The cast includes Michael Keaton, Danny DeVito, Michelle Pfeiffer, Christopher Walken, Michael Gough, Pat Hingle, and Michael Murphy.
Burton had no interest in making a sequel to the successful Batman, believing that he was creatively restricted by the expectations of Warner Bros. He agreed to return in exchange for significant creative control, including replacing original writer Sam Hamm with Daniel Waters and hiring many of his previous creative collaborators. Waters' script focused more on characterization than on overarching plot, and Wesley Strick was hired to complete an uncredited re-write which (among other elements) provided a master plan for the Penguin. Filming was done from September 1991 to February 1992, on a $50–80million budget, on sets and sound stages at Warner Bros. Studios and the Universal Studios Lot in California. Special effects primarily involved practical applications and makeup, with some animatronics and computer-generated imagery.
The film's marketing campaign was substantial, including brand collaborations and a variety of merchandise to replicate Batman success. Released on June 19, 1992, Batman Returns broke several box-office records and earned about $266.8million worldwide. It failed to replicate the success or longevity of Batman ($411.6million), however; this was blamed on its darker tone and violent (or sexual) elements, which alienated family audiences and led to a backlash against marketing partnerssuch as McDonald'sfor promoting the film to young children. Reviews were critical of its tone and narrative but more favorable towards the cast, giving near-unanimous praise to Pfeiffer's performance.
After the relative failure of Batman Returns, Burton was replaced as director of the third film, Batman Forever (1995), with Joel Schumacher, to take the series in a family-friendly direction. Keaton chose not to reprise his role, disagreeing with Schumacher's vision. Batman Forever and its sequel, Batman & Robin (1997), were financial successes but fared less well critically. Batman Returns has been reassessed as one of the best Batman films in the decades since its release, and its incarnations of Catwoman and Penguin are considered iconic. A comic book, Batman '89 (2021), continued the narrative of the original two Burton films, and Keaton reprised his version of Batman in the DC Extended Universe film The Flash (2023).
Plot
In Gotham City, two wealthy socialites, dismayed at the birth of their malformed and feral son Oswald, discard the infant in the sewers, where he is adopted by a family of penguins. Thirty-three years later, during the Christmas season, wealthy industrialist Max Shreck is abducted by the Red Triangle gang (a group of former circus workers connected to child disappearances across the country) and brought to their hideout in the Arctic exhibit at the derelict Gotham Zoo. Red Triangle's leader, Oswald – now named Penguin – blackmails Shreck with evidence of his corruption and murderous acts to compel his assistance in reintegrating Oswald into Gotham's elite. Shreck orchestrates a staged attempted kidnapping of the mayor's infant child, allowing Oswald to rescue it and become a public hero. In exchange, Oswald requests access to the city's birth records (ostensibly to learn his true identity) and identifies Gotham's first-born sons.
Shreck attempts to kill his meek secretary, Selina Kyle, by pushing her out a window after she inadvertently uncovers his plot to build a power plant which would covertly siphon and hoard electricity from Gotham. Selina survives, returns home, angrily crafts a costume and adopts the name Catwoman. She returns to work confident and aggressive, catching the attention of visiting billionaire Bruce Wayne. As his alter ego (the vigilante Batman), Wayne investigates Oswald, suspecting that he is connected to Red Triangle. To eliminate opposition to his plant, Shreck convinces Oswald to run for mayor and discredit the incumbent by having Red Triangle wreak havoc throughout Gotham. Batman's efforts to stop the gang eventually bring him into conflict with Catwoman. Selina and Wayne begin dating, while Catwoman allies with Oswald to disgrace Batman.
On the night of the city's Christmas-tree lighting, Oswald and Catwoman kidnap the Ice Princess (Gotham's beauty queen) and lure Batman to the roof above the ceremony. Oswald pushes the Ice Princess to her death with a swarm of bats, framing Batman. When Catwoman objects to the murder and rejects his romantic advances, Oswald attacks her and she falls through a glasshouse. Batman escapes in the Batmobile, unaware that Red Triangle has modified it; this allows Oswald to take it on a remote-controlled rampage. Before regaining control, Batman records Oswald's derogatory tirade against Gotham's citizens. He plays the audio at Oswald's mayoral rally the following day, ruining his image and forcing him to retreat to Gotham Zoo. Oswald forsakes his humanity and embraces the name Penguin, initiating his plan to abduct and kill Gotham's firstborn sons to avenge his own abandonment.
Selina tries to kill Shreck at his charity ball, but Wayne intervenes and they inadvertently discover each other's secret identities. Penguin crashes the event to kidnap Shreck's son, Chip, but Shreck offers himself instead. Batman neutralizes Red Triangle and stops the kidnapping, forcing Penguin to deploy his missile-equipped penguin army to destroy Gotham. Batman's butler, Alfred Pennyworth, overrides the penguins' control signal and redirects them back to Gotham Zoo. As the missiles destroy the zoo, Batman unleashes a swarm of bats which makes Penguin fall into the contaminated waters of the Arctic exhibit. Catwoman arrives to kill Shreck, rejecting Batman's plea to abandon her vengeance and leave with him. She is shot four times by Shreck, seemingly without effect, because she claims to have two of her nine lives remaining. Catwoman electrocutes Shreck, causing a power surge which apparently kills them both; however, Batman finds only Shreck's charred remains. Penguin returns, but dies of his injuries before he can attack Batman and is laid to rest in the water by his penguins. Sometime later, while Alfred drives him home, Wayne sees Selina's silhouette but finds only a cat (which he takes with him). The Bat-Signal shines above the city, as Catwoman looks on.
Cast
Michael Keaton as Bruce Wayne / Batman: A billionaire businessman who operates as Gotham's vigilante protector
Danny DeVito as Oswald Cobblepot / Penguin: A deformed crime boss
Michelle Pfeiffer as Selina Kyle / Catwoman: A meek assistant turned vengeful villain
Christopher Walken as Max Shreck: A ruthless industrialist
Michael Gough as Alfred Pennyworth: Wayne's butler and surrogate father
Pat Hingle as James Gordon: The Gotham City police commissioner and Batman's ally
Michael Murphy as the Mayor: The city's incumbent mayor
The cast of Batman Returns includes Andrew Bryniarski as Max's son Charles "Chip" Schreck and Cristi Conaway as the Ice Princess, Gotham's beauty queen-elect. Paul Reubens and Diane Salinger appear as Tucker and Esther Cobblepot, Oswald's wealthy, elite parents. Sean Whalen appears as a paperboy; Jan Hooks and Steve Witting play Jen and Josh, Oswald's mayoral image consultants. The Red Triangle gang includes the monkey-toting Organ Grinder (Vincent Schiavelli), the Poodle Lady (Anna Katarina), the Tattooed Strongman (Rick Zumwalt), the Sword Swallower (John Strong), the Knifethrower Dame (Erika Andersch), the Acrobatic Thug (Gregory Scott Cummins), the Terrifying Clown (Branscombe Richmond), the Fat Clown (Travis Mckenna), and the Thin Clown (Doug Jones).
Production
Development
After the success of Batman (1989), the fifth-highest-grossing of its time, a sequel was considered inevitable. Warner Bros. Pictures had confidence in its potential and was discussing sequel ideas by late 1989, intending to begin filming the following May; the studio had purchased the $2million Gotham City sets at Pinewood Studios in England for at least two sequels. It kept the sets under 24-hour guard because it was cheaper to maintain the existing sets than build new ones. Robin Williams and Danny DeVito were considered to play rogues Riddler and Penguin, respectively. Despite pressure from Warner Bros. to finalize a script and begin filming, Batman director Tim Burton remained uncertain about directing a sequel. He described it as a "dumbfounded idea", especially before Batmans performance was analyzed, and was generally opposed to sequels: "Sequels are only worthwhile if they give you the opportunity to do something new and interesting. It has to go beyond that, really, because you do the first for the thrill of the unknown. A sequel wipes all that out, so you must explore the next level." Batman writer Sam Hamm's initial story idea expanded the character of district attorney Harvey Dent, played in Batman by Billy Dee Williams, and his descent into the supervillain Two-Face. Warner Bros. wanted the main villain to be the Penguin, however, and Hamm believed that the studio saw the character as Batman's most prominent enemy after the Joker. Catwoman was added because Burton and Hamm were interested in the character. Hamm's drafts continued directly from Batman, focusing on the relationship between Wayne and Vicki Vale (Kim Basinger) and their engagement. The Penguin was written as an avian-themed criminal who uses birds as weapons; Catwoman was more overtly sexualised, wore "bondage" gear, and nonchalantly murdered groups of men. The main narrative teamed Penguin and Catwoman to frame Batman for the murders of Gotham's wealthiest citizens in their pursuit of a secret treasure. Their quest leads them to Wayne Manor, and reveals the Waynes' secret history. Among other things, Hamm originated the Christmastime setting and introduced Robin, Batman's sidekick, although his idea for assault rifle-wielding Santas was abandoned. Hamm ensured that Batman did not kill anyone, and focused on protecting Gotham's homeless. He produced two drafts which failed to renew Burton's interest, and the director concentrated on directing Edward Scissorhands (1990) and writing The Nightmare Before Christmas (1993).
Burton was confirmed to direct the sequel in January 1991, with filming scheduled to begin later that year for a 1992 release date. He agreed to return if he received creative control of the sequel; Burton considered Batman the least favorite of his films, describing it as a "little boring at times." According to Denise Di Novi, his long-time producer, "Only about 50% of Batman was [Burton]"; the studio wanted Batman Returns to be "more of a Tim Burton movie... [a] weirder movie but also more hip and fun."
Burton replaced key Batman crew with some of his former collaborators, including cinematographer Stefan Czapsky, production designer Bo Welch, creature-effects supervisor Stan Winston, makeup artist Ve Neill, and art directors Tom Duffield and Rick Henrichs. Daniel Waters was hired to replace Hamm; Burton wanted someone with no emotional attachment to Batman and liked Waters' script for the dark comedy Heathers (1988), which matched Burton's intended tone and creative direction. Burton reportedly disliked Batman producer Jon Peters, demoted him to executive producer of Batman Returns, and effectively barred him from the set. Warner Bros. was the production company and distributor, with production assistance from executive producer Peter Guber's and Peters' Polygram Pictures.
Writing
Waters began writing his first draft in mid-1990. Burton's only instructions were that Catwoman had to be more than a "sexy vixen", and the script's only connection to Batman was a reference to Vale as Wayne's ex-girlfriend. Waters said that he did not like Batman, and had no interest in following its narrative threads or acknowledging the comic-book histories of Batman Returns characters: "[Burton] and I never had a conversation about 'what are fans of the comic books going to think?'... we never thought about them. We were really just about the art." He also had no interest in preventing Batman from killing people; the character should reflect contemporary, "darker" times, and the idea of a hero leaving captured villains for the authorities was outdated. Waters only had Batman kill when necessary, however, believing that it should be meaningful; he was unhappy with some of the added on-screen deaths, such as Batman blowing up a Red Triangle member with a bomb.
Much of Waters' "bitter and cynical" dialogue for Batman (such as Gotham City not deserving protection) was removed because Keaton believed that Batman should rarely speak in costume and Burton wanted Batman to be a "wounded soul", not nihilistic. As a result, the script focused on villains. Burton said that he initially struggled to understand the appeal of the Penguin's comic-book counterpart; Batman, Catwoman, and the Joker had clear psychological profiles, but the Penguin was "just this guy with a cigarette and a top hat." The initial draft made the character resemble a stereotypical DeVito character (an abrasive gangster), but Waters and Burton agreed to make him more "animalistic". They decided to make the Penguin a tragic figure, abandoned as an infant by his parentsa reflection of Batman's childhood trauma of losing his parents. Political and social satire was added, influenced by two episodes of the 1960s television series Batman ("Hizzoner the Penguin" and "Dizhonner the Penguin") in which the Penguin runs for mayor.
Waters changed Hamm's Catwoman from a "fetishy sexual fantasy" femme fatale to a working-class, disenchanted secretary, writing her as an allegory of contemporary feminism. Although the character is influenced by feline mythology (such as cats having nine lives), Waters and Burton never intended the belief to be taken literally and planned for Catwoman to die with Shreck during the electrical explosion in the film's denouement. Waters created Max Shreck as an original character, named in honor of actor Max Schreck, to replace the Dent-Two-Face character. The character was written satirically as an evil industrialist who orchestrates the Penguin's mayoral run because Waters wanted to say "that the true villains of our world don't necessarily wear costumes." In one version of the script, Shreck was the Penguin's more-favored brother. The number of central characters led to the removal of Robin, a garage mechanic who helps Batman after Penguin crashes the Batmobile. Burton and Waters were not particularly interested in retaining the character, whom Waters called "the most worthless character in the world". The Red Triangle gang, initially conceived as a troupe of performance artists, were changed to circus clowns at Burton's request. Waters said that his 160-page first draft was too outlandish and would have cost $400million to produce, and he became more restrained. His fifth (and final draft) focused more on characterization and interaction than on plot.
Burton and Waters eventually fell out, disagreeing about the script and with Waters refusing to implement requested changes. Burton hired Wesley Strick to refine Waters' work, streamline dialogue, and lighten the tone. Warner Bros. executives mandated that Strick introduce a master plan for the Penguin, resulting in the addition of the plot to kidnap Gotham's first-born sons and threaten the city with missiles. Waters said that the changes to his work were relatively minor, and he was baffled by the Penguin's plot: "What the fuck is this shit?" He made a final revision to the shooting screenplay and, although Strick was on set for four months of filming and agreed-upon rewriting, Waters was the only screenwriter credited.
Casting
Keaton reprised his role as Bruce Wayne / Batman for $10 million, double his salary for Batman. Burton wanted to cast Marlon Brando as the Penguin, but Warner Bros. preferred Dustin Hoffman. Christopher Lloyd and Robert De Niro were also considered, but Danny DeVito became the frontrunner when Waters re-envisioned the character as a deformed human-bird hybrid. DeVito was initially reluctant to accept the role until he was convinced by his close friend, Jack Nicholson, who played the Joker in Batman. To convey his vision, Burton gave DeVito a picture he had painted of a diminutive character sitting on a red-and-white striped ball with the caption, "my name is Jimmy, but my friends call me the hideous penguin boy."
Casting Selina Kyle / Catwoman was difficult. Annette Bening initially secured the role, but had to drop out after becoming pregnant. Actresses lobbying for the part then included Ellen Barkin, Cher, Bridget Fonda, Jennifer Jason Leigh, Madonna, Julie Newmar, Lena Olin, Susan Sarandon, Raquel Welch, and Basinger. The most prominent candidate, however, was Sean Young (who was cast as Vale in Batman before she was injured). Young went to the Warner Bros. lot in a homemade Catwoman costume for an impromptu audition for Burton, who reportedly hid under his desk (although Keaton and producer Mark Canton briefly met with her). She shared video of her efforts with Entertainment Tonight, and Warner Bros. said that Young did not fit their vision for Catwoman.
The role went to Pfeiffer who was described as a proven actress who got along with Burton (although some publications said that it would stretch her acting abilities). Pfeiffer had also been considered for Vale, but Keaton vetoed the casting because they had been romantically involved and he believed that her presence would interfere with attempts to reconcile with his wife. She received a $3million salary ($2million more than Bening), plus a percentage of the gross profits. Pfeiffer trained for months in kickboxing with her stunt double, Kathy Long; she mastered the whip, becoming proficient enough to perform her own stunts with the weapon.
Shreck's appearance was modeled on Vincent Price in an (unnamed) older film, and Walken based his performance on moguls such as Sol Hurok and Samuel Goldwyn. He said, "I tend to play mostly villains and twisted people. Unsavory guys. I think it's my face, the way I look. If you do something effective, producers want you to do it again and again." Burgess Meredith (who played the Penguin in the 1960s TV series) was scheduled to make a cameo appearance as Penguin's father, Tucker Cobblepot, but became ill during filming. He was replaced by Paul Reubens; Diane Salinger played his wife, Esther. Both had starred in Burton's feature-film debut, Pee-wee's Big Adventure (1985).
Although Robin was removed from the screenplay, the character's development was far enough along that Marlon Wayans was cast in the role (Burton had specifically wanted an African-American Robin) and costumes, sets, and action figures were made. In a 1998 interview, Wayans said that he still received residual checks as part of the two-film contract he signed. Early reports suggested that Nicholson had been asked to return as the Joker, but refused to film in England because of the salary tax on foreign talent. Nicholson denied being asked, however, believing that Warner Bros. would not want to replicate his generous compensation for Batman.
Filming
Principal photography began on September 3, 1991. Burton wanted to film in the United States with American actors because he believed that Batman "suffered from a British subtext." The economics of filming Batman in the United Kingdom had also changed, making it more cost-effective to remain in the U.S. This meant abandoning the English Batman sets in favor of Burton's new design. Batman Returns was filmed entirely on seven or eight soundstages at Warner Bros. Studios, Burbank, California, including Stage 16 (which housed the expansive Gotham Plaza set). An additional soundstage, Stage 12 at the Universal Studios Lot, was used for the Penguin's Arctic-exhibit lair.
Some sets were kept very cold for the live Emperor, black-footed, and King penguins. The birds were flown in on a refrigerated airplane for filming, and had a refrigerated waiting area with a swimming pool stocked with half a ton of ice daily and fresh fish. DeVito said that he generally liked being on set but disliked the cold conditions, and was the only person somewhat comfortable because of his costume's heavy padding. To create the penguin army, the live penguins were supplemented with puppets, forty Emperor-penguin suits worn by little people, and Computer-generated imagery (CGI). People for the Ethical Treatment of Animals (PETA) protested the use of real penguins, objecting to the birds' being moved from their natural environment. Although the organization had reportedly said that the penguins were not mistreated during filming, it later said that the birds did not get fresh drinking waterjust a small, chlorinated pool. PETA also objected to the penguins being fitted with appliances representing weapons and gadgets, which Warner Bros. said were lightweight plastic. Burton said that he did not like using real animals because he had an affinity for them, and ensured that the penguins were treated with care.
Walken described the filming as very collaborative, recalling that his suggestion to add a blueprint for Shreck's power plant resulted in a model built within a few hours. The scene of Catwoman putting a live bird in her mouth was real, with no CGI. Pfeiffer said that, in retrospect, she would not have done the stunt; she had not considered the risks of injury or disease involved. For a scene in the sewers, monkey handlers positioned above and below managed the organ grinder monkey as it descended a set of stairs with a note for Penguin. When it saw DeVito in full costume and makeup, it leapt at his testicles. DeVito said, "The monkey looked at me, froze, and then leapt right at my balls...Thank god it was a padded costume." A scene of Shreck's superstore exploding caused minor injuries to four stuntmen. Principal photography ended on February 20, 1992, after 170 days.
Post-production
Chris Lebenzon edited Batman Returns 126-minute theatrical cut. The final scene of Catwoman looking up at the Bat Signal was filmed during post-production, only two weeks before the film's release. Warner Bros. mandated the scene (depicting that the character survived) after test audiences responded positively to Pfeiffer's performance. Pfeiffer was unavailable to film the scene, and a stand-in was used. A scene of Penguin's gang destroying a store filled with Batman merchandise was removed. Warner Bros. provided a final budget for Batman Returns of $55million, although it has been reported (or estimated) as $50, $65, $75, or 80million.
Music
Danny Elfman was initially reluctant to score Batman Returns because he was unhappy that his Batman score was supplemented with pop music by Prince. Elfman built on many of his Batman themes, and said that he enjoyed working on the Penguin's themes the most because of the character's sympathetic aspects (such as his abandonment and death): "I'm a huge sucker for that kind of sentimentality." Recorded with a studio orchestra on the Sony Scoring Stage in Los Angeles, Elfman's score includes vocals, harps, bells, xylophones, flutes, pianos, and chimes. The song "Face to Face", played during the costume-ball scene, was co-written and performed by the British rock band Siouxsie and the Banshees. Burton and Elfman fell out during production due to the stress of finishing Batman Returns on time, but reconciled shortly afterward.
Design and effects
Batman production designer Anton Furst was replaced by Bo Welch, who understood Burton's visual intentions after previous collaborations on Beetlejuice (1988) and Edward Scissorhands (1990). Furst, already occupied on another project, committed suicide in November 1991. Warner Bros. maintained a high level of security for Batman Returns, requiring the art department to keep their window blinds closed. Cast and crew had to wear ID badges with the film's working title, Dictel, a word coined by Welch and Burton meaning "dictatorial"; they were unhappy with the studio's "ridiculous gestapo" measures. Welch designed the Batboat vehicle, a programmable batarang, and the Penguin's weaponized umbrellas. He added features to the Batmobile, such as detaching much of its exterior to fit through tighter spaces; this version was called the "Batmissile".
Sets
The sets were redesigned in Welch's style, including the Batcave and Wayne Manor. They were spread across seven soundstages on the Warner Bros. lot (the largest of which had ceilings) and the largest set owned by Universal Pictures. Batman Returns was filmed on sets, although some panoramic shots (such as the camera traveling from the base of Shreck's department store to its cat-head-shaped office) were created with detailed miniatures.
Welch found it difficult to create something new without deviating from Furst's award-winning work. The designs were intended to appear as a separate district of Gotham; if Batman took place on the East Side, Batman Returns was set on the West Side. Welch was influenced by German Expressionism, neo-fascist architecture (including Nazi Germany-era styles), American precisionism painters, and photos of the homeless living on the streets in affluent areas. He incorporated Burton's rough sketch of Catwoman, which had a "very S&M kind of look", by adding chains and steel elements which would appear to hold together a city on the verge of collapse. The key element for Welch came early in design, when he realized that he wanted to manipulate spaces to convey specific emotions (emphasizing vertical buildings to convey a "huge, overwhelmingly corrupt, decaying city" filled with small people): "The film is about this alienating, disparate world we live in." The wintertime setting took advantage of the contrast between black and white scene elements, influenced by Citizen Kane (1941) and The Third Man (1949).
Welch's concept designs began by carving out building shapes from cardboard with images of fascist sculptures and depression era machine-age art. The resulting -tall rough model represented Gotham Plaza, described as a futuristic, oppressive, and "demented caricature" of Rockefeller Center. It was designed overbuilt, emphasizing the generic-but-oppressive heart of Gotham's corruption. Despite complaints from the film's financiers about its necessity, Burton insisted on the location with a detailed church overshadowed by plain surroundings.
Designs attempted to create the illusion of space; the Wayne Manor set was partially built (consisting primarily of a large staircase and fireplace) with a scale which implied that the rest of the structure was massive. Penguin's base was initially scheduled to be built in a standard tall Warner Bros. soundstage, but Welch thought that it lacked "majesty" and did not create enough contrast between itself and the "evil, filthy, little bug of a man". A -tall Universal stage was acquired for the production, its raised ceilings making it seem more realistic and less like a set. Minor modifications were made to the set throughout the film to make it appear to be gradually deteriorating. The location featured a water tank filled with of water surrounding a faux-ice island. Selina Kyle's apartment had a large steel beam running through its center to appear as if it had been built around a steel girder, which Welch said made it depressing and ironic. The wood used to build the sets was donated to Habitat for Humanity to help build low-cost homes for the poor.
Costumes and makeup
Bob Ringwood and Mary E. Vogt were the costume designers. They refined the Batsuit to create the illusion of mechanical parts built into the torso, intending Batman to resemble Darth Vader. Forty-eight foam-rubber Batsuits were made for Batman Returns. They had a mechanical system of bolts and spikes beneath the breast plate to secure the cowl and cape because "otherwise, if [Keaton] turned around quickly the cape would stay where it was", due to its weight. Costumer Paul Barrett-Brown said that the suit had a "generous codpiece" for comfort, and initially included a zippered fly to allow Keaton to use the bathroom; the actor declined, however, because it could be seen by the camera from some angles. As with the Batman costume, Keaton could not turn his head; he compensated by making bolder, more powerful movements with his lower body.
The Catwoman outfit was made from latex because it was designed to be "black and sexy and tight and shiny". The material was chosen because of its association with "erotic and sexual" situations, reflecting the character's transition from a repressed secretary to an extroverted, erotic female. Padding was added because Pfeiffer was less physically endowed than Bening; this worked to Pfeiffer's advantage, however, since Barrett-Brown said that if it was too tight it "would reveal the genital area so thoroughly that you'd get an X certificate." Ringwood and Vogt thought that if the latex material tore it would not be difficult to repair; forty to seventy backup Catwoman suits were made by Western Costume, the Warner Bros. costume department, and Los Angeles-based clothing manufacturer Syren at a cost of $1,000 each. Other versions, made for Pfeiffer from a cast of her body, were so tight that she had to be covered in baby powder to wear them. Barrett-Brown said that because of the material, it was possible to get into the suit when dry; they could not re-use them, however, because of sweat and body oils. Vin Burnham constructed Catwoman's headpiece and mask.
Burton was influenced to add stitching by calico cats, but the stitching came apart. Ringwood and Vogt struggled with adding stitching to latex. They tried to sculpt stitching and glue it on, but did not like the look and went over the suit with liquid silicon while it was worn (which added a shine to everything). Pfeiffer said that the suit was like a second skin, but when worn for long periods it was uncomfortable; there was no way to use the restroom and it would stick to her skin, occasionally causing a rash. She found the mask similarly confining, describing it as choking her or "smashing my face", and would catch the claws on nearby objects.
Stan Winston Studio created an "over-the-top Burtonesque" visual for the Penguin, without obscuring DeVito's face. Concept artist Mark McCreery drew a number of sketches for the look, from which Legacy Effects built noses on a lifecast of DeVito's face. Winston was unhappy with the "pointy nose" shapes and began sculpting ideas with clay, influenced by his work on The Wiz (1978) (which involved a forehead and brow prosthetic appliance for large-beaked creatures). The final makeup included a T-shaped appliance which went over DeVito's noise, lip and brow as well as crooked teeth, whitened skin and dark circles under his eyes. Ve Neill applied the makeup, made by John Rosengrant and Shane Mahan. The several pounds of facial prosthetics, body padding, and prosthetic hands took four-and-a-half hours to apply to DeVito, but was reduced to three hours by the end of filming. An air bladder was added to the costume to help reduce its weight. DeVito helped create the Penguin's black saliva with the makeup and effects teams, using a mild mouthwash and food coloring which he squirted into his mouth before filming, and said its taste was acceptable. Burton described DeVito as completely in-character in costume, and he "scared everybody". While re-dubbing some of his dialogue, DeVito struggled to get into character without the makeup and had it applied to improve his performance. Because of the secrecy surrounding his character's appearance before marketing, DeVito was not allowed to discuss it with others (including his family). A photo leaked to the press, and Warner Bros. employed a firm of private investigators in a failed attempt to track down the source.
Penguins
Stan Winston Studio provided animatronic penguins and costumes to supplement Penguin's army. Thirty animatronic versions were made: ten each of the black-footed, King, and Emperor penguins. Costumes worn by little people were slightly larger than the animatronics; the actors controlled walking, the mechanized heads were remote-controlled and the wings were puppeteered. Dyed black chicken feathers were used for the penguin bodies. McCreery's designs for the penguin army initially included a flamethrower, which was replaced with a rocket launcher. Mechanical-effects designers Richard Landon and Craig Caton-Largent supervised the manufacture of the animatronics, which required nearly 200 different mechanical parts to control the head, neck, eyes, beak, and wings. Boss Film Studios produced the CGI penguins.
Release
Context
By the theatrical summer of 1992 (beginning the last week of May), the film industry was struggling. Ticket sales were their lowest in fifteen years; rising film-production costs and several box-office failures the previous year meant that many independent and some major film studios were struggling financially. Eighty-nine films were scheduled for release during the summer season, including A League of Their Own, Alien 3, Encino Man, Far and Away, Patriot Games, and Sister Act. Studios had to carefully schedule their releases to avoid competition from anticipated blockbusters, which included Lethal Weapon 3, Batman Returns, and the 1992 Summer Olympics. Batman Returns was predicted to be the summer's biggest success, and other studios were reportedly concerned about releasing their films within a few weeks of its premiere. Paramount Pictures increased the budget of Patriot Games from $29million to $43million to make it more competitive with Batman Returns and Lethal Weapon 3.
Marketing
Franchising had not been considered an important aspect of Batmans release. However, after merchandise contributed about $500million to its $1.5billion total earnings, it was prioritized for Batman Returns. Warner Bros. delayed major promotion until February 1992, to avoid over-saturation and the risk of driving away audiences. A 12-minute promotional reel which debuted at WorldCon in September 1991 with a black-and-white poster of a silhouetted Batman was called "mundane" and uninspiring. A trailer was released in 5,000 theaters in February 1992 with a new poster of a snow-swept Batman logo. The campaign focused on the three central characters (Batman, Penguin, and Catwoman), which Warner Bros. believed would offset the loss of the popular Nicholson. Over two-thirds of the 300 posters Warner Bros. installed in public places were stolen. Warner Bros. eventually offered 200 limited-edition posters for $250; they were signed by Keaton, who donated his earnings to charity.
Over $100million was expected to be spent on marketing, including $20million by Warner Bros. for commercials and trailers and $60million by merchandising partners. The partners, which included McDonald's, Ralston Purina, Kmart, Target Corporation, Venture Stores, and Sears, planned to host about 300 Batman shops in its stores. McDonald's converted 9,000 outlets into Gotham City restaurants, offering Batman-themed packaging and a cup lid which doubled as a flying disc. CBS aired a television special, The Bat, The Cat, The Penguin... Batman Returns, and Choice Hotels sponsored the hour-long The Making of Batman Returns. Television advertisements featured Batman and Catwoman fighting over a can of Diet Coke, and the Penguin (and his penguins) promoted Choice Hotels. Advertisements also appeared on billboards and in print (three consecutive pages in some newspapers), targeted at older audiences.
Box office
Batman Returns premiered on June 16, 1992, at Grauman's Chinese Theatre in Hollywood. Two blocks of Hollywood Boulevard were closed for over 3,000 fans, 33 TV film crews, and 100 photographers. A party was held afterwards on the Soundstage 16 Gotham Plaza set for guests who included Keaton, Pfeiffer, DeVito, Burton, DiNovi, Arnold Schwarzenegger, Faye Dunaway, James Caan, Mickey Rooney, Harvey Keitel, Christian Slater, James Woods, and Reubens.
The film had a limited, preview release in the U.S. and Canada on Thursday, June 18, earning $2million. It had a wide release the following day, and was shown on an above-average 3,000 screens in 2,644 theaters. Batman Returns earned $45.7million during its opening weekend (an average of $17,729 per theater), and was the number-one filmahead of Sister Act fourth weekend ($7.8million) and Patriot Games third ($7.7million). This figure broke the record for the highest-grossing opening weekend, set by Batman ($42.7million); Batman Returns had the highest-grossing opening weekend of the year, surpassing Lethal Weapon 3 ($33.2million). The film held the all-time record for the biggest opening weekend until it was surpassed by Jurassic Park ($50.1million) the next year. Performance analysis suggested that Batman Returns could become one of the all-time highest-grossing films; Warner Bros. executive Robert Friedman said, "We opened it the first real weekend when kids are out of school. The audience is everybody, but the engine that drives the charge are kids under 20." According to Patriot Games producer Mace Neufeld, other films benefited from overflow audiences for Batman Returns who did not want to wait in long lines or were turned away from sold-out screenings.
Batman Returns earned $25.4million in its second weekend (a 44.3-percent drop) and was the number-one film again, ahead of the premiering Unlawful Entry ($10.1million) and Sister Act ($7.2million). By the film's third weekend, it was the second=fastest film to gross $100million (11 days), behind Batman (10 days). It remained the number-one film with a gross of $13.8million (a 45.6-percent drop), ahead of the premiering A League of Their Own ($13.7million) and Boomerang ($13.6million). The Washington Post called its week-over-week drops "troublesome", and industry analysis suggested that Batman Returns would not replicate the longevity of Batmans theatrical run. It never regained the number-one position, falling to numberfour over its fourth weekend and leaving the top-ten highest-grossing films by its seventh. The film left theaters in late October after 18 weeks, with a total gross of $162.8million. It was the third-highest-grossing film of 1992, behind Home Alone 2: Lost in New York ($173.6million) and Aladdin ($217.3million).
Batman Returns earned an estimated $104million outside the U.S. and Canada, including a record-setting £2.8million opening weekend in the United Kingdom. This broke the record set by Terminator 2: Judgment Day (1991), making it the first film to gross more than £1million in a single day. Worldwide, Batman Returns grossed $266.8million. It was the sixth-highest-grossing film of 1992, behind Lethal Weapon 3 ($321.7million), Basic Instinct ($352.9million), Home Alone 2: Lost in New York ($359million), The Bodyguard ($410.9million), and Aladdin ($504.1million).
Reception
Critical response
Batman Returns had a polarized reception from professional critics. Audiences polled by CinemaScore gave the film an average grade of B on an A+-to-F scale.
Several reviewers compared Batman Returns and Batman; some suggested that the sequel had faster pacing and more comedy and depth, avoiding Batman "dourness" and "tedium". Critics generally agreed that Burton's creative control made Batman Returns a more personal work than Batman, something "fearlessly" different which could be judged on its own merits. Critics such as Kenneth Turan, however, said that Burton's innovative, impressive visuals made Batman Returns feel cheerless, claustrophobic and unexciting, and were often emphasized at the expense of the plot. According to Owen Gleiberman, Burton's fantastic elements were undermined because he did not establish a base of normality.
The plot had a mixed response. Some reviewers praised the first and second acts and interesting characters who could evoke audience emotion. Others said that it lacked suspense, thrills, or clever writing, overwhelmed by too many characters and near-constant banter. The ending was criticized for lackluster action and failing to bring the separate character threads to a satisfactory conclusion. According to Janet Maslin, Burton cared mainly about visuals and plot was a secondary consideration. Gene Siskel said that the emphasis on characterization was detrimental; the sympathetic villains left him hoping that Batman would not win, and each character would find emotional peace.
Reviewers generally agreed that despite Keaton's abilities, his character was ignored by the script in favor of the villains; scenes without him were among the best. Todd McCarthy described Batman as a symbol of good rather than a psychologically-complete character, and Ebert wrote that Batman Returns depicts being Batman as a curse instead of a heroic power fantasy. Peter Travers, however, said that Keaton's "manic depressive hero" was a deep, realized character in spite of the film's faster pace. DeVito was praised for his energy, unique characterization, and ability to convey his character's tragedy despite the costumes and prosthetics. Desson Howe said that Burton's focus on the Penguin indicated his sympathy for the character. Some reviewers considered DeVito an inferior followup to Nicholson's Joker, who evoked sympathy without instilling fear.
Pfeiffer received near-unanimous praise for the film's standout performance as a passionate, sexy, ambitious, intelligent, intimidating, and fierce embodiment of feminism who offered the only respite from the otherwise-dark tone. Jonathan Rosenbaum, however, said that she did not live up to Nicholson's villain. Turan called the scenes shared by Batman and Catwoman the film's most interesting, and Travers said that when they take off their masks at the end they look "lost and touchingly human". Burr described the ballroom scene (in which they realize each other's secret identities) as more emotional than anything in Batman. Ebert noted that their sexual tension seemed to have been undercut for a younger audience. Walken's performance was described as "wonderfully debonair", funny and engaging, a villain who could have carried Batman Returns alone.
Welch's production design was generally praised, offering a sleeker, brighter, more authoritarian visual style than Furst's "brooding", oppressive aesthetic. McCarthy described Welch's ability to realize Burton's imaginative universe as an achievement, although Gene Siskel described Welch as a "toy shop window decorator" compared to Furst. The costumes and makeup effects were also praised, with Maslin saying that those images would linger in the imagination long after the narrative was forgotten. Czapsky's cinematography was well-received, even giving a "lively" aesthetic to the subterranean sets. The film's violent, mature, sexual content, such as kidnappings and implied child murder, was criticized as inappropriate for younger audiences.
Accolades
At the 46th British Academy Film Awards, Batman Returns was nominated for Best Makeup (Ve Neill and Stan Winston) and Best Special Visual Effects (Michael Fink, Craig Barron, John Bruno, and Dennis Skotak). For the 65th Academy Awards, Batman Returns received two nomations: Best Makeup (Neill, Ronnie Specter, and Winston) and Best Visual Effects (Fink, Barron, Bruno, and Skotak), but lost both awards to Bram Stoker's Dracula and Death Becomes Her simultaneously. Neill and Winston received the Best Make-up award at the 19th Saturn Awards. The film received four Saturn Award nominations for Best Fantasy Film, Best Supporting Actor (DeVito), Best Director (Burton), and Best Costume Design (Bob Ringwood, Mary Vogt, and Vin Burnham). DeVito was nominated for Worst Supporting Actor at the 13th Golden Raspberry Awards, and Pfeiffer for Most Desirable Female at the 1993 MTV Movie Awards. Batman Returns was nominated for a Hugo Award for Best Dramatic Presentation.
After release
Performance analysis and aftermath
The U.S. and Canadian box offices underperformed in 1992, with admissions down by up to five percent and about 290million tickets sold (compared to over 300million in each of the preceding four years). Industry professionals blamed the drop on the lack of quality of the films being released, considering them too derivative or dull to attract audiences. Even films considered successful had significant box-office drops week over week from what apparently-negative word of mouth. Industry executive Frank Price said that the releases were not attracting the younger audiences and children which were vital to a film's success. Rising ticket prices, competition from the Olympics, and an economic recession were also considered contributing factors to the declining figures. Batman Returns and Lethal Weapon 3 contributed to Warner Bros. best first half-year in its history, and were expected to return over $200million to the studio from the box office. Batman Returns was considered a disappointment as a sequel to the fifth-highest-grossing film ever made, however, and fell about $114.8million short of Batmans $411.6million theatrical gross. By July 1992, anonymous Warner Bros. executives reportedly said about the film, "It's too dark. It's not a lot of fun."
Despite its PG-13 rating from the Motion Picture Association, warning parents that a film may contain strong content unsuitable for children, some audiences (particularly parents) disliked Batman Returns violent and sexualized content; the studio received thousands of complaint letters. Waters recalled the aftermath of one screening: "It's like kids crying, people acting like they've been punched in the stomach and like they've been mugged." He had anticipated some backlash and "relished that reaction", but part of him was "like, 'oops'." McDonald's was criticized for its child-centered promotion and toys, and discontinued its Batman Returns campaign in September 1992. According to Burton, "I like [Batman Returns] better than the first one. There was this big backlash that it was too dark, but I found this movie much less dark." Although much of Hamm's work was replaced, he defended Burton and Waters and said that except from the merchandise, Batman Returns was never presented as child-friendly.
Warner Bros. decided to continue the series without Burton (described as "too dark and odd for them"), replacing him with Joel Schumacher. A rival studio executive said, "If you bring back Burton and Keaton, you're stuck with their vision. You can't expect Honey, I Shrunk the Batman" (referring to the 1989 science-fiction comedy, Honey, I Shrunk the Kids). Warner Bros. was sued by executive producers Benjamin Melniker and Michael Uslan, who alleged that they had originally purchased the film-adaptation rights to the Batman character but were denied their share of the profits from Batman and Batman Returns by the studio's Hollywood accounting: a method used by studios to artificially inflate a film's production costs, making it appear unprofitable and limiting royalty (or tax) payments. The court decided in the studio's favor, citing a lack of evidence.
Home media
Batman Returns was released on VHS and LaserDisc on October 21, 1992. Its VHS version had a lower-than-average price, to encourage sales and rentals. The film was expected to sell millions of copies and be a well-performing rental, but its success would be restricted by mature, violent content which would appeal less to children (the main audience driving purchases). Batman Returns was released on DVD in 1997, with no additional features. An anthology DVD box set was released in October 2005, with all the films in the Burton-Schumacher Batman film series. The Batman Returns segment had commentary by Burton, The Bat, The Cat, and The Penguin special about the making of the film, part four of the documentary Shadows of the Bat: The Cinematic Saga of the Dark Knight, notes on the development of costumes, make-up and special effects, and the music video for "Face to Face".
The same anthology was released on Blu-ray in 2009 with a standalone Batman Returns Blu-ray release. A 4K Ultra HD Blu-ray version was released in 2019; restored from the original 35mm negative, it included the anthology's special features. A 4K collector's edition was released in 2022 with a SteelBook case (with original cover art), character cards, a double-sided poster, and previously-released special features. Elfman's score was released in 1992 on compact disc (CD), and an expanded soundtrack was released in 2010.
Other media
About 120 products were marketed with Batman Returns; they included action figures and toys by Kenner Products, Catwoman-themed clothing, toothbrushes, roller skates, T-shirts, underwear, sunglasses, towels, beanbags, mugs, weightlifting gloves, throw pillows, cookie cutters, commemorative coins, playing cards, costume jewelry, cereal, a radio-controlled Batmobile, and tortilla chips shaped like the Batman logo. Although there were about the same number of products marketed for Batman, there were fewer licensees and Warner Bros. could have more oversight. The release of Batman: The Animated Series later in 1992 was anticipated to extend merchandising success long after Batman Returns had left theaters. Warner Bros. used holographic labels developed by American Bank Note Holographics to detect counterfeit products.
The film's novelization, by Craig Shaw Gardner, was published in July 1992. A roller coaster (Batman: The Ride) was built at Six Flags Great America at a cost of $8million, and was later replicated at other Six Flags parks with a Batman stunt show. Several video-game adaptations entitled Batman Returns were released by a number of developers on a number of platforms, including Game Gear, Master System, Sega Genesis, Sega CD, Amiga, MS-DOS, and Atari Lynx; the Super Nintendo Entertainment System version was the most successful.
Batman '89, a comic-book series released in 2022, continues the narrative of Burton's original two films and ignores the Schumacher sequels. Set a few years after the events of Batman Returns, Batman '89 depicts the transformation of district attorney Harvey Dent into Two-Face and introduces Robin. The series was written by Hamm, with art by Joe Quinones. To celebrate the 80th anniversary of the Penguin's first comic-book appearance, DeVito wrote "Bird Cat Love" a 2021 comic book story about the Penguin and Catwoman falling in love and ending the COVID-19 pandemic. The Red Triangle Gang made their first appearance outside Batman Returns in the 2022 comic book Robin #15.
A holiday book was released in 2022, Batman Returns: One Dark Christmas Eve: The Illustrated Holiday Classic, by Ivan Cohen.
Thematic analysis
Duality
Critic David Crow called duality a major aspect of Batman Returns, and Catwoman, Penguin, and Shreck represent warped, reflected aspects of Batman. Like Wayne (Batman), Selina (Catwoman) is driven by trauma and conflicted about her principles and desires; unlike Batman (who seeks justice), however, she seeks vengeance. Although Catwoman agrees with Batman's appeal that they are "the same, split right down the center", they still differ too much to be together. Critics Darren Mooney and Betsy Sharkey suggested that Penguin reflects Batman's origin; each lost their parents at an early age. Shreck says that if not for his abandonment, Cobblepot and Wayne might have traveled in the same social circles. Batman is content in his loneliness, however; the Penguin wants acceptance, love and respect, despite his quest for revenge. To Mooney, Batman Returns hints that Batman's issues with Penguin are personal rather than moral; Batman is quietly proud of being a "freak" (unique), and resents Penguin for displaying his "freakishness". Shreck represents Wayne's public persona if it was driven by greed, vanity, and self-interest: a populist industrialist who wins favor with cheap presents tossed into a crowd.
Commercialism and loneliness
Crow saw Batman Returns as a denouncement of Batman's real-world cultural popularity and merchandising (especially in the wake of the previous film), and noted that a scene of a store filled with Batman merchandise being destroyed was removed from the film. Crow and Mooney wrote that Batman Returns is "saturated with Christmas energy"; it rejects the season's conventional norms and becomes an anti-Christmas film, however, critquing its over-commercialism and lack of true goodwill. Shreck cynically exploits Christmas tropes for his own ends (falsely portraying himself as selfless and benevolent), and the perversions of Penguin's Red Triangle gang are a more overt rejection of the holiday.
The film focuses on loneliness and isolation during Christmastime; Wayne is introduced sitting alone in his vast mansion, inert until the Bat-Signal shines in the sky. He makes a connection with Kyle, but what they share cannot overcome their differences and he ends the film as he began italone. Critic Todd McCarthy identified isolation as a theme common to much of Burton's work, which is emphasized in the three main characters.
Rebecca Roiphe and Daniel Cooper wrote that Batman Returns was not antisemitic, but had antisemitic imagery. The Penguin, they believed, embodied Jewish stereotypes such as "... his hooked nose, pale face and lust for herring" and was "unathletic and seemingly unthreatening but who, in fact, wants to murder every firstborn child of the gentile community." The character joins forces with Shreck (who has a Jewish-sounding name) to disrupt and taint Christmas and Christian traditions.
Sexuality and misogyny
Batman Returns has overtly sexual elements. Critic Tom Breihan described Catwoman's vinyl catsuit as "pure BDSM", including the whip she wields as a weapon. The dialogue is replete with double entendres, particularly by Penguin and Catwoman; in her fights with Batman, she sensuously licks his face. Selina / Catwoman is marginalized by the central male characters, however; Shreck pushes her out of a window, the Penguin tries to kill her when she spurns his advances, and Batman attempts to capture her. She fashions a catsuit to regain order, sanity, and power, but it is gradually damaged over the course of the film and her sanity decays with it. Catwoman's final choice is to reject Batman's offer of a happy ending by
abandoning her revenge against Shreck; to surrender herself to Batman's will would allow another man to control her.
Power and politics
Power is a central theme for several characters; Shreck says, "There's no such thing as too much power; if my life has a meaning that's the meaning." He uses his money to gain power, and Batman uses his fortune to fund his war against crime (unlike Penguin, who was abandoned because he did not fit the image expected by his wealthy parents). Kyle gains power by donning the Catwoman costume and embracing her anger and sexuality.
Shreck convinces Penguin to run for mayor to further his own goals, and the Penguin seeks out the acceptance and respect it would give him. Critic Caryn James wrote that Batman Returns has "sharp political jabs" which implies that money and image are more important than anything else. In Batman, the Joker buys citizen support by throwing them piles of money; in the sequel, Shreck and Penguin gain the support of the populace with spectacle, pandering, and corporate showmanship. The Penguin describes how he and Shreck are both seen as monsters, but Shreck is a "well-respected monster and I, to date, am not." James said that the Penguin wants to change the superficial perception of himself because he wants to be accepted, but has no interest in being lovable. Only when the fickle voters turn on him, however, does he resort to his plan to kill infants who had the chances he never had. Crow believed that Burton was the most sympathetic to Penguin, and spent the most time on the character.
Legacy
Cultural influence
Retrospectives in the 2010s and 2020s noted that Batman Returns had developed an enduring legacy since its release, with Comic Book Resources describing it as the most iconic comic-book film ever made. Although initially criticized for its mix of the superhero and film noir genres, the film established trends toward dark tones and complex characters which have since become an expectation of many blockbusters. Some writers said that its "disturbing imagery", exploration of morality, and satire of corporate politics seemed even more relevant in the present day, as did the themes of prejudice and feminism explored in Catwoman. Burton said that he believed Batman Returns was exploring new territory at the time, but it might be considered "tame" by modern standards. According to the Ringer, Burton's "weird and unsettling" sequel enabled future auteurs such as Christopher Nolan, Peter Jackson, and Sam Raimi to move into mainstream films.
Collider described the film as the first "anti-blockbuster", defying expectations and delivering a superhero film with little action set during Christmas (despite its July release). Some publications have identified it as part of Burton's unofficial Christmas trilogy, bookended by Edward Scissorhands and The Nightmare Before Christmas, and it has become an alternative-holiday film along with films such as Die Hard (1988). The film's performances, score, and visual aesthetic are considered iconic, influencing Batman-related media and incarnations of the characters for decades (such as the Batman Arkham video games). The Batman (2022) director Matt Reeves and Batman actor Robert Pattinson called Batman Returns their favorite Batman film, with Reeves ranking it alongside The Dark Knight (2008).
Pfeiffer's Catwoman is considered iconic, a feat of characterization and performance which influenced subsequent female-superhero-led films. Her performance is generally regarded as the best cinematic adaptation of the character (influencing future portrayals such as Zoë Kravitz's in The Batman), one of the best comic book film characters, and among the greatest cinematic villains. In 2022, Variety ranked Pfeiffer's Catwoman as the second-best superhero performance of the preceding fifty years, behind Heath Ledger. DeVito's performance as the Penguin is also considered iconic, and has been listed by some publications as one of the best cinematic Batman villains.
Modern reception
In the years since its release, Batman Returns has been positively reappraised. It is now regarded as among the best superhero films ever made, the best sequels, and the best Batman films made. Screen Rant called it the best Batman film of the 20th century and, in 2018, GamesRadar+ named it the best Batman film. Batman Returns was number401 on Empires 2008 list of the 500 greatest movies of all time.
The film's writer Daniel Waters recalled being told that Batman Returns was a "great movie for people who don't like Batman". Although the film was criticized for depicting Batman killing people, Waters said, "To me, Batman not killing [the Joker (played by Heath Ledger)] at the end of The Dark Knight after proving he can get out of any prison, it's like 'Come on. Kill Heath Ledger. He believed that the reception to Batman Returns was improving with time, especially after the release of The Batman in 2022.
Critic Brian Tallerico said that the elements which originally upset critics and audiences are what makes it still "revelatory... It's one of the best and strangest movies of its kind ever made." Review aggregator Rotten Tomatoes has a approval rating from reviews by critics, with an average score of . According to the website's critical consensus, "Director Tim Burton's dark, brooding atmosphere, Michael Keaton's work as the tormented hero, and the flawless casting of Danny DeVito as The Penguin and Christopher Walken as, well, Christopher Walken make the sequel better than the first." The film has a score of 68 out of 100 on Metacritic (based on 23 critics), indicating "generally favorable reviews".
Sequels
Following the reception of Batman Returns, Warner Bros. intended to continue the series without Burton. Burton recalled, "I remember toying with the idea of doing another one. And I remember going into Warner Bros. and having a meeting. And I'm going, 'I could do this or we could do that.' And they go like, 'Tim, don't you want to do a smaller movie now? Just something that's more [you]?' About half an hour into the meeting, I go, 'You don't want me to make another one, do you?'... so, we just stopped it right there." The movie had reportedly been titled Batman Continues. The studio eventually replaced Tim Burton with Joel Schumacher, who could make something more family- and merchandise-friendly. Although Burton and Keaton were supportive of the new director, Keaton also left the series because "[the film] just wasn't any good, man." Industry press suggested that Keaton had also asked for a $15million salary and a percentage of the profits, although his producing partner Harry Colomby said that money was not an issue.
Burton was an executive producer for the third film, Batman Forever (1995), which had a more mixed reception than Batman Returns but was a financial success. The fourth and final film, Batman & Robin (1997), was a financial and critical failure and is regarded as one of the worst blockbuster films ever made. It stalled the Batman film series for eight years until the reboot, Batman Begins (2005).
By the mid-1990s, Burton and Waters were signed to direct a Catwoman-centered film starring Pfeiffer. Waters' plot depicted Catwoman as an amnesiac after her injuries at the end of Batman Returns, who ends up in the Las Vegas-like Oasisburg and confronts publicly-virtuous male superheroes who are secretly corrupt. Burton and Pfeiffer took on other projects in the interim, and lost interest in the film. Warner Bros. eventually developed Catwoman (2004), starring Halle Berry, which was critically panned and is considered one of the worst comic-book films ever made.
Keaton was scheduled to reprise his version of Batman in Batgirl, a film scheduled for release in 2022 before its cancellation by Warner Bros. parent company Warner Bros. Discovery. He appeared as Batman in The Flash (2023).
References
Notes
Citations
Works cited
External links
(Warner Bros.)
(DC Comics)
1992 films
1990s Christmas films
1990s superhero films
Batman (1989 film series)
American Christmas films
American films about revenge
American neo-noir films
American sequel films
American superhero films
Films about elections
Films adapted into comics
Films directed by Tim Burton
Films produced by Denise Di Novi
Films produced by Tim Burton
Films scored by Danny Elfman
Films set in zoos
Films shot at Pinewood Studios
Films shot in Los Angeles
Films with screenplays by Daniel Waters (screenwriter)
Films with screenplays by Sam Hamm
PolyGram Filmed Entertainment films
Warner Bros. films
1990s English-language films
1990s American films
Rating controversies in film | 9 |
Batman & Robin is a 1997 American superhero film based on the DC Comics characters Batman and Robin by Bill Finger and Bob Kane. It is the fourth and final installment of Warner Bros.'s initial Batman film series, a sequel to Batman Forever and the only film in the series made without the involvement of Tim Burton in any capacity. Directed by Joel Schumacher and written by Akiva Goldsman, it stars George Clooney as Bruce Wayne / Batman, replacing Val Kilmer, Arnold Schwarzenegger as Victor Fries / Mr. Freeze, and Chris O'Donnell reprising his role as Dick Grayson / Robin, alongside Uma Thurman and Alicia Silverstone. The film follows the eponymous characters as they attempt to prevent Mr. Freeze and Poison Ivy from taking over the world, while at the same time struggling to keep their partnership together.
Warner Bros. fast-tracked development for Batman & Robin following the box office success of Batman Forever. Schumacher and Goldsman conceived the storyline during pre-production on A Time to Kill; Schumacher was given a mandate to make the film more toyetic than its predecessor. After Val Kilmer decided not to reprise the role of Batman, Schumacher was interested in casting William Baldwin before George Clooney won the role. Principal photography began in September 1996 and wrapped in January 1997, two weeks ahead of the shooting schedule.
Batman & Robin premiered in Los Angeles on June 12, 1997, and went into general release on June 20. It grossed $238 million worldwide against a production budget of $125–160 million, and was considered a commercial disappointment at the time. The film received generally negative reviews from critics and is considered to be one of the worst films ever made. One of the songs recorded for the film, "The End Is the Beginning Is the End" by The Smashing Pumpkins, won a Grammy Award for Best Hard Rock Performance at the 40th Annual Grammy Awards. Due to the film's poor reception, Warner Bros. cancelled future Batman films, including Schumacher's planned Batman Unchained.
Plot
Batman and his partner, Robin, encounter a new foe, Mr. Freeze, who has left a string of diamond robberies in his wake. During a confrontation in the natural history museum, Freeze steals a bigger diamond and flees, freezing Robin and leaving Batman unable to pursue him. Later, Batman and Robin learn that Freeze was originally Dr. Victor Fries, a scientist working to develop a cure for MacGregor's Syndrome, hoping to heal his terminally ill wife, Nora. After a lab accident, Fries was rendered unable to live at average temperatures and forced to wear a cryogenic suit powered by diamonds for survival.
At a Wayne Enterprises lab in Brazil, botanist Dr. Pamela Isley is working under the deranged Dr. Jason Woodrue, who has turned her research on plants into the supersoldier drug Venom. After witnessing Woodrue use the formula to turn serial killer Antonio Diego into the hulking Bane, she threatens to expose Woodrue's experiments. Woodrue attempts to kill her by overturning a shelf of various toxins; instead, Isley is mutated by the toxins into Poison Ivy. Ivy kills Woodrue with a poisonous kiss, destroys the lab, and escapes to Gotham City with Bane, concocting a plan to use Wayne's money to support her research. Meanwhile, Alfred Pennyworth's niece, Barbara Wilson, makes a surprise visit and is invited by Bruce to stay at Wayne Manor until she goes back to school.
Wayne Enterprises presents a new telescope for Gotham Observatory at a press conference interrupted by Isley. She proposes a project that could help the environment, but Bruce declines her offer, which would kill millions of people. Batman and Robin decide to lure Freeze out using the Wayne Family diamonds and present them at a Wayne Enterprises charity event. Ivy attends the event and decides to use her abilities to seduce Batman and Robin. Freeze crashes the party but is defeated and detained in Arkham Asylum. Ivy takes an interest in Freeze and frees him from Arkham. Dick discovers that Barbara has been participating in drag races to raise money for Alfred, who is dying of MacGregor's Syndrome; a fact he kept from Bruce and Dick, but former secretly aware of his situation and is trying to find treatment for him.
Batman, Robin, and the police arrive at Freeze's lair in response to his escape, discovering Nora preserved in a cryogenic chamber and that Freeze has developed a cure for the early stages of MacGregor's Syndrome. Freeze, Ivy, and Bane secretly arrive to recover Freeze's diamonds and Nora. Wanting Freeze for herself, Ivy unplugs Nora's chamber, steals the diamonds, and seduces Robin, escalating tensions between him and Batman. At Ivy's hideout, Ivy convinces Freeze that Batman has killed Nora. Freeze swears to freeze all of humanity in revenge, with Ivy planning to repopulate the earth using her mutant plants afterward. Freeze and Bane commandeer Gotham Observatory and convert the new telescope into a giant freeze ray, while Ivy uses the Bat-Signal to contact Robin. Robin attempts to go after Ivy alone, but Batman convinces him not to fall for Ivy's seduction. Barbara discovers the Batcave, where an AI version of Alfred reveals he has made Barbara her own suit. Barbara dons the suit and becomes Batgirl, arriving at Ivy's lair in time to help Batman and Robin subdue her.
Freeze begins to encase Gotham in ice, and Batman, Robin, and Batgirl head to Gotham Observatory together to stop him. Batman defeats Freeze in combat, while Batgirl and Robin incapacitate Bane and thaw the city. Freeze accuses Batman of killing Nora, only to be shown a recording of Ivy admitting to the crime. Batman reveals that Nora is still alive and offers Freeze the chance to continue his research on MacGregor's Syndrome in exchange for his cure. Freeze accepts and returns to Arkham, where he is imprisoned in the same cell as Ivy, whom he promises to exact revenge on. Alfred receives the cure, and Bruce and Dick agree to let Barbara join them in fighting crime.
Cast
Arnold Schwarzenegger as Dr. Victor Fries / Mr. Freeze:A molecular biologist who suffers an accident while trying to cryogenically preserve his terminally ill wife. As a result, he is forced to live in a sub-zero suit powered by diamonds.
George Clooney as Bruce Wayne / Batman:A billionaire businessman who fights crime as Batman, Gotham City's vigilante protector.
Eric Lloyd as Young Bruce Wayne.
Chris O'Donnell as Dick Grayson / Robin:The crime-fighting partner to Batman and legal ward to Bruce Wayne. He has begun to chafe against Batman's authority, which is amplified even further by Poison Ivy's influence.
Uma Thurman as Dr. Pamela Isley / Poison Ivy:A botanist-turned-ecoterrorist as a result of being pushed into vials of chemicals, poisons, and toxins. She uses pheromone dust to make men fall for her and venom-laced lips to kill her victims with a kiss.
Alicia Silverstone as Barbara Wilson / Batgirl:The niece of Alfred Pennyworth who, after losing her parents, joins the superhero duo.
Michael Gough as Alfred Pennyworth:The trusted butler for Bruce Wayne and Dick Grayson.
Jon Simmons as Young Alfred Pennyworth.
Pat Hingle as Commissioner James Gordon:The police commissioner of Gotham City. He is close to Batman and informs him of numerous crimes.
Elle Macpherson as Julie Madison:Bruce Wayne's girlfriend. She proposes to Bruce, but he does not respond, fearing for her safety.
John Glover portrays Dr. Jason Woodrue, a deranged scientist with a desire for world domination via his Venom-powered "supersoldiers", of whom Bane, portrayed by Robert Swenson, becomes Poison Ivy's bodyguard and muscle. Michael Reid MacKay plays Bane before he is injected with Venom. Vivica A. Fox and Vendela Kirsebom play Mr. Freeze's assistant and cryogenically frozen wife, respectively. Elizabeth Sanders appears as Gossip Gerty, Gotham's top gossip columnist. Michael Paul Chan and Kimberly Scott both appear as telescope scientists. Coolio makes a cameo appearance, later stating that he was to reprise his role as Scarecrow in the ultimately cancelled sequel Batman Unchained.
Production
Development
With the box office success of Batman Forever in June 1995, Warner Bros. immediately commissioned a sequel. They hired director Joel Schumacher and writer Akiva Goldsman to reprise their duties the following August and decided it was best to fast-track production for a June 1997 target release date, which is a break from the usual three-year gap between films. Schumacher wanted to pay homage to the work of the classic Batman comic books of his childhood. The storyline of Batman & Robin was conceived by Schumacher and Goldsman during pre-production on A Time to Kill. Portions of Mr. Freeze's backstory were based on the Batman: The Animated Series episode "Heart of Ice", written by Paul Dini. Goldsman, however, expressed concerns about the script during pre-production discussions with Schumacher. Schumacher stated that he was given the mandate by the studio to make the film more toyetic, even when compared to Batman Forever. The studio reportedly included toy companies in pre-production meetings; Mr. Freeze's blaster was specifically designed by toy manufacturers. Batman creator Bob Kane acted as an official consultant and was heavily involved in the production, giving input on the film's script as well as on set.
While Chris O'Donnell reprises the role of Robin, Val Kilmer decided not to reprise the role of Batman from Batman Forever. Schumacher admitted that he had difficulty working with Kilmer on Forever. "He sort of quit," Schumacher said, "and we sort of fired him." Schumacher would later go on to say that Kilmer wanted to work on The Island of Dr. Moreau because Marlon Brando was cast in the film. Kilmer said that he was not aware of the fast-track production and was already committed to The Saint. David Duchovny stated he was considered for the role of Batman, joking that the reason why he was not chosen was because his nose was too big. George Clooney's casting as Batman was suggested by Warner Bros. executive Bob Daly. Schumacher originally had interest in casting William Baldwin in Kilmer's place, but chose Clooney after seeing his performance in From Dusk till Dawn. Schumacher felt that Clooney "brought a real humanity and humor to the piece, an accessibility that I don't think anybody else has been able to offer" and that he strongly resembled the character from the comic books. Schumacher also believed that Clooney could provide a lighter interpretation of the character than Kilmer and Michael Keaton. As a consequence of time constraints, the costume department repurposed the costume worn by Val Kilmer in Batman Forever for the third act of the film.
Ed Harris, Anthony Hopkins, and Patrick Stewart were considered for the role of Mr. Freeze, before the script was rewritten to accommodate Arnold Schwarzenegger's casting. Schumacher later denied that Stewart was ever considered. Schumacher decided that Mr. Freeze had to be "big and strong like he was chiseled out of a glacier". Mr. Freeze's armor was made by armorer Terry English, who estimated that the costume cost some $1.5 million to develop and make. To prepare for the role, Schwarzenegger wore a bald cap after declining to shave his head, wore a blue LED in his mouth, and had acrylic paint applied. The blue LEDs had to be wrapped in balloons after battery acid started leaking into Schwarzenegger's mouth. His prosthetic makeup and wardrobe took six hours to apply each day. The extensive time spent on Schwarzenegger's costume significantly restricted his shooting time as his contract was limited to 12 work hours a day. Schwarzenegger was paid a $25 million salary for the role. Beside Uma Thurman, Demi Moore, Sharon Stone, and Julia Roberts were considered for the role of Poison Ivy. Schumacher first became aware of Thurman through an earlier role as Venus in The Adventures of Baron Munchausen. Thurman ultimately took the role of Poison Ivy because she liked the femme fatale characterization of the character. Alicia Silverstone was the only choice for the role of Batgirl. Prior to filming, she was reported to have lost at least 10 pounds for the role. Silverstone would later recount the body shaming she encountered during promotion of the film.
Filming
Principal photography was set to commence in August 1996, but did not begin until September 12, 1996. Batman & Robin finished filming in late January 1997, two weeks ahead of the shooting schedule. The shooting schedule allowed Clooney to simultaneously work on the television series ER without any scheduling conflicts. O'Donnell said that despite spending a lot of time with Schwarzenegger off of set and during promotion for the film, they did not work a single day together during production; this was achieved by using stand-ins when one of the actors was unavailable. Stunt coordinator Alex Field taught Silverstone to ride a motorcycle so that she could play Batgirl. Filming was temporarily halted in the fall of 1996 when Mr. Freeze's blaster prop disappeared from the film set; a police investigation was subsequently opened, culminating in the raid of a film memorabilia collector's home. High public interest in the film caused security issues on set; according to producer Peter MacGregor-Scott, paparazzi regularly disrupted the set, and photographs of Schwarzenegger taken during filming sold for $10,000.
When comparing work on Batman Forever, O'Donnell explained that "things felt much sharper and more focused, and it just felt like everything got a little softer on the second one. The first one, I felt like I was making a movie. The second one, I felt like I was making a toy commercial." He also complained about the Robin costume, saying that it was more involved and less comfortable than the one that he wore in Batman Forever, with a glued-on mask that caused sweat to pool on his face. According to John Glover, who played Dr. Jason Woodrue, "Joel [Schumacher] would sit on a crane with a megaphone and yell before each take, 'Remember, everyone, this is a cartoon'. It was hard to act because that kind of set the tone for the film." Several different stunt doubles were used for the roles of Batman, Robin, and Mr. Freeze, some specialized in ice skating, aerial gymnastics, and driving.
The film was mostly shot at Warner Bros. Studios in Burbank, California. The grounds of Greystone Mansion were used for scenes taking place at Wayne Manor. Part of the film was also shot in Vienna, Austria, Montreal, Quebec, and Ottawa, Ontario, Canada. Production designer Barbara Ling stated that her influences for the design of Gotham City came from "neon-ridden Tokyo and the Machine Age. Gotham is like a World's fair on ecstasy." Although miniatures and computer-generated elements were used for some scenes, large full-scale sets were constructed, including Gotham City covered in ice. For scenes featuring people frozen by Mr. Freeze's ice-ray, life-sized mannequins covered in fake ice were created. Several different materials were tested for the faux ice before settling on a combination of fiber resin. According to Ling, the ice effects alone took half a year to create. Rhythm and Hues and Pacific Data Images created the visual effects sequences, with John Dykstra and Andrew Adamson credited as the visual effects supervisors. Batman & Robin featured 450 individual visual effects shots, 150 more than Batman Forever. Motion capture was used to animate digital stunt doubles; for a scene featuring skysurfing, the department recorded the motion of a skyboarder in a wind tunnel at a military base in North Carolina.
Music
Elliot Goldenthal returned to score Batman & Robin after collaborating with Schumacher on Batman Forever. The soundtrack features a variety of genres by various bands and performers, showcasing alternative rock on the lead single "The End Is the Beginning Is the End" by The Smashing Pumpkins, and with the songs "Lazy Eye" by Goo Goo Dolls and R.E.M.'s "Revolution". R&B singer R. Kelly wrote "Gotham City" for the soundtrack, which was featured in the end credits and was chosen as one of the singles, reaching the top 10 in the United States and the United Kingdom. Eric Benét and Meshell Ndegeocello also contributed R&B songs. Also included was the single, "Look into My Eyes" by the hip hop group Bone Thugs-n-Harmony, which reached the top 5. Other songs featured included electronic dance elements, including those by Moloko and Arkarna. The soundtrack was released on May 27, 1997, two weeks and three days ahead of the film's premiere in the United States. The orchestral score for the film was never commercially released.
Lisa Schwarzbaum of Entertainment Weekly gave the soundtrack a "C" and called it "as incoherent as the Batman films themselves". Retrospectively, Nicole Drum of ComicBook.com described the soundtrack as a "colorful sampling of popular music at the time that feels messy, complicated, and comforting all at the same time". Filmtracks.com deemed the orchestral score an improvement over that of its predecessor Batman Forever, noting that, while borrowing several themes from the previous film, Goldenthal successfully "expands upon the statements of his title theme and action material so that they are fleshed out into more accessibly enjoyable music". Nevertheless, the website compared Goldenthal's work negatively to Danny Elfman's scores for Batman and Batman Returns. In an interview with IGN, composer Hans Zimmer, who contributed the score to Christopher Nolan's trilogy of Batman films, called Goldenthal's theme "the most glorious statement of Batman I'd ever heard". "The End Is the Beginning Is the End" by The Smashing Pumpkins won a Grammy Award for Best Hard Rock Performance at the 40th Annual Grammy Awards.
Release
Batman & Robin had its premiere on June 12, 1997, in Westwood, Los Angeles. The film marked the United Kingdom's then-"biggest and most expensive" movie premiere. The event was held at Battersea Power Station in London, with the building decorated to look like Gotham City and Wayne Manor. Expected to be among the tent poles of the summer movie season, the film opened in the United States on June 20, 1997, in 2,934 theaters, where it remained for an average of approximately 6.2 weeks. The film was released on DVD four months later on October 22, 1997. A special edition DVD was released in 2005 that included a documentary series about the production of the film series, Shadows of the Bat: The Cinematic Saga of the Dark Knight.
Marketing
The theatrical trailer for Batman & Robin debuted on the February 19, 1997, episode of Entertainment Tonight. Warner Bros. spent $125 million to market and promote the film, in addition to its $160 million production budget. Several Six Flags amusement parks introduced new roller coasters themed to the film. Batman & Robin: The Chiller opened at Six Flags Great Adventure in 1997, and a Mr. Freeze-themed roller coaster opened at both Six Flags Over Texas and Six Flags St. Louis in 1998. Taco Bell launched a $20 million promotional campaign for the film, selling Batman-themed cups, collector toys, and figurines. Themed trading cards produced by Fleer and SkyBox International were also sold, some signed by Clooney, Schwarzenegger, Thurman, Silverstone, O'Donnell, and Schumacher. An eponymous tie-in video game developed by Probe Entertainment was released for the PlayStation on August 5, 1998, to mixed reviews.
Reception
Box office
Batman & Robin was released on June 20, 1997 in the United States and Canada, grossing $42,872,605 in its opening weekend, making it the third-highest opening weekend gross of 1997, behind Men in Black and The Lost World: Jurassic Park, and the seventh-highest non-holiday opening weekend of all time as of its release. It reached the number one spot at the box office during its opening weekend, beating out My Best Friend's Wedding and Speed 2: Cruise Control. The film would hold the record for the highest opening weekend for an Arnold Schwarzenegger film until it was surpassed by Terminator 3: Rise of the Machines in 2003. Its opening weekend gross also remained George Clooney's highest until the release of Gravity in 2013. Batman & Robin declined by 63% in its second week, which was credited to poor word of mouth and early competition with Face/Off, Hercules, and Men in Black. In the UK, it had the second-highest opening ever behind Independence Day with a gross of £4,940,566 ($8.2 million) for the weekend.
The film went on to gross $107.3 million in the United States and Canada and $130.9 million internationally, coming to a worldwide total of $238.2 million. It grossed substantially less than the previous film in the series, and finished outside of the top ten films of 1997. With a production budget of $125–160 million, the film was considered to have under-performed at the box-office, although it was estimated to have at least broken even. Schumacher criticized "prejudicial prerelease buzz" online and false news reports as a cause for the film's poor commercial performance. Warner Bros. acknowledged Batman & Robins shortcomings in the domestic market but pointed out its success in other markets. In his book Batman: the Complete History, Les Daniels analyzed the film's relatively strong performance outside of the United States, speculating that "nuances of languages or personality were likely to be lost in translation and admittedly eye-popping spectacle seemed sufficient."
Critical response
Audiences polled by CinemaScore gave the film an average grade of "C+" on an A+ to F scale.
Jay Boyar of Orlando Sentinel believed Batman & Robin to be the least distinctive chapter in the series, calling it a "bat-smorgasbord of action, camp, pathos, spectacle and whatever" and blaming its blandness on the studio's increased involvement in its production. In his "thumbs down" review, Roger Ebert of the Chicago Sun-Times found the film to be "wonderful to look at" although it had "nothing authentic at its core", criticizing its toyetic approach. Writing for the Chicago Tribune, Gene Siskel, who gave positive reviews to the previous Batman films, also gave Batman & Robin a "thumbs down" rating, calling it a "sniggering, exhausting, overproduced extravaganza". While commending the film's visuals, Kenneth Turan of the Los Angeles Times called the film "indifferently acted" and "far too slick for even a toehold's worth of connection", believing that it "killed" the Batman film series. Desson Howe of The Washington Post disapproved of Schumacher's direction and Akiva Goldsman's script, calling it an "emptily flashy, meandering fashion show of a summer flick" and also believing that it should mark the end to the series. Andrew Johnston, writing in Time Out, remarked, "It's hard to tell who B&R is intended for. Anyone who knows the character from the comics or the superb animated show on Fox will be alienated. And though Schumacher treats the Adam West version as gospel, that show's campy humor is completely incompatible with these production values." James Berardinelli questioned the "random amount of rubber nipples and camera angle close-ups of the Dynamic Duo's butts and Bat-crotches".
In his review for the San Francisco Chronicle, Mick LaSalle said that the film failed to "convincingly inhabit the grandeur of its art direction and special effects", criticizing George Clooney as "the big zero of the film", who "should go down in history as the George Lazenby of the series". While deeming Clooney "the most ideal Batman to date" in a physical sense, Todd McCarthy of Variety found the character uninteresting and Clooney "unable to compensate onscreen for the lack of dimension on paper". Conversely, he described Thurman and Schwarzenegger's performances as the villainous duo as the "highlights of the film", pointing out Thurman's "comic wit conspicuously lacking elsewhere in the picture". Writing for Star Tribune, Jeff Strickler criticized its "almost embarrassingly mundane" dialogue and called Schwarzenegger "wasted" in the role of Mr. Freeze and his character "drably written". Janet Maslin of The New York Times gave a more positive review and praised Thurman's performance as "perfect", comparing it to Mae West's "[mix of] true femininity with the winking womanliness of a drag queen", but criticizing Silverstone and Clooney's performances. Steven Rea of The Philadelphia Inquirer found Thurman at times "amusing" and similarly described her performance as "Mae West with moss".
Legacy
Batman & Robin is considered to be one of the worst superhero films and among the worst films ever made. In 2009, Marvel Studios president Kevin Feige said that Batman & Robin may be the most important comic book film ever made in that it was "so bad that it demanded a new way of doing things" and created the opportunity to make X-Men (2000) and Spider-Man (2002) in a way that respected the source material to a higher degree. In an interview with Vice 20 years after its release, director Joel Schumacher apologized for the film while taking full responsibility for its poor reputation, stating, "I want to apologize to every fan that was disappointed because I think I owe them that. A lot of it was my choice. No one is responsible for my mistakes but me." He added, "I was scum. It was like I had murdered a baby", recounting his initial reaction to the overwhelmingly negative public response. Screenwriter Akiva Goldsman also apologized, saying, "we didn't mean for it to be bad. I swear, nobody was like, 'This will be bad.'" and elaborating that the film was initially intended to be darker in tone.
Retrospectively, George Clooney has spoken critically of and apologized for his involvement in the film, saying in 2005, "I think we might have killed the franchise", and calling it "a waste of money". In 2015, while promoting Disney's Tomorrowland at New York Comic Con, Clooney said that he had met former Batman actor Adam West and apologized to him for the film. Furthermore, when asked during a 2015 interview on The Graham Norton Show about whether he had ever had to apologize for Batman & Robin, Clooney responded, "I always apologize for Batman & Robin". In late 2020, he told Howard Stern that it was "physically" painful to watch his work in the role: “The truth of the matter is, I was bad in it. Akiva Goldsman — who’s won the Oscar for writing since then — he wrote the screenplay. And it’s a terrible screenplay, he’ll tell you. I’m terrible in it, I’ll tell you. Joel Schumacher, who just passed away, directed it, and he’d say, ‘Yeah, it didn’t work.’ We all whiffed on that one.” Conversely, in an interview with Empire in 2012, Arnold Schwarzenegger stated that, despite its poor reception, he did not regret making the film, commenting about his role as Mr. Freeze and his involvement with the studio, "I felt that the character was interesting and two movies before that one Joel Schumacher was at his height. So the decision-making process was not off. At the same time I was doing Eraser over there and Warner Bros. begged me to do the movie." Similarly, 25 years after its theatrical release, Uma Thurman described her work on the film as a "fantastic experience".
The nipples seen on the character's costumes, first appearing in Batman Forever and accentuated for Batman & Robin at Schumacher's request, remain among the most defining aspects of the film. Recounting his involvement with the film, costume designer Jose Fernandez stated that he was opposed to "sharpening" the nipples, calling them "ridiculous". In 2022, Tim Burton commented about Warner Bros.' decision to replace him as director with Schumacher after Batman Returns, "You complain about me, I'm too weird, I'm too dark, and then you put nipples on the costume? Go fuck yourself." George Clooney's screen-worn suit was put up for auction by Heritage Auctions in 2022 with a starting bid of $40,000. A previous owner had estimated it to be worth $100,000 in 2006 when Clooney was at the height of his career. The suit would go on to sell for $57,500.
In the 2009 film Watchmen, director Zack Snyder and comic book artist Dave Gibbons chose to parody the molded muscle and nipple Batsuit design from Batman & Robin for the Ozymandias costume. The film is referenced in the Batman: The Brave and the Bold episode "Legends of the Dark Mite!", when Bat-Mite briefly uses his powers to transform Batman's costume into the same suit shown in Schumacher's Batman films, before declaring it "too icky". 26 years after the release of Batman & Robin, Clooney made a cameo appearance as Bruce Wayne in the 2023 DC Studios superhero film The Flash. Clooney was asked to reprise the role when the film was already in post-production, agreeing to join after seeing a cut of the film; filming took place in secret six months before release and lasted half a day.
Accolades
Canceled sequel
During the filming of Batman & Robin, Warner Bros. was impressed with the dailies, prompting them to immediately hire Joel Schumacher to return as director for a fifth film. However, writer Akiva Goldsman turned down an offer to write the script. In late 1996, Warner Bros. and Schumacher hired Mark Protosevich to write the script for a fifth Batman film. A projected mid-1999 release date was announced. Los Angeles Times described their film as "continuing in the same vein with multiple villains and more silliness". Titled Batman Unchained, Protosevich's script featured the Scarecrow as the main villain, who, through the use of his fear toxin, resurrects the Joker as a hallucination in Batman's mind. Harley Quinn would appear as a supporting character, written as the Joker's daughter. Schumacher approached Nicolas Cage to portray the Scarecrow while he was filming Face/Off and Courtney Love was considered for Harley Quinn.
Clooney, O'Donnell, Silverstone, and Coolio were set to reprise the roles of Batman, Robin, Batgirl, and Scarecrow. It was hoped that the villains from previous films would make cameo appearances in the hallucinations caused by Scarecrow, culminating with Jack Nicholson reprising the role of the Joker. Following the poor critical and financial reception of Batman & Robin, Clooney vowed never to reprise his role, and Warner Bros. cancelled any future Batman films, including Schumacher's planned Batman Unchained.
In a 2012 interview with Access Hollywood, Chris O'Donnell claimed that a spin-off centered around the character of Robin was planned, but eventually scrapped due to Batman & Robins poor commercial performance.
See also
Homosexuality in the Batman franchise
List of films featuring powered exoskeletons
List of films considered the worst
Notes
References
External links
(Warner Bros.)
(DC Comics)
1997 films
1990s English-language films
1990s superhero films
1990s action films
Batman (1989 film series)
Robin (character) films
American superhero films
American action films
American sequel films
Films set in psychiatric hospitals
Films shot in Vienna
Films shot in Dallas
Films shot in Los Angeles
Films shot in Montreal
Films shot in Ottawa
Films shot in Vermont
Golden Raspberry Award winning films
Films about suspended animation
Eco-terrorism in fiction
American films about revenge
Films directed by Joel Schumacher
Human experimentation in fiction
Films adapted into comics
Films with screenplays by Akiva Goldsman
Films scored by Elliot Goldenthal
Films set in Brazil
PolyGram Filmed Entertainment films
Warner Bros. films
Mad scientist films
Films produced by Peter MacGregor-Scott
1990s American films | 8 |
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